0000899243-17-000664.txt : 20170106
0000899243-17-000664.hdr.sgml : 20170106
20170106154231
ACCESSION NUMBER: 0000899243-17-000664
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20170104
FILED AS OF DATE: 20170106
DATE AS OF CHANGE: 20170106
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: CAPITAL SOUTHWEST CORP
CENTRAL INDEX KEY: 0000017313
IRS NUMBER: 751072796
STATE OF INCORPORATION: TX
FISCAL YEAR END: 0331
BUSINESS ADDRESS:
STREET 1: 5400 LYNDON B. JOHNSON FREEWAY
STREET 2: SUITE 1300
CITY: DALLAS
STATE: TX
ZIP: 75240
BUSINESS PHONE: 2142385700
MAIL ADDRESS:
STREET 1: 5400 LYNDON B. JOHNSON FREEWAY
STREET 2: SUITE 1300
CITY: DALLAS
STATE: TX
ZIP: 75240
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Rothenberg Michael
CENTRAL INDEX KEY: 0001393832
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00061
FILM NUMBER: 17514210
MAIL ADDRESS:
STREET 1: 15 EAST 62ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10021
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Moab GP LLC
CENTRAL INDEX KEY: 0001393833
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00061
FILM NUMBER: 17514211
BUSINESS ADDRESS:
STREET 1: 15 EAST 62ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10021
BUSINESS PHONE: (212) 981-2646
MAIL ADDRESS:
STREET 1: 15 EAST 62ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10021
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Moab Partners LP
CENTRAL INDEX KEY: 0001393834
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00061
FILM NUMBER: 17514212
BUSINESS ADDRESS:
STREET 1: 15 EAST 62ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10021
BUSINESS PHONE: (212) 981-2646
MAIL ADDRESS:
STREET 1: 15 EAST 62ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10021
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Moab Capital Partners LLC
CENTRAL INDEX KEY: 0001377817
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00061
FILM NUMBER: 17514213
BUSINESS ADDRESS:
STREET 1: 15 EAST 62ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10065
BUSINESS PHONE: (212) 981-2646
MAIL ADDRESS:
STREET 1: 15 EAST 62ND STREET
CITY: NEW YORK
STATE: NY
ZIP: 10065
4
1
doc4.xml
FORM 4 SUBMISSION
X0306
4
2017-01-04
0
0000017313
CAPITAL SOUTHWEST CORP
CSWC
0001377817
Moab Capital Partners LLC
15 EAST 62ND STREET
NEW YORK
NY
10065
0
0
1
0
0001393834
Moab Partners LP
15 EAST 62ND STREET
NEW YORK
NY
10065
0
0
1
0
0001393833
Moab GP LLC
15 EAST 62ND STREET
NEW YORK
NY
10065
0
0
1
0
0001393832
Rothenberg Michael
15 EAST 62ND STREET
NEW YORK
NY
10065
0
0
1
0
Common Stock
2017-01-04
4
S
0
18972
16.7462
D
1641141
I
Performance related fees
Common Stock
2017-01-04
4
S
0
4746
16.74
D
1636395
I
Performance related fees
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, except the extent of their pecuniary interest in the securities.
Moab Partners, L.P., By: Moab GP, LLC, its general partner, By: Moab Capital Partners, LLC, its manager, By: /s/ Michael Rothenberg
2017-01-04
Moab Capital Partners, LLC, By: /s/ Michael Rothenberg
2017-01-04
Moab GP, LLC, By: Moab Capital Partners, LLC, its manager, By: /s/ Michael Rothenberg
2017-01-04
/s/ Michael Rothenberg
2017-01-04