0000017313-19-000014.txt : 20190402 0000017313-19-000014.hdr.sgml : 20190402 20190402162439 ACCESSION NUMBER: 0000017313-19-000014 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190329 FILED AS OF DATE: 20190402 DATE AS OF CHANGE: 20190402 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DIEHL BOWEN S CENTRAL INDEX KEY: 0001602998 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 19725280 MAIL ADDRESS: STREET 1: 12900 PRESTON ROAD STREET 2: SUITE 700 CITY: DALLAS STATE: TX ZIP: 75230 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: 5400 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1300 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 2142385700 MAIL ADDRESS: STREET 1: 5400 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1300 CITY: DALLAS STATE: TX ZIP: 75240 4 1 wf-form4_155423666456239.xml FORM 4 X0306 4 2019-03-29 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001602998 DIEHL BOWEN S C/O CAPITAL SOUTHWEST CORPORATION 5400 LYNDON B. JOHNSON FWY, SUITE 1300 DALLAS TX 75240 1 1 0 0 President and CEO Common Stock 2019-03-29 4 M 0 2852 11 A 123275 D Common Stock 2019-03-29 4 M 0 3123 11 A 126398 D Common Stock 234397 I By PHC Investments, LLC Incentive Stock Option 11.0 2019-03-29 4 M 0 2852 0 D 2024-03-17 Common Stock 2852.0 0 D Non-qualified Stock Option 11.0 2019-03-29 4 M 0 3123 0 D 2024-03-17 Common Stock 3123.0 0 D PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse. The options, representing a right to purchase a total of 14,261 shares, became exercisable in five equal annual installments beginning on March 17, 2015. After this exercise, there are no remaining incentive stock options outstanding. The options, representing a right to purchase a total of 15,616 shares, became exercisable in five equal annual installments beginning on March 17, 2015. After this exercise, there are no remaining non-qualified stock options outstanding. /s/ Bowen S. Diehl 2019-04-02