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