Filing Details
- Accession Number:
- 0001010549-14-000051
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2014-02-10 12:56:53
- Reporting Period:
- 2014-02-06
- Filing Date:
- 2014-02-10
- Accepted Time:
- 2014-02-10 12:56:53
- 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 |
|---|---|---|---|---|---|---|---|
| 1182931 | L Gary Martin | C/O Capital Southwest Corporation 12900 Preston Road, Suite 700 Dallas TX 75230 | Yes | No | 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 | 2014-02-06 | 1,174 | $32.37 | 407,466 | No | 4 | M | Direct | |
| Common Stock | Disposition | 2014-02-06 | 1,174 | $34.02 | 406,292 | No | 4 | S | Direct |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| 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 | Stock options | Acquisiton | 2014-02-06 | 1,174 | $0.00 | 1,174 | $32.37 |
| Remaning Holdings | Exercise Date | Expiration Date | Equity Swap Involved | Transaction Form Type | Transaction Code | Nature of Ownership |
|---|---|---|---|---|---|---|
| 208,500 | 2009-07-21 | 2018-07-30 | No | 4 | M | Direct |
Footnotes
- These options were vested in 5 equal installments of 14,000 shares each on 7/21/2009, 7/21/2010, 7/21/2011, 7/21/2012, and 7/21/2013.
Billionaire Hedge Funds
