0001165527-13-000548.txt : 20130612 0001165527-13-000548.hdr.sgml : 20130612 20130612143700 ACCESSION NUMBER: 0001165527-13-000548 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130611 FILED AS OF DATE: 20130612 DATE AS OF CHANGE: 20130612 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: ASHBAUGH WILLIAM M CENTRAL INDEX KEY: 0001182922 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 814-00061 FILM NUMBER: 13908616 MAIL ADDRESS: STREET 1: 12900 PRESTON RD STREET 2: STE 700 CITY: DALLAS STATE: TX ZIP: 75230 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2013-06-11 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001182922 ASHBAUGH WILLIAM M 12900 PRESTON RD STE 700 DALLAS TX 75230 0 1 0 0 Senior Vice President Common Stock 2013-06-11 4 M 0 1094 93.49 A 2844 D Common Stock 2013-06-11 4 S 0 1094 138.47 D 1750 D Common Stock 2013-06-12 4 M 0 384 93.49 A 2134 D Common Stock 2013-06-12 4 S 0 384 139.65 D 1750 D Non-Qualifying Stock Option 93.49 2013-06-11 4 M 0 1094 93.49 A 2007-05-15 2017-05-15 Common Stock 1094 2844 D Non-Qualifying Stock Option 93.49 2013-06-12 4 M 0 384 93.49 A 2007-05-15 2017-05-15 Common Stock 384 2134 D Non-Qualifying Stock Option vests annually in five equal installments of 1,500 shares each beginning 5/15/2007, then annually in five equal installments of 500 shares each beginning 5/15/2012. /s/ William M. Ashbaugh 2013-06-12