0000017313-23-000137.txt : 20231116 0000017313-23-000137.hdr.sgml : 20231116 20231116160845 ACCESSION NUMBER: 0000017313-23-000137 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20231115 FILED AS OF DATE: 20231116 DATE AS OF CHANGE: 20231116 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Sarner Michael Scott CENTRAL INDEX KEY: 0001648742 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 231414675 MAIL ADDRESS: STREET 1: 5400 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1300 CITY: DALLAS STATE: TX ZIP: 75240 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: 8333 DOUGLAS AVE STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75225 BUSINESS PHONE: 2142385700 MAIL ADDRESS: STREET 1: 8333 DOUGLAS AVE STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75225 4 1 wk-form4_1700168915.xml FORM 4 X0508 4 2023-11-15 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001648742 Sarner Michael Scott C/O CAPITAL SOUTHWEST CORPORATION 8333 DOUGLAS AVE, SUITE 1100 DALLAS TX 75225 0 1 0 0 Chief Financial Officer 0 Common Stock 2023-11-15 4 F 0 1869 22.17 D 352756.704 D 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. /s/ Michael Scott Sarner 2023-11-16