0001010549-14-000061.txt : 20140213 0001010549-14-000061.hdr.sgml : 20140213 20140213123007 ACCESSION NUMBER: 0001010549-14-000061 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140211 FILED AS OF DATE: 20140213 DATE AS OF CHANGE: 20140213 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL SOUTHWEST CORP CENTRAL INDEX KEY: 0000017313 IRS NUMBER: 751072796 STATE OF INCORPORATION: TX FISCAL YEAR END: 0331 BUSINESS ADDRESS: STREET 1: 12900 PRESTON RD STE 700 CITY: DALLAS STATE: TX ZIP: 75230 BUSINESS PHONE: 9722338242 MAIL ADDRESS: STREET 1: 12900 PRESTON RD STREET 2: SUITE 700 CITY: DALLAS STATE: TX ZIP: 75230 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARTIN GARY L CENTRAL INDEX KEY: 0001182931 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 14604344 MAIL ADDRESS: STREET 1: 12900 PRESTON RD STREET 2: STE 700 CITY: DALLAS STATE: TX ZIP: 75230 4 1 martin021314.xml OWNERSHIP DOCUMENT X0306 4 2014-02-11 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001182931 MARTIN GARY L C/O CAPITAL SOUTHWEST CORPORATION 12900 PRESTON ROAD, SUITE 700 DALLAS TX 75230 1 0 0 0 Common Stock 2014-02-11 4 M 0 5000 32.37 A 411292 D Common Stock 2014-02-11 4 S 0 5000 33.90 D 406292 D Common Stock 2014-02-11 4 M 0 106 32.37 A 406398 D Common Stock 2014-02-11 4 S 0 106 34.00 D 406292 D Stock options 32.37 2014-02-11 4 M 0 5106 0 A 2009-07-21 2018-07-30 Common Stock 5106 202220 D These options were vested in 5 equal installments of 14,000 shares each on 7/21/2009, 7/21/2010, 7/21/2011, 7/21/2012, and 7/21/2013. /s/ Gary L. Martin 2014-02-13