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Filing Details

Accession Number:: 0000017313-21-000146
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2021-09-10 16:06:18
Reporting Period:: 2021-09-09

Accepted Time:: 2021-09-10 16:06:18
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 Lyndon B Johnson Fwy Ste 1300 Dallas TX 75240		Yes	No	No	No

Reported Non-Derivative Transactions

Show Other Fields >>

Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Disposition	2021-09-09	4,000	$27.70	0	No	4	S	Indirect	Held by the reporting person's daughter
Common Stock	Acquisiton	2021-09-09	2,000	$27.72	6,000	No	4	P	Indirect	Held by the reporting person's son
Common Stock	Acquisiton	2021-09-09	2,000	$27.72	6,000	No	4	P	Indirect	Held by reporting person's son

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	S	Indirect	Held by the reporting person's daughter
No	4	P	Indirect	Held by the reporting person's son
No	4	P	Indirect	Held by reporting person's son

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	8,217	Direct
Common Stock	571,939	Indirect	See Footnote

Footnotes

The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.59 to $27.78, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.86, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.77, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner of Thomas Heritage Partners, Ltd. (the "Partnership"). In such capacity, Mr. Thomas has sole voting and dispositive power with respect to 571,939 shares owned by the Partnership. Although Mr. Thomas's 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, as amended, Mr. Thomas is deemed to be the beneficial owner of all of such shares of common stock.