William R. Thomas - Sep 9, 2021 Form 4 Insider Report for CAPITAL SOUTHWEST CORP (CSWC)

Role: Director
Signature: /s/ William R. Thomas
Stock symbol: CSWC
Transactions as of: Sep 9, 2021
Transactions value $: $97
Form type: 4
Date filed: 9/10/2021, 04:06 PM
Next filing: May 5, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CSWC	Common Stock	Sale	-$111K	-4K	-100%	$27.70	0	Sep 9, 2021	Held by the reporting person's daughter	F1
transaction	CSWC	Common Stock	Purchase	$55.4K	+2K	+50%	$27.72	6K	Sep 9, 2021	Held by the reporting person's son	F2
transaction	CSWC	Common Stock	Purchase	$55.4K	+2K	+50%	$27.72	6K	Sep 9, 2021	Held by reporting person's son	F3
holding	CSWC	Common Stock						8.22K	Sep 9, 2021	Direct
holding	CSWC	Common Stock						572K	Sep 9, 2021	See Footnote	F4

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

Explanation of Responses:

Id	Content
F1	The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $27.59 to $27.78, 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.
F2	The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.86, 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.
F3	The price reported in column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $27.59 to $27.77, 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.
F4	Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner of Thomas Heritage Partners, Ltd. (the "Partnership"). In such capacity, Mr. Thomas has sole voting and dispositive power with respect to 571,939 shares owned by the Partnership. Although Mr. Thomas's pecuniary interest in the shares of common stock held by the Partnership is limited to his limited partnership interest in the Partnership and his membership interest in the general partner of the Partnership, in accordance with Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, as amended, Mr. Thomas is deemed to be the beneficial owner of all of such shares of common stock.