8-K 1 capsw8k041807.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 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) April 18, 2007 Capital Southwest Corporation -------------------------------------------------------------------------------- (Exact name of registrant as specified in its charter) Texas 811-1056 75-1072796 -------------------------------------------------------------------------------- (State or other jurisdiction (Commission (IRS of incorporation) File Number) Employer Identification No.) 12900 Preston Road, Suite 700, Dallas, Texas 75230 -------------------------------------------------------------------------------- (Address of principal executive offices) (Zip Code) Registrant's telephone number, including area code 972-233-8242 -------------------------- -------------------------------------------------------------------------------- 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: [ ] 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 5.02 DEPARTURE OF DIRECTORS OR PRINCIPAL OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF PRINCIPAL OFFICERS On April 18, 2007, William R. Thomas, president, chief executive officer and chairman, announced his planned retirement on July 16, 2007 as president and chief executive officer of Capital Southwest Corporation. Mr. Thomas, 78, joined Capital Southwest in 1962 and has been president since 1980. He will continue to serve as chairman of the board in a non-executive capacity. Gary L. Martin, currently president of The Whitmore Manufacturing Company of Rockwall, Texas, a 100% owned portfolio company of Capital Southwest, was named by the board of directors to succeed Mr. Thomas as president and chief executive officer. ITEM 9.01 FINANCIAL STATEMENTS AND EXHIBITS. (d) Exhibits. The following exhibits are filed or furnished as part of this report: Exhibit No. Description 99.1 Press Release dated April 18, 2007 - "CAPITAL SOUTHWEST NAMES NEW CEO" 99.2 Letter dated April 18, 2007 - "To Our Shareholders" 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. Dated: April 18, 2007 By: /s/ William R. Thomas ----------------------------------- Name: William R. Thomas Title: President and Chief Executive Officer EXHIBIT INDEX Exhibit No. Description 99.1 Press Release dated April 18, 2007 - "CAPITAL SOUTHWEST NAMES NEW CEO" 99.2 Letter dated April 18, 2007 - "To Our Shareholders"