Bowen S. Diehl - Jun 10, 2021 Form 4 Insider Report for CAPITAL SOUTHWEST CORP (CSWC)

Role
President and CEO, Director
Signature
/s/ Bowen S. Diehl
Stock symbol
CSWC
Transactions as of
Jun 10, 2021
Transactions value $
-$162,748
Form type
4
Date filed
6/10/2021, 09:12 PM
Next filing
Nov 17, 2021

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CSWC Common Stock Award $0 +45.7K +37.83% $0.00 166K Jun 10, 2021 Direct F1
transaction CSWC Common Stock Tax liability -$163K -5.89K -3.54% $27.65 161K Jun 10, 2021 Direct F2
holding CSWC Common Stock 349K Jun 10, 2021 By PHC Investments, LLC F3
* 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.
F3 PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse.