Filing Details
- Accession Number:
- 0001140361-13-024964
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2013-06-12 10:34:20
- Reporting Period:
- 2013-06-10
- Filing Date:
- 2013-06-12
- Accepted Time:
- 2013-06-12 10:34:20
- SEC Url:
- Form 4 Filing
Issuer
| Cik | Name | Symbol | Sector (SIC) | IRS No |
|---|---|---|---|---|
| 17313 | Capital Southwest Corp | CSWC | () | 751072796 |
Insiders
| Cik | Name | Reported Address | Insider Title | Director | Officer | Large Shareholder | Other |
|---|---|---|---|---|---|---|---|
| 1182922 | M William Ashbaugh | 12900 Preston Road, Suite 700 Dallas TX 75230 | Senior Vice President | No | Yes | No | No |
Reported Non-Derivative Transactions
| Sec. Name | Acquisiton - Disposition | Date | Amount | Price | Remaning Holdings | Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|---|---|---|---|---|---|
| Common Stock | Acquisiton | 2013-06-10 | 22 | $93.49 | 1,772 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-06-10 | 22 | $139.20 | 1,750 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-06-10 | 200 | $93.49 | 1,950 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-06-10 | 200 | $138.24 | 1,750 | No | 4 | S | Direct | |
| Common Stock | Acquisiton | 2013-06-10 | 1,000 | $93.49 | 2,750 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2013-06-10 | 1,000 | $138.24 | 1,750 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct | |
| No | 4 | M | Direct | |
| No | 4 | S | Direct |
Reported Derivative Transactions
| Sec. Name | Sec. Type | Acquisiton - Disposition | Date | Amount | Price | Amount - 2 | Price - 2 |
|---|---|---|---|---|---|---|---|
| Common Stock | Non-Qualifying Stock Option | Acquisiton | 2013-06-10 | 22 | $93.49 | 22 | $93.49 |
| Common Stock | Incentive Stock Option | Acquisiton | 2013-06-10 | 200 | $93.49 | 200 | $93.49 |
| Common Stock | Non-Qualifying Stock Option | Acquisiton | 2013-06-10 | 1,000 | $93.49 | 1,000 | $93.49 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 1,772 | 2007-05-15 | 2017-05-15 | No | 4 | M | Direct |
| 1,950 | 2012-05-15 | 2016-05-15 | No | 4 | M | Direct |
| 2,750 | 2007-05-15 | 2017-05-15 | No | 4 | M | Direct |
Footnotes
- Non-Qualifying Stock Option vests annually in five equal installments of 1,500 shares each beginning 5/15/2007, then annually in five equal installments of 500 shares each beginning 5/15/2012
- Incentive Stock Option vests annually in five equal installments of 1,000 shares each beginning 5/15/2012.
Billionaire Hedge Funds
