SEC Form 4 · accession 0001179110-17-006915
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph B Armes
Director
Period of report
May 8, 2017
Accepted (ET)
May 9, 2017 · 4:52 pm EDT
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 | May 8, 2017 | S | 500 | $16.03 | D | 37,000 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.
- F2This transaction was executed in multiple trades at prices ranging from $16.01 to $16.04. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.