SEC Form 4/A · accession 0001179110-17-004409
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
Bowen S Diehl
Officer — President and CEO · Director
Period of report
Mar 8, 2017
Accepted (ET)
Mar 10, 2017 · 3:57 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 Stock | Mar 8, 2017 | M | 5,704 | $11.00 | A | 101,666 | D | |
| Common Stock | Mar 8, 2017 | M | 6,246 | $11.00 | A | 107,912 | D | |
| Common StockF1 | Mar 8, 2017 | M | 33,321 | $11.53 | A | 141,233 | D | |
| Common StockF1 | holding | — | — | — | 51,750 | I | By PHC Investments, LLC |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Incentive Stock OptionF2 | $11.00 | Mar 8, 2017 | M | 5,704 | A | — | Mar 17, 2024 | Common Stock | 5,704 | 8,557 | D |
| Non-qualified Stock OptionF3 | $11.00 | Mar 8, 2017 | M | 6,246 | A | — | Mar 17, 2024 | Common Stock | 6,246 | 9,370 | D |
| Non-qualified Stock OptionF4 | $11.53 | Mar 8, 2017 | M | 33,321 | A | — | Aug 28, 2024 | Common Stock | 33,321 | 52,661 | D |
Explanation of responses
- F1The Form 4 filed on March 9, 2017 contained a typographical error that inadvertently failed to account for the change in the form of beneficial ownership on February 2, 2017 of 51,750 shares from a direct holding to an indirect holding through PHC Investments, LLC, a limited liability company of which the reporting person and his wife are 50% owners. As of March 8, 2017, 141,233 shares were held directly by the reporting person and 51,750 shares were held indirectly by the reporting person through PHC Investments, LLC.
- F2The options, representing a right to purchase a total of 14,261 shares, became exercisable in two equal annual installments beginning on March 17, 2015.
- F3The options, representing a right to purchase a total of 15,616 shares, became exercisable in two equal annual installments beginning on March 17, 2015.
- F4The options, representing a right to purchase a total of 85,982 shares, became exercisable in two annual installments beginning on December 29, 2015.