SEC Form 4 · accession 0001179110-16-031793
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
William M Ashbaugh
Officer — Sr. VP, Managing Director
Period of report
Nov 15, 2016
Accepted (ET)
Nov 17, 2016 · 5:45 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000017313
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1 | Nov 15, 2016 | P$0 | 5,000 | $0.00 | A | 44,513 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents a restricted stock award of 5,000 shares.