0000017313-21-000146.txt : 20210910 0000017313-21-000146.hdr.sgml : 20210910 20210910160618 ACCESSION NUMBER: 0000017313-21-000146 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210909 FILED AS OF DATE: 20210910 DATE AS OF CHANGE: 20210910 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Thomas William R III CENTRAL INDEX KEY: 0001369011 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 211247141 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_163130435977740.xml FORM 4 X0306 4 2021-09-09 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001369011 Thomas William R III C/O CAPITAL SOUTHWEST CORPORATION 5400 LYNDON B JOHNSON FWY STE 1300 DALLAS TX 75240 1 0 0 0 Common Stock 2021-09-09 4 S 0 4000 27.6954 D 0 I Held by the reporting person's daughter Common Stock 2021-09-09 4 P 0 2000 27.7209 A 6000 I Held by the reporting person's son Common Stock 2021-09-09 4 P 0 2000 27.7185 A 6000 I Held by reporting person's son Common Stock 8217 D Common Stock 571939 I See Footnote The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.59 to $27.78, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.86, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.77, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner of Thomas Heritage Partners, Ltd. (the "Partnership"). In such capacity, Mr. Thomas has sole voting and dispositive power with respect to 571,939 shares owned by the Partnership. Although Mr. Thomas's pecuniary interest in the shares of common stock held by the Partnership is limited to his limited partnership interest in the Partnership and his membership interest in the general partner of the Partnership, in accordance with Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, as amended, Mr. Thomas is deemed to be the beneficial owner of all of such shares of common stock. /s/ William R. Thomas 2021-09-10