SEC Form 4 · accession 0001179110-18-008896
CAPITAL SOUTHWEST CORP · CSWC
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Bowen S Diehl
Officer — President and CEO · Director
Period of report
Jun 20, 2018
Accepted (ET)
Jun 21, 2018 · 4:13 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 | Jun 20, 2018 | M | 5,705 | $11.00 | A | 110,349 | D | |
| Common Stock | Jun 20, 2018 | M | 6,247 | $11.00 | A | 116,596 | D | |
| Common Stock | Jun 20, 2018 | M | 2,661 | $11.53 | A | 119,257 | D | |
| Common StockF4 | holding | — | — | — | 135,552 | 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 OptionF1 | $11.00 | Jun 20, 2018 | M | 5,705 | A | — | Mar 17, 2024 | Common Stock | 5,705 | 2,852 | D |
| Non-qualified Stock OptionF2 | $11.00 | Jun 20, 2018 | M | 6,247 | A | — | Mar 17, 2024 | Common Stock | 6,247 | 3,123 | D |
| Non-qualified Stock OptionF3 | $11.53 | Jun 20, 2018 | M | 2,661 | A | — | Aug 28, 2024 | Common Stock | 2,661 | 50,000 | D |
Explanation of responses
- F1The options, representing a right to purchase a total of 14,261 shares, became exercisable in three equal annual installments beginning on March 17, 2015.
- F2The options, representing a right to purchase a total of 15,616 shares, became exercisable in three equal annual installments beginning on March 17, 2015.
- F3The options, representing a right to purchase a total of 85,982 shares, became exercisable in three annual installments beginning on December 29, 2015.
- F4PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse.