4//SEC Filing
CAPITAL SOUTHWEST CORP 4
Accession 0001140361-15-037888
$CSWCCIK 0000017313operating
Filed
Oct 15, 8:00 PM ET
Accepted
Oct 16, 6:31 PM ET
Size
10.4 KB
Accession
0001140361-15-037888
Insider Transaction Report
Form 4
ASHBAUGH WILLIAM M
Senior Vice President
Transactions
- Disposition to Issuer
Incentive Stock Option
2015-10-14−82→ 19,918 totalExercise: $7.55Exp: 2020-03-22→ Common Stock (82 underlying) - Disposition to Issuer
Incentive Stock Option
2015-10-14−17→ 3,983 totalExercise: $7.36Exp: 2016-05-15→ Common Stock (17 underlying) - Disposition to Issuer
Non-qualified Stock Option
2015-10-14−9→ 1,991 totalExercise: $7.36Exp: 2016-05-15→ Common Stock (9 underlying)
Footnotes (4)
- [F1]Represents adjustments made pursuant to (1) the Amended and Restated Employee Matters Agreement, dated as of September 14, 2015, between the Issuer and CSW Industrials, Inc., and (2) the Issuer's 1999 Stock Option Plan and 2009 Stock Incentive Plan, as amended, in connection with the Issuer's spin-off of CSW Industrials, Inc. on September 30, 2015.
- [F2]100% of stock options are vested.
- [F3]On August 16, 2013, the common stock of the Issuer split four-for-one, resulting in the reporting person's ownership of stock options representing a right to purchase a total of 20,000 shares of common stock.
- [F4]Stock options will vest on February 15, 2016.
Documents
Issuer
CAPITAL SOUTHWEST CORP
CIK 0000017313
Entity typeoperating
IncorporatedTX
Related Parties
1- filerCIK 0000017313
Filing Metadata
- Form type
- 4
- Filed
- Oct 15, 8:00 PM ET
- Accepted
- Oct 16, 6:31 PM ET
- Size
- 10.4 KB