0001172661-16-002520.txt : 20160210 0001172661-16-002520.hdr.sgml : 20160210 20160210153518 ACCESSION NUMBER: 0001172661-16-002520 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20160210 DATE AS OF CHANGE: 20160210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL SOUTHWEST CORP CENTRAL INDEX KEY: 0000017313 IRS NUMBER: 751072796 STATE OF INCORPORATION: TX FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-20458 FILM NUMBER: 161405494 BUSINESS ADDRESS: STREET 1: 5400 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1300 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 9722338242 MAIL ADDRESS: STREET 1: 5400 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1300 CITY: DALLAS STATE: TX ZIP: 75240 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Evercore Trust Company, N.A. CENTRAL INDEX KEY: 0001466052 IRS NUMBER: 264691954 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 55 EAST 52ND STREET STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10055 BUSINESS PHONE: 646-264-2354 MAIL ADDRESS: STREET 1: 55 EAST 52ND STREET STREET 2: 23RD FLOOR CITY: NEW YORK STATE: NY ZIP: 10055 SC 13G 1 cswc123115.htm SCHEDULE 13G HOLDINGS REPORT



 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934



CAPITAL SOUTHWEST CORPORATION

(Name of Issuer)

 

Common Stock

(Title of Class of Securities)

 

140501107

(CUSIP Number)

 

 

December 31, 2015
(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

x Rule 13d-1(b)

o Rule 13d-1(c)

o Rule 13d-1(d)

 

 

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

 

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

 


 

CUSIP No.  140501107
 SCHEDULE 13G
Page 2 of 6 Pages

 

         
1
NAME OF REPORTING PERSONS
 
Evercore Trust Company, N.A.
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) o
(b) o
 
3
SEC USE ONLY
 
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 New York, New York
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
5
SOLE VOTING POWER
 
166,052
6
SHARED VOTING POWER
 
942,493
7
SOLE DISPOSITIVE POWER
 
166,052
8
SHARED DISPOSITIVE POWER
 
942,493
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
1,108,545
10
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 
o
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
7.1%
12
TYPE OF REPORTING PERSON
 
BK

 

 
 

 

CUSIP No.  140501107
 SCHEDULE 13G
Page 3 of  6 Pages

 

Item 1.(a) Name of Issuer

CAPITAL SOUTHWEST CORPORATION

(b) Address of Issuer’s Principal Executive Offices

5400 Lyndon B Johnson Freeway, Dallas, Texas 75240

Item 2.(a) Name of Person Filing

Evercore Trust Company, N.A.

(b) Address of Principal Business Office, or, if none, Residence

55 East 52nd Street, 36th Floor

New York, NY 10055

(c) Citizenship

Please refer to Item 4 on each cover sheet for each filing person

 (d) Title of Class of Securities

Common Stock

 (e) CUSIP No.:

140501107

 
 

 

CUSIP No.  140501107
 SCHEDULE 13G
Page 4 of 6 Pages

 

 

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

  (a) ¨ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o);
 
  (b) x Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
 
  (c) ¨ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c);
 
  (d) ¨ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8);
 
  (e) o An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
 
  (f) ¨ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
 
  (g) ¨ A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
 
  (h) ¨ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
  (i) ¨ A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
 
  (j) ¨ A non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J);
 
  (k) ¨ A group, in accordance with §240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with §240.13d-1(b)(1)(ii)(J), please specify the type of institution:                            
       

 

 
 

 

CUSIP No. 140501107
 SCHEDULE 13G
Page 5 of 6 Pages

 

 

Item 4. Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a) Amount beneficially owned: 1,108,545

(b) Percent of class: 7.1%

(c) Number of shares as to which the person has:

(i) Sole power to vote or to direct the vote: 166,052

(ii) Shared power to vote or to direct the vote: 942,493

(iii) Sole power to dispose or to direct the disposition of: 166,052

(iv) Shared power to dispose or to direct the disposition of: 942,493

Item 5. Ownership of Five Percent or Less of a Class

 

Not Applicable

Item 6. Ownership of More Than Five Percent on Behalf of Another Person

 

Not Applicable

Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company or Control Person

 

Not Applicable

Item 8. Identification and Classification of Members of the Group

 

Not Applicable

Item 9. Notice of Dissolution of Group

 

Not Applicable

Item 10. Certification

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

 

 
 
CUSIP No.  140501107
 SCHEDULE 13G
Page 6 of 6 Pages

 

 

SIGNATURE

 

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

 

Dated: February 10, 2016

 

 

  Evercore Trust Company, N.A.
       
  By:  Ciara A. Burnham
    Name:  Ciara A. Burnham
    Title:  President & Chief Executive Officer