SEC Form 4/A · accession 0001179110-17-004224
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Joseph B Armes
Director
Period of report
Dec 8, 2016
Accepted (ET)
Mar 8, 2017 · 10:34 am 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,F2,F3 | Dec 8, 2016 | G | 3,500 | $0.00 | D | 44,500 | D | |
| Common StockF3 | holding | — | — | — | 8,502 | I | JBA Family Partners, L.P. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares donated by the Reporting Person to a charitable donor advised fund.
- F2Includes 1,000 shares previously held through JBA Family Partners, L.P., a limited partnership, that were distributed to the Reporting Person on January 8, 2016, and are now owned directly.
- F3The Form 4 filed on December 12, 2016 contained a typographical error that inadvertently failed to account for the change in the form of beneficial ownership on January 8, 2016 of 1,000 shares from an indirect holding through JBA Family Partners, L.P., a limited partnership, to a direct holding. These 1,000 shares were also incorrectly reported as indirectly held rather than directly held in the subsequent Form 4 filed on March 6, 2017.