0001010549-13-000752.txt : 20131219 0001010549-13-000752.hdr.sgml : 20131219 20131219175107 ACCESSION NUMBER: 0001010549-13-000752 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20131219 FILED AS OF DATE: 20131219 DATE AS OF CHANGE: 20131219 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: SCHWERTNER RAY D. CENTRAL INDEX KEY: 0001487817 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 131289219 MAIL ADDRESS: STREET 1: 12900 PRESTON ROAD STREET 2: SUITE 700 CITY: DALLAS STATE: TX ZIP: 75230 4 1 schwertner121913.xml OWNERSHIP DOCUMENT X0306 4 2013-12-19 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001487817 SCHWERTNER RAY D. 12900 PRESTON ROAD SUITE 700 DALLAS TX 75230 0 1 0 0 Vice President Common Stock 2013-12-19 4 S 0 560 34.75 D 4100 D Common Stock 2013-12-19 4 S 0 500 34.78 D 3600 D Common Stock 2013-12-19 4 S 0 600 34.80 D 3000 D Common Stock 2013-12-19 4 S 0 400 34.84 D 2600 D Common Stock 2013-12-19 4 P 0 1000 95.79 A 3600 D Incentive Stock Option 95.79 2013-12-19 4 M 0 1000 95.79 A 2011-03-22 2020-03-22 Common Stock 1000 3600 D Incentive Stock Option vests annually in five equal installments of 1,000 shares each beginning 3/22/2011. /s/ Ray D. Schwertner 2013-12-19