SEC Form 4 · accession 0001179110-17-009377
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Joseph B Armes
Director
Period of report
Jun 19, 2017
Accepted (ET)
Jun 21, 2017 · 6:55 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 StockF2 | Jun 19, 2017 | S | 500 | $16.138 | D | 34,000 | 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.
- F2The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.02 to $16.27, inclusive. 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.