0001010549-13-000118.txt : 20130306 0001010549-13-000118.hdr.sgml : 20130306 20130306120213 ACCESSION NUMBER: 0001010549-13-000118 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130305 FILED AS OF DATE: 20130306 DATE AS OF CHANGE: 20130306 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Morris Tracy L. CENTRAL INDEX KEY: 0001441303 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 13668696 MAIL ADDRESS: STREET 1: 12900 PRESTON ROAD, 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: 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 morris030613.xml OWNERSHIP DOCUMENT X0306 4 2013-03-05 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001441303 Morris Tracy L. 12900 PRESTON ROAD SUITE 700 DALLAS TX 75230 0 1 0 0 CFO Common Stock 2013-03-05 4 M 0 1000 76.74 A 1200 D Common Stock 2013-03-05 4 M 0 220 96.92 A 1420 D Common Stock 2013-03-05 4 S 0 1220 124.06 D 200 D Incentive Stock Option 76.74 2013-03-05 4 M 0 1000 76.74 A 2010-10-19 2019-10-19 Common Stock 1000 1200 D Incentive Stock Option 96.92 2013-03-05 4 M 0 220 96.92 A 2012-07-18 2021-07-18 Common Stock 220 1420 D Incentive Stock Option vests annually in five equal installments of 1,000 shares each beginning 10/19/2010. Incentive Stock Option vests annually in five equal installments of 1,000 shares each beginning 7/18/2012. /s/ Tracy L. Morris 2013-03-06