Filing Details
- Accession Number:
- 0000899243-16-011678
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2016-01-13 21:22:45
- Reporting Period:
- 2016-01-07
- Filing Date:
- 2016-01-13
- Accepted Time:
- 2016-01-13 21:22:45
- 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 |
|---|---|---|---|---|---|---|---|
| 1377817 | Moab Capital Partners Llc | 15 East 62Nd Street New York NY 10065 | No | No | Yes | No | |
| 1393832 | Michael Rothenberg | 15 East 62Nd Street New York NY 10065 | No | No | Yes | No | |
| 1393833 | Moab Gp Llc | 15 East 62Nd Street New York NY 10065 | No | No | Yes | No | |
| 1393834 | Moab Partners Lp | 15 East 62Nd Street New York NY 10065 | No | No | Yes | 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 | 2016-01-07 | 1,100 | $14.13 | 1,562,938 | No | 4 | P | Indirect | Performance related fees |
| Common Stock | Acquisiton | 2016-01-07 | 3,000 | $14.17 | 1,565,938 | No | 4 | P | Indirect | Performance related fees |
| Common Stock | Acquisiton | 2016-01-08 | 700 | $14.24 | 1,566,638 | No | 4 | P | Indirect | Performance related fees |
| Common Stock | Acquisiton | 2016-01-08 | 1,000 | $14.24 | 1,567,638 | No | 4 | P | Indirect | Performance related fees |
| Common Stock | Acquisiton | 2016-01-11 | 500 | $14.12 | 1,568,138 | No | 4 | P | Indirect | Performance related fees |
| Common Stock | Acquisiton | 2016-01-12 | 2,573 | $14.19 | 1,570,711 | No | 4 | P | Indirect | Performance related fees |
| Common Stock | Acquisiton | 2016-01-12 | 22,416 | $14.16 | 1,593,127 | No | 4 | P | Indirect | Performance related fees |
| Common Stock | Acquisiton | 2016-01-13 | 43,733 | $14.10 | 1,636,860 | No | 4 | P | Indirect | Performance related fees |
| Common Stock | Acquisiton | 2016-01-13 | 14,453 | $14.03 | 1,651,313 | No | 4 | P | Indirect | Performance related fees |
| Common Stock | Acquisiton | 2016-01-13 | 1,000 | $13.96 | 1,652,313 | No | 4 | P | Indirect | Performance related fees |
| Equity Swap Involved | Form Type | Code | Nature of Ownership | Explanation |
|---|---|---|---|---|
| No | 4 | P | Indirect | Performance related fees |
| No | 4 | P | Indirect | Performance related fees |
| No | 4 | P | Indirect | Performance related fees |
| No | 4 | P | Indirect | Performance related fees |
| No | 4 | P | Indirect | Performance related fees |
| No | 4 | P | Indirect | Performance related fees |
| No | 4 | P | Indirect | Performance related fees |
| No | 4 | P | Indirect | Performance related fees |
| No | 4 | P | Indirect | Performance related fees |
| No | 4 | P | Indirect | Performance related fees |
Footnotes
- The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.
Billionaire Hedge Funds
