Filing Details
- Accession Number:
- 0001010549-15-000046
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2015-01-29 15:40:58
- Reporting Period:
- 2015-01-27
- Filing Date:
- 2015-01-29
- Accepted Time:
- 2015-01-29 15:40:58
- 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 |
---|---|---|---|---|---|---|---|
1369011 | Iii R William Thomas | C/O Capital Southwest Corporation 5400 Lbj Freeway, Suite 1300 Dallas TX 75240 | 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 | Disposition | 2015-01-27 | 120,000 | $43.04 | 571,939 | No | 4 | S | Indirect | See footnote |
Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
---|---|---|---|---|
No | 4 | S | Indirect | See footnote |
Reported Non-Derivative Holdings
Sec. Name | Remaning Holdings | Nature of Ownership | Explanation |
---|---|---|---|
Common Stock | 23,529 | Direct | |
Common Stock | 12,000 | Indirect | See footnote |
Common Stock | 4,309 | Indirect | By ESOP |
Footnotes
- Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner (the "General Partner") of Thomas Heritage Partners, Ltd. (the "Partnership"). In such capacity, Mr. Thomas has sole voting and depositor power over 571,939 shares of Common Stock owned by the Partnership. Although Mr. Thomas' pecuniary interest in the shares of Common Stock held by the Partnership is limited to his limited partnership interest in the Partnership and his membership interest in the general partner of the Partnership, in accordance with Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, Mr. Thomas is deemed to be the beneficial owner of all of such shares.
- William R. Thomas III beneficially owns 12,000 shares of Common Stock held by his minor children.
- Reflects ESOP allocations to Mr. Thomas.