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