-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AnQC7mCAiyRd6LKg5CF6bNtqn2Yo/f5l9Vg6Qx+HRaoVUzwf8Vk1rXH5jweoOlcm Ji/VNwZjlRT9gakRVcEHrA== 0001099281-03-000018.txt : 20030128 0001099281-03-000018.hdr.sgml : 20030128 20030128162459 ACCESSION NUMBER: 0001099281-03-000018 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20030128 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-06834 FILM NUMBER: 03528111 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: THIRD AVENUE MANAGEMENT LLC CENTRAL INDEX KEY: 0001099281 IRS NUMBER: 010690900 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 767 THIRD AVE CITY: NEW YORK STATE: NY ZIP: 10017-2023 FORMER COMPANY: FORMER CONFORMED NAME: EQSF ADVISERS INC DATE OF NAME CHANGE: 19991118 SC 13G/A 1 capitalsouthwest2003.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 6) CAPITAL SOUTHWEST ------------------------------------------------------ (NAME OF ISSUER) COMMON STOCK, $1.00 PAR VALUE PER SHARE ------------------------------------------------------ (TITLE OF CLASS OF SECURITIES) 140501107 ------------------------------------------------------ (CUSIP NUMBER) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] 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). - - -------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS THIRD AVENUE MANAGEMENT LLC (EIN 01-0690900) - - -------------------------------------------------------------- - - -------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - - -------------------------------------------------------------- - - -------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------- - - -------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware Limited Liability Company - - -------------------------------------------------------------- - - -------------------------------------------------------------- 5 SOLE VOTING POWER 369,583 NUMBER OF --------------------------------------------- --------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY NONE --------------------------------------------- --------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 378,103 --------------------------------------------- --------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER NONE - - -------------------------------------------------------------- - - -------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 378,103 - - -------------------------------------------------------------- - - -------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - - -------------------------------------------------------------- - - -------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.9% - - -------------------------------------------------------------- - - -------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - - -------------------------------------------------------------- - - -------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS MARTIN J. WHITMAN - - -------------------------------------------------------------- - - -------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - - -------------------------------------------------------------- - - -------------------------------------------------------------- 3 SEC USE ONLY - - -------------------------------------------------------------- - - -------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - - -------------------------------------------------------------- - - -------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 24,244 --------------------------------------------- --------------------------------------------- 6 SHARED VOTING POWER SHARES NONE BENEFICIALLY OWNED BY --------------------------------------------- --------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 24,244 --------------------------------------------- --------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER NONE - - -------------------------------------------------------------- - - -------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 24,244 - - -------------------------------------------------------------- - - -------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - - -------------------------------------------------------------- - - -------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.6% - - -------------------------------------------------------------- - - -------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - - -------------------------------------------------------------- ITEM 1. (A) NAME OF ISSUER: Capital Southwest (the "Issuer"). (B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES OR,IF NONE, RESIDENCE: 12900 Preston Road, Suite 700, Dallas, TX 75230 ITEM 2. (A) NAME OF PERSON FILING: This schedule is being jointly filed by Third Avenue Management ("TAM") and Martin J. Whitman, the Chief Investment Officer of TAM (TAM and Martin J. Whitman are sometimes collectively referred to hereinafter as "Filer"). Attached hereto as an exhibit is a copy of the joint Schedule 13G filing agreement among the reporting persons. (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE: The address of the principal executive office of TAM and Mr. Whitman is: 767 Third Avenue, New York, New York 10017-2023. (C) CITIZENSHIP: The citizenship or place of organization of each of the reporting persons is as follows: Third Avenue Management LLC- Delaware Limited Liability Company Martin J. Whitman- United States Citizen. (D) TITLE OF CLASS OF SECURITIES: Common Stock, $1.00 par value per share. (E) CUSIP NUMBER: 140501107 ITEM 3. IF THIS STATEMENT IS BEING FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: (E) Investment Adviser. TAM is registered under section 203 of the Investment Advisors Act of 1940. ITEM 4. OWNERSHIP. (a) & (b) TAM beneficially owns 139,111 shares or 9.9% of the class of securities of the issuer. Martin J. Whitman ("MJW") beneficially owns 24,244 shares or 0.6% of the class of securities of the issuer. (c) (i) TAM: 139,111 MJW: 24,244 (ii) Not applicable. (iii) TAM: 139,111 MJW: 24,244 (iv) Not applicable. 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. Third Avenue Value Fund, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of, 83,370 of the shares reported by TAM, Third Avenue Value Portfolio of the AEGON/Transamerica Series, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of 19,741 of the shares reported by TAM, Third Avenue Value Portfolio of the Third Avenue Variable Series Trust, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of 7,000 of the shares reported by TAM, Third Avenue Value Portfolio of the Integrity Life/Legends Series, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale, of 9,500 of the shares reported by TAM, and Third Avenue Small-Cap Value Fund, an investment company registered under the Investment Company Act of 1940, has the right to receive dividends from, and the proceeds from the sale of, 13,500 of the shares reported by TAM. Various separately managed clients for whom TAM acts as investment advisor have the right to receive dividends from, and the proceeds of the sale of, the shares reported by TAM. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. 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 in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 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. January 28, 2003 --------------------------- (Date) THIRD AVENUE MANAGEMENT LLC BY:/S/ MARTIN J. WHITMAN ------------------------ Martin J. Whitman Chairman and Chief Investment Officer /S/ MARTIN J. WHITMAN ----------------------- Martin J. Whitman, President EX-1 2 capitaljoint.txt Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1 (f) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other Reporting Entities (as such term is defined in the Schedule 13G) on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to the Common Stock, $1.00 par value per share, of Capital Southwest, and that this Agreement be included as an Exhibit to such joint filing. This Agreement may be executed in any number of counterparts all of which taken together shall constitute one and the same instrument. IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 28th day of January, 2003. THIRD AVENUE MANAGEMENT LLC By:/s/ MARTIN J. WHITMAN -------------------------- Martin J. Whitman Chairman and Chief Executive Officer /s/ MARTIN J. WHITMAN -------------------------- Martin J. Whitman -----END PRIVACY-ENHANCED MESSAGE-----