-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, MudJWxg4j036qMcWKfhdCB35jhPkBfnoCnsczMKqH3gKRu7BOa3pRuf6sF6Ryb31 GHA0zHo9ZEo3WNyG2k8czg== 0001010549-04-000814.txt : 20041207 0001010549-04-000814.hdr.sgml : 20041207 20041207161622 ACCESSION NUMBER: 0001010549-04-000814 CONFORMED SUBMISSION TYPE: 40-17F2 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20041207 DATE AS OF CHANGE: 20041207 EFFECTIVENESS DATE: 20041207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL SOUTHWEST CORP CENTRAL INDEX KEY: 0000017313 IRS NUMBER: 751072796 STATE OF INCORPORATION: TX FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 40-17F2 SEC ACT: 1940 Act SEC FILE NUMBER: 811-01056 FILM NUMBER: 041188661 BUSINESS ADDRESS: STREET 1: 12900 PRESTON RD STE 700 CITY: DALLAS STATE: TX ZIP: 75230 BUSINESS PHONE: 9722338242 MAIL ADDRESS: STREET 1: 12900 PRESTON RD STREET 2: SUITE 700 CITY: DALLAS STATE: TX ZIP: 75230 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL SOUTHWEST CORP CENTRAL INDEX KEY: 0000017313 IRS NUMBER: 751072796 STATE OF INCORPORATION: TX FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 40-17F2 BUSINESS ADDRESS: STREET 1: 12900 PRESTON RD STE 700 CITY: DALLAS STATE: TX ZIP: 75230 BUSINESS PHONE: 9722338242 MAIL ADDRESS: STREET 1: 12900 PRESTON RD STREET 2: SUITE 700 CITY: DALLAS STATE: TX ZIP: 75230 40-17F2 1 capitaln17f2102904.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Pursuant to Rule 17f-2 [17 CFR 270.17f-2] - -------------------------------------------------------------------------------- 1. Investment Company Act File Number: Date examination completed: 811-1056 October 29, 2004 - -------------------------------------------------------------------------------- 2. State identification Number: - -------------------------------------------------------------------------------- AL AK AZ AR CA CO - -------------------------------------------------------------------------------- CT DE DC FL GA HI - -------------------------------------------------------------------------------- ID IL IN IA KS KY - -------------------------------------------------------------------------------- LA ME MD MA MI MN - -------------------------------------------------------------------------------- MS MO MT NE NV NH - -------------------------------------------------------------------------------- NJ NM NY NC ND OH - -------------------------------------------------------------------------------- OK OR PA RI SC SD - -------------------------------------------------------------------------------- TN TX UT VT VA WA - -------------------------------------------------------------------------------- WV WI WY PUERTO RICO - -------------------------------------------------------------------------------- Other (specify): - -------------------------------------------------------------------------------- 3. Exact name of investment company as specified in registration statement: Capital Southwest Corporation - -------------------------------------------------------------------------------- 4. Address of principal executive office (number, street, city, state, zip code): 12900 Preston Road, Suite 700, Dallas, Texas 75230 - -------------------------------------------------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM N-17f-2 Certificate of Accounting of Securities and Similar Investments in the Custody of Management Investment Companies Pursuant to Rule 17f-2 [17 CFR 270.17f-2] - -------------------------------------------------------------------------------- 1. Investment Company Act File Number: Date examination completed: 811-1947 October 29, 2004 - -------------------------------------------------------------------------------- 2. State identification Number: - -------------------------------------------------------------------------------- AL AK AZ AR CA CO - -------------------------------------------------------------------------------- CT DE DC FL GA HI - -------------------------------------------------------------------------------- ID IL IN IA KS KY - -------------------------------------------------------------------------------- LA ME MD MA MI MN - -------------------------------------------------------------------------------- MS MO MT NE NV NH - -------------------------------------------------------------------------------- NJ NM NY NC ND OH - -------------------------------------------------------------------------------- OK OR PA RI SC SD - -------------------------------------------------------------------------------- TN TX UT VT VA WA - -------------------------------------------------------------------------------- WV WI WY PUERTO RICO - -------------------------------------------------------------------------------- Other (specify): - -------------------------------------------------------------------------------- 3. Exact name of investment company as specified in registration statement: Capital Southwest Venture Corporation - -------------------------------------------------------------------------------- 4. Address of principal executive office (number, street, city, state, zip code): 12900 Preston Road, Suite 700, Dallas, Texas 75230 - -------------------------------------------------------------------------------- Report of Independent Certified Public Accountants To the Board of Directors of Capital Southwest Corporation and Subsidiary: We have examined management's assertion, included in the accompanying Management Statement Regarding Compliance With Certain Provisions of the Investment Company Act of 1940, that Capital Southwest Corporation and subsidiary (the "Company") complied with the requirements of subsections (b) and (c) of rule 17f-2 under the Investment Company Act of 1940 (the "Act") as of October 29, 2004. Management is responsible for the Company's compliance with those requirements. Our responsibility is to express an opinion on management's assertion about the Company's compliance based on our examination. Our examination was conducted in accordance with attestation standards established by the American Institute of Certified Public Accountants and, accordingly, included examining, on a test basis, evidence about the Company's compliance with those requirements and performing such other procedures as we considered necessary in the circumstances. Included among our procedures were the following tests performed as of October 29, 2004, and with respect to agreement of security purchases and sales, for the period from March 31, 2004 (the date of the last examination) through October 29, 2004: o Count and inspection of all securities located in the vault of Bank One Safekeeping Department in Oklahoma City, Oklahoma, o Confirmation of all securities held by Smith Barney, o Reconciliation of all such securities to the books and records of the Company, and o Agreement of fourteen security purchases and ten security sales or maturities since the date of the last examination from the books and records of the Company to the Company's bank statements. We believe that our examination provides a reasonable basis for our opinion. Our examination does not provide a legal determination on the Company's compliance with specified requirements. In our opinion, management's assertion that Capital Southwest Corporation and subsidiary complied with the requirements of subsections (b) and (c) of rule 17f-2 of the Act as of October 29, 2004, with respect to securities reflected in the investment account of the Company is fairly stated, in all material respects. This report is intended solely for the information and use of management and the Board of Directors of Capital Southwest Corporation and subsidiary and the Securities and Exchange Commission and is not intended to be and should not be used by anyone other than these specified parties. /s/ Grant Thornton LLP Dallas, Texas November 18, 2004 Management Statement Regarding Compliance With Certain Provisions of the Investment Company Act of 1940 We, as members of management of Capital Southwest Corporation and subsidiary (the "Company"), are responsible for complying with the requirements of subsections (b) and (c) of rule 17f-2, "Custody of Investments by Registered Management Investment Companies," of the Investment Company Act of 1940. We are also responsible for establishing and maintaining effective internal controls over compliance with those requirements. We have performed an evaluation of the Company's compliance with the requirements of subsections (b) and (c) of rule 17f-2 as of October 29, 2004, and from March 31, 2004 through October 29, 2004. Based on this evaluation, we assert that the Company was in compliance with the requirements of subsections (b) and (c) of rule 17f-2 of the Investment Company Act of 1940 as of October 29, 2004, and from March 31, 2004 through October 29, 2004, with respect to securities reflected in the investment account of the Company. Capital Southwest Corporation [Name of Company] /s/ Susan K. Hodgson [Name] Secretary-Treasurer [Title] November 18, 2004 [Date] -----END PRIVACY-ENHANCED MESSAGE-----