-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, G+RUDJCznpR56zkIN0JzH19DS814tvnW+XnkTvstdJtPZ4YoBJOwWs/JYQu/HBnL 9yvXKG0bYVgezbWgQ2gZYw== 0001010549-04-000582.txt : 20040909 0001010549-04-000582.hdr.sgml : 20040909 20040909112945 ACCESSION NUMBER: 0001010549-04-000582 CONFORMED SUBMISSION TYPE: 8-K/A PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040826 ITEM INFORMATION: Changes in Registrant.s Certifying Accountant ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20040909 DATE AS OF CHANGE: 20040909 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL SOUTHWEST CORP CENTRAL INDEX KEY: 0000017313 IRS NUMBER: 751072796 STATE OF INCORPORATION: TX FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 8-K/A SEC ACT: 1934 Act SEC FILE NUMBER: 811-01056 FILM NUMBER: 041021990 BUSINESS ADDRESS: STREET 1: 12900 PRESTON RD STE 700 CITY: DALLAS STATE: TX ZIP: 75230 BUSINESS PHONE: 9722338242 MAIL ADDRESS: STREET 1: 12900 PRESTON RD STREET 2: SUITE 700 CITY: DALLAS STATE: TX ZIP: 75230 8-K/A 1 capital8ka082604.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 8-K/A CURRENT REPORT PURSUANT TO SECTION 13 OR 15(D) OF THE SECURITIES EXCHANGE ACT OF 1934 Date of report (Date of earliest event reported): August 26, 2004 ------------------------ Capital Southwest Corporation - -------------------------------------------------------------------------------- (Exact Name of Registrant as Specified in Its Charter) Texas - -------------------------------------------------------------------------------- (State or Other Jurisdiction of Incorporation) 811-1056 75-1072796 - -------------------------------------------------------------------------------- (Commission File Number) (IRS Employer Identification No.) 12900 Preston Road, Suite 700, Dallas, Texas 75230 - -------------------------------------------------------------------------------- (Address of Principal Executive Offices) (Zip Code) (972) 233-8242 - -------------------------------------------------------------------------------- (Registrant's Telephone Number, Including Area Code) - -------------------------------------------------------------------------------- (Former Name or Former Address, if Changed Since Last Report) Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below): |_| Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425) |_| Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12) |_| Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b)) |_| Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c)) Item 4.01 Changes in Registrant's Certifying Accountant On September 1, 2004, we filed a Form 8-K (the "Report") announcing that Ernst & Young, LLP, our independent registered public accounting firm, informed us on August 26, 2004 that it is resigning as our independent registered public accounting firm effective September 1, 2004. This Form 8-K/A amends the Report to include a copy of the letter provided by Ernst & Young LLP dated September 7, 2004 addressed to the Securities and Exchange Commission stating whether it agrees with the statements made by us in the Report. The letter is filed as Exhibit 16.1 to this Form 8-K/A. Item 9.01 Financial Statements and Exhibits (c) Exhibit: 16.1 Letter regarding change in certifying accountant SIGNATURES Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized. Date: September 9, 2004 CAPITAL SOUTHWEST CORPORATION By: /s/ William R. Thomas ----------------------------------- William R. Thomas President and Chairman of the Board Index to Exhibits Exhibit No. Description 16.1 Letter regarding change in certifying accountant EX-16.1 2 capital8kaex161082604.txt LETTER REGARDING CHANGE IN CERTIFYING ACCOUNTANT Exhibit 16.1 September 7, 2004 Securities and Exchange Commission 450 Fifth Street, N.W. Washington, DC 20549 Gentlemen: We have read Item 4.01 of Form 8-K dated September 1, 2004 of Capital Southwest Corporation and we are in agreement with the statements contained in the first paragraph and the first sentence of the second paragraph on page 2 therein. We do not agree with the statement contained in the last sentence of paragraph 2 on page 2. We do not agree with the statement in the sentence constituting paragraph 3 on page 2 in that we have provided this letter within the time requirements and rules contained in Regulation S-K Item 304(a)(3). /s/ Ernst & Young LLP -----END PRIVACY-ENHANCED MESSAGE-----