0001140361-15-021975.txt : 20150527
0001140361-15-021975.hdr.sgml : 20150527
20150527212952
ACCESSION NUMBER: 0001140361-15-021975
CONFORMED SUBMISSION TYPE: 4/A
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20150520
FILED AS OF DATE: 20150527
DATE AS OF CHANGE: 20150527
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: 9722338242
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: ASHBAUGH WILLIAM M
CENTRAL INDEX KEY: 0001182922
FILING VALUES:
FORM TYPE: 4/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 814-00061
FILM NUMBER: 15893766
MAIL ADDRESS:
STREET 1: 12900 PRESTON RD
STREET 2: STE 700
CITY: DALLAS
STATE: TX
ZIP: 75230
4/A
1
doc1.xml
FORM 4/A
X0306
4/A
2015-05-20
2015-05-22
0
0000017313
CAPITAL SOUTHWEST CORP
CSWC
0001182922
ASHBAUGH WILLIAM M
C/O CAPITAL SOUTHWEST CORPORATION
5400 LYNDON B. JOHNSON FWY, SUITE 1300
DALLAS
TX
75240
0
1
0
0
Senior Vice President
Common Stock
2015-05-20
4
M
0
2000
23.37
A
13000
D
Common Stock
2015-05-20
4
M
0
2108
23.37
A
15108
D
Common Stock
2015-05-20
4
S
0
4108
51.5288
D
11000
D
Common Stock
2015-05-21
4
M
0
5892
23.37
A
18892
D
Common Stock
2015-05-21
4
M
0
3917
19.18
A
20809
D
Common Stock
2015-05-21
4
S
0
9809
51.1086
D
11000
D
Common Stock
10345
I
By ESOP
Non-qualified Stock Option
23.37
2015-05-20
4
M
0
2000
0
D
2016-05-15
Common Stock
2000
2000
D
Incentive Stock Option
23.37
2015-05-20
4
M
0
2108
0
D
2016-05-15
Common Stock
2108
9892
D
Incentive Stock Option
23.37
2015-05-21
4
M
0
5892
0
D
2016-05-15
Common Stock
5892
4000
D
Incentive Stock Options
19.18
2015-05-21
4
M
0
3917
0
D
2019-10-19
Common Stock
3917
4083
D
The Form 4 filed on May 22, 2015 contained a typographical error that inadvertently overstated the number of Non-qualified Stock Options that were exercised by 2,000 and understated the number of Incentive Stock Options that were exercised by 2,000. This amendment corrects this error to reflect those exercises and both the Non-qualified Stock Options and Incentive Stock Options that remained beneficiallly owned.
Reflects ESOP allocations to Mr. Ashbaugh.
The options, representing a right to purchase a total of 4,000 shares following the four-for-one split, became exercisable in five equal annual installments beginning on May 15, 2007.
The options, representing a right to purchase a total of 12,000 shares following the four-for-one split, become exerciseable in three equal annual installments beginning on May 15, 2014.
The options, representing a right to purchase a total of 8,000 shares following the four-for-one split, became exerciseable in two equal annual installments beginning on October 19, 2013.
/s/ William B. Ashbaugh
2015-05-27