-----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, Tgs5i69JH6QtBdER25QtYKmmjVEazGUnh+YzzeiMOgOTCsmkNlwSIAJz78GGzuER aOOv6U0zWwJiejl64GKF1g== 0001010549-04-000597.txt : 20040915 0001010549-04-000597.hdr.sgml : 20040915 20040915110355 ACCESSION NUMBER: 0001010549-04-000597 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040909 ITEM INFORMATION: Changes in Registrant.s Certifying Accountant FILED AS OF DATE: 20040915 DATE AS OF CHANGE: 20040915 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 SEC ACT: 1934 Act SEC FILE NUMBER: 811-01056 FILM NUMBER: 041030901 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 1 capital8k090904.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of report (Date of earliest event reported): September 9, 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 In a Form 8-K filed with the Securities and Exchange Commission on September 1, 2004, we disclosed that Ernst & Young, LLP, our independent registered public accounting firm, resigned as our independent registered public accounting firm, effective as of September 1, 2004. We have engaged Grant Thornton LLP as our new independent accountants to audit our financial statements. The audit committee of our board of directors approved the engagement of Grant Thornton LLP on September 9, 2004. During fiscal years 2003 and 2004 and the subsequent interim period through September 9, 2004, neither us nor someone on our behalf engaged Grant Thornton LLP regarding either the application of accounting principles to a specified transaction, either completed or proposed, or the type of audit opinion that might be rendered on our financial statements, or any matter that was either the subject of a "disagreement" or a "reportable event," both as such terms are defined in Item 304 of Regulation S-K. 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 15, 2004 CAPITAL SOUTHWEST CORPORATION By: /s/ William R. Thomas ----------------------------------- William R. Thomas President and Chairman of the Board -----END PRIVACY-ENHANCED MESSAGE-----