0000017313-21-000089.txt : 20210610 0000017313-21-000089.hdr.sgml : 20210610 20210610211253 ACCESSION NUMBER: 0000017313-21-000089 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210610 FILED AS OF DATE: 20210610 DATE AS OF CHANGE: 20210610 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: 211009751 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_162337395619053.xml FORM 4 X0306 4 2021-06-10 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 2021-06-10 4 A 0 45668 0 A 166398 D Common Stock 2021-06-10 4 F 0 5886 27.65 D 160512 D Common Stock 349209 I By PHC Investments, LLC Shares issued under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse. /s/ Bowen S. Diehl 2021-06-10