CAPITAL SOUTHWEST CORP 5/A

Accession 0000899243-17-013106

$CSWCCIK 0000017313operating

Filed

May 14, 8:00 PM ET

Accepted

May 15, 4:24 PM ET

Size

11.3 KB

Accession

0000899243-17-013106

Form 5/AAmended

Period: 2017-03-31

10% Owner

Transactions

Other
Put Option (Right to Sell)
2016-06-17−939→ 0 total
Exercise: $12.50From: 2016-01-15Exp: 2016-06-17→ Common Stock (93,900 underlying)

10% Owner

Transactions

Other
Put Option (Right to Sell)
2016-06-17−939→ 0 total
Exercise: $12.50From: 2016-01-15Exp: 2016-06-17→ Common Stock (93,900 underlying)

10% Owner

Transactions

Other
Put Option (Right to Sell)
2016-06-17−939→ 0 total
Exercise: $12.50From: 2016-01-15Exp: 2016-06-17→ Common Stock (93,900 underlying)

10% Owner

Transactions

Other
Put Option (Right to Sell)
2016-06-17−939→ 0 total
Exercise: $12.50From: 2016-01-15Exp: 2016-06-17→ Common Stock (93,900 underlying)

Footnotes (2)

[F1]Filed only to report the expiration, unexercised, of derivative securities (put options) previously reported. The actual number of shares of Common Stock subject to the derivative put option was 93,900.
[F2]The securities were owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

Documents

1 file

CAPITAL SOUTHWEST CORP

CIK 0000017313

Entity typeoperating

IncorporatedTX