SEC Form 4 · accession 0001179110-17-003959
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph B Armes
Director
Period of report
Mar 3, 2017
Accepted (ET)
Mar 6, 2017 · 3:52 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 | Mar 3, 2017 | S | 8,502 | $16.5973 | D | 1,000 | I | JBA Family Partners, L.P. |
| Common Stock | holding | — | — | — | 43,500 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.50 to $16.725, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.