0001179110-17-010932.txt : 20170802 0001179110-17-010932.hdr.sgml : 20170802 20170802110234 ACCESSION NUMBER: 0001179110-17-010932 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20170731 FILED AS OF DATE: 20170802 DATE AS OF CHANGE: 20170802 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: 17998800 MAIL ADDRESS: STREET 1: 100 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 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: 5400 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1300 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 2142385700 MAIL ADDRESS: STREET 1: 5400 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1300 CITY: DALLAS STATE: TX ZIP: 75240 4 1 edgar.xml FORM 4 - X0306 4 2017-07-31 0 0000017313 CAPITAL SOUTHWEST CORP CSWC 0001413614 Armes Joseph B C/O CAPITAL SOUTHWEST CORPORATION 5400 LYNDON B. JOHNSON FWY, SUITE 1300 DALLAS TX 75240 1 0 0 0 Common Stock 2017-07-31 4 S 0 500 16.313 D 31000 D Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.31 to $16.32, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. /s/ Joseph B. Armes 2017-08-02