0000899243-17-003978.txt : 20170214 0000899243-17-003978.hdr.sgml : 20170214 20170214161725 ACCESSION NUMBER: 0000899243-17-003978 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20161231 FILED AS OF DATE: 20170214 DATE AS OF CHANGE: 20170214 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 17609089 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 17609092 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 17609095 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: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 17609098 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 5 1 doc5.xml FORM 5 SUBMISSION X0306 5 2016-12-31 0 0 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 Put Option (Right to Sell) 12.50 2016-06-17 5 J 0 1000 0.00 D 2016-01-15 2016-06-17 Common Stock 100000 0 I Performance Related Fees Filed only to report the expiration, unexercised, of derivative securities (put options) previously reported. The actual number of shares of Common Stock subject to the derivative put option was 100,000. Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of 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. Moab Partners, L.P., By: Moab GP, LLC, its general partner, By: Moab Capital Partners, LLC, its manager, By: /s/ Michael Rothenberg 2017-02-09 Moab Capital Partners, LLC, By: /s/ Michael Rothenberg 2017-02-09 Moab GP, LLC, By: Moab Capital Partners, LLC, its manager, By: /s/ Michael Rothenberg 2017-02-09 /s/ Michael Rothenberg 2017-02-09