4//SEC Filing
Thomas William R III 4
Accession 0000017313-21-000146
CIK 0000017313other
Filed
Sep 9, 8:00 PM ET
Accepted
Sep 10, 4:06 PM ET
Size
11.0 KB
Accession
0000017313-21-000146
Insider Transaction Report
Form 4
Thomas William R III
Assistant Vice President10% Owner
Transactions
- Purchase
Common Stock
2021-09-09$27.72/sh+2,000$55,442→ 6,000 total(indirect: Held by the reporting person's son) - Sale
Common Stock
2021-09-09$27.70/sh−4,000$110,782→ 0 total(indirect: Held by the reporting person's daughter) - Purchase
Common Stock
2021-09-09$27.72/sh+2,000$55,437→ 6,000 total(indirect: Held by reporting person's son)
Holdings
- 8,217
Common Stock
- 571,939(indirect: See Footnote)
Common Stock
Footnotes (4)
- [F1]The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.59 to $27.78, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
- [F2]The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.86, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
- [F3]The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.77, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
- [F4]Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner of Thomas Heritage Partners, Ltd. (the "Partnership"). In such capacity, Mr. Thomas has sole voting and dispositive power with respect to 571,939 shares owned by the Partnership. Although Mr. Thomas's pecuniary interest in the shares of common stock held by the Partnership is limited to his limited partnership interest in the Partnership and his membership interest in the general partner of the Partnership, in accordance with Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, as amended, Mr. Thomas is deemed to be the beneficial owner of all of such shares of common stock.
Documents
Issuer
CAPITAL SOUTHWEST CORP
CIK 0000017313
Entity typeother
Related Parties
1- filerCIK 0001369011
Filing Metadata
- Form type
- 4
- Filed
- Sep 9, 8:00 PM ET
- Accepted
- Sep 10, 4:06 PM ET
- Size
- 11.0 KB