0001010549-13-000464.txt : 20130717 0001010549-13-000464.hdr.sgml : 20130717 20130717170347 ACCESSION NUMBER: 0001010549-13-000464 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130715 FILED AS OF DATE: 20130717 DATE AS OF CHANGE: 20130717 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 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Armes Joseph B CENTRAL INDEX KEY: 0001413614 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 13973100 MAIL ADDRESS: STREET 1: 100 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 4 1 ames071713.xml OWNERSHIP DOCUMENT X0306 4 2013-07-15 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001413614 Armes Joseph B 12900 PRESTON ROAD SUITE 700 DALLAS TX 75230 1 1 0 0 Chief Executive Officer Common Stock 2013-07-15 4 A 0 3375 148.08 A 3375 D Common Stock 2013-07-15 4 A 0 4125 148.08 A 7500 D Common Stock 2013-07-15 4 A 0 1250 148.08 A 8750 D Incentive Stock Options 148.08 2013-07-15 4 A 0 3375 148.08 A 2014-07-15 2023-07-15 Common Stock 3375 3375 D Non-Qualified Stock Options 148.08 2013-07-15 4 A 0 4125 148.08 A 2014-07-15 2023-07-15 Common Stock 4125 7500 D Non-Qulified Stock Options 148.08 2013-07-15 4 A 0 1250 148.08 A 2014-07-15 2023-07-15 Common Stock 1250 8750 D Incentive Stock Option vests annually in five equal installments of 675 shares each beginning 7/15/14. Non-Qualified Stock Option vests annually in five equal installments of 825 shares each beginning 7/15/14. Restricted Stock Grant dated 7/15/2013 with shares awarded in five equal portions of 250 shares each beginning 7/15/14 and on each of the four subsequent anniversaries. /s/ Joseph B. Armes 2013-07-17