Michael Scott Sarner - Jun 10, 2021 Form 4 Insider Report for CAPITAL SOUTHWEST CORP (CSWC)

Role: Chief Financial Officer
Signature: /s/ Michael Scott Sarner
Stock symbol: CSWC
Transactions as of: Jun 10, 2021
Transactions value $: -$95,227
Form type: 4
Date filed: 6/10/2021, 09:11 PM
Next filing: Nov 9, 2021

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CSWC	Common Stock	Award	$0	+38.8K	+15.62%	$0.00	287K	Jun 10, 2021	Direct	F1
transaction	CSWC	Common Stock	Tax liability	-$95.2K	-3.44K	-1.2%	$27.65	284K	Jun 10, 2021	Direct	F2

* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id	Content
F1	Shares issued under the Capital Southwest Corporation 2010 Restricted Stock Award Plan.
F2	Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder.

Content

Shares issued under the Capital Southwest Corporation 2010 Restricted Stock Award Plan.

Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder.