DIEHL BOWEN S 4
4 · CAPITAL SOUTHWEST CORP · Filed Apr 2, 2019
Insider Transaction Report
Form 4
DIEHL BOWEN S
SVP and CIO
Transactions
- Exercise/Conversion
Incentive Stock Option
2019-03-29−2,852→ 0 totalExercise: $11.00Exp: 2024-03-17→ Common Stock (2,852 underlying) - Exercise/Conversion
Common Stock
2019-03-29$11.00/sh+3,123$34,353→ 126,398 total - Exercise/Conversion
Common Stock
2019-03-29$11.00/sh+2,852$31,372→ 123,275 total - Exercise/Conversion
Non-qualified Stock Option
2019-03-29−3,123→ 0 totalExercise: $11.00Exp: 2024-03-17→ Common Stock (3,123 underlying)
Holdings
- 234,397(indirect: By LLC)
Common Stock
Footnotes (3)
- [F1]PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse.
- [F2]The options, representing a right to purchase a total of 14,261 shares, became exercisable in five equal annual installments beginning on March 17, 2015. After this exercise, there are no remaining incentive stock options outstanding.
- [F3]The options, representing a right to purchase a total of 15,616 shares, became exercisable in five equal annual installments beginning on March 17, 2015. After this exercise, there are no remaining non-qualified stock options outstanding.