0001010549-13-000116.txt : 20130306 0001010549-13-000116.hdr.sgml : 20130306 20130306102656 ACCESSION NUMBER: 0001010549-13-000116 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130304 FILED AS OF DATE: 20130306 DATE AS OF CHANGE: 20130306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ASHBAUGH WILLIAM M CENTRAL INDEX KEY: 0001182922 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 13668451 MAIL ADDRESS: STREET 1: 12900 PRESTON RD STREET 2: STE 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: 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 4 1 ashbaugh030613.xml OWNERSHIP DOCUMENT X0306 4 2013-03-04 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001182922 ASHBAUGH WILLIAM M 12900 PRESTON ROAD SUITE 700 DALLAS TX 75230 0 1 0 0 Senior Vice President Common Stock 2013-03-04 4 M 0 1000 76.74 A 2750 D Common Stock 2013-03-04 4 S 0 1000 124.08 D 1750 D Incentive Stock Option 76.74 2013-03-04 4 M 0 1000 76.74 A 2010-10-19 2019-10-19 Common Stock 1000 2750 D Incentive Stock Option vests annually in five equal installments of 1,000 shares each beginning 10/19/2010. /s/ William M. Ashbaugh 2013-03-05