SEC Form 4 · accession 0001179110-17-015829
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Douglas M. Kelley
Officer — Sr. VP, Managing Director
Period of report
Nov 10, 2017
Accepted (ET)
Dec 22, 2017 · 7:56 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 | Nov 10, 2017 | F | 1,641 | $16.99 | D | 64,635 | D | |
| Common StockF2,F3 | Nov 15, 2017 | F | 1,368 | $16.95 | D | 84,767 | D |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on November 10, 2017.
- F2Represents shares of common stock withheld to pay taxes applicable to the vesting of restricted stock on November 15, 2017.
- F3See Form 4 filed November 21, 2017 for the current amount of securities beneficially owned by the Reporting Person.