CAPITAL SOUTHWEST CORP 4/A
4/A · CAPITAL SOUTHWEST CORP · Filed May 27, 2015
Insider Transaction Report
Form 4/AAmended
ASHBAUGH WILLIAM M
Senior Vice President
Transactions
- Exercise/Conversion
Common Stock
2015-05-20$23.37/sh+2,000$46,740→ 13,000 total - Exercise/Conversion
Common Stock
2015-05-20$23.37/sh+2,108$49,264→ 15,108 total - Sale
Common Stock
2015-05-21$51.11/sh−9,809$501,324→ 11,000 total - Exercise/Conversion
Common Stock
2015-05-21$23.37/sh+5,892$137,696→ 18,892 total - Exercise/Conversion
Non-qualified Stock Option
2015-05-20−2,000→ 2,000 totalExercise: $23.37Exp: 2016-05-15→ Common Stock (2,000 underlying) - Sale
Common Stock
2015-05-20$51.53/sh−4,108$211,680→ 11,000 total - Exercise/Conversion
Incentive Stock Option
2015-05-21−5,892→ 4,000 totalExercise: $23.37Exp: 2016-05-15→ Common Stock (5,892 underlying) - Exercise/Conversion
Common Stock
2015-05-21$19.18/sh+3,917$75,128→ 20,809 total - Exercise/Conversion
Incentive Stock Option
2015-05-20−2,108→ 9,892 totalExercise: $23.37Exp: 2016-05-15→ Common Stock (2,108 underlying) - Exercise/Conversion
Incentive Stock Options
2015-05-21−3,917→ 4,083 totalExercise: $19.18Exp: 2019-10-19→ Common Stock (3,917 underlying)
Holdings
- 10,345(indirect: By ESOP)
Common Stock
Footnotes (5)
- [F1]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.
- [F2]Reflects ESOP allocations to Mr. Ashbaugh.
- [F3]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.
- [F4]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.
- [F5]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.