5/A//SEC Filing
CAPITAL SOUTHWEST CORP 5/A
Accession 0000899243-17-013108
$CSWCCIK 0000017313operating
Filed
May 14, 8:00 PM ET
Accepted
May 15, 4:35 PM ET
Size
11.3 KB
Accession
0000899243-17-013108
Insider Transaction Report
Form 5/AAmended
Moab Capital Partners LLC
10% Owner
Transactions
- Other
Put Option (Right to Sell)
2016-06-17−1,000→ 0 total(indirect: Performance Related Fees)Exercise: $12.50From: 2016-01-15Exp: 2016-06-17→ Common Stock (100,000 underlying)
Moab Partners LP
10% Owner
Transactions
- Other
Put Option (Right to Sell)
2016-06-17−1,000→ 0 total(indirect: Performance Related Fees)Exercise: $12.50From: 2016-01-15Exp: 2016-06-17→ Common Stock (100,000 underlying)
Moab GP LLC
10% Owner
Transactions
- Other
Put Option (Right to Sell)
2016-06-17−1,000→ 0 total(indirect: Performance Related Fees)Exercise: $12.50From: 2016-01-15Exp: 2016-06-17→ Common Stock (100,000 underlying)
Rothenberg Michael
10% Owner
Transactions
- Other
Put Option (Right to Sell)
2016-06-17−1,000→ 0 total(indirect: Performance Related Fees)Exercise: $12.50From: 2016-01-15Exp: 2016-06-17→ Common Stock (100,000 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 100,000.
- [F2]Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of 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.
Documents
Issuer
CAPITAL SOUTHWEST CORP
CIK 0000017313
Entity typeoperating
IncorporatedTX
Related Parties
1- filerCIK 0000017313
Filing Metadata
- Form type
- 5/A
- Filed
- May 14, 8:00 PM ET
- Accepted
- May 15, 4:35 PM ET
- Size
- 11.3 KB