Michael Scott Sarner - Nov 15, 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: Nov 15, 2021
Transactions value $: -$273,088
Form type: 4
Date filed: 11/17/2021, 03:10 PM
Previous filing: Nov 9, 2021
Next filing: Jun 10, 2022

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CSWC	Common Stock	Tax liability	-$273K	-9.97K	-3.47%	$27.38	277K	Nov 15, 2021	Direct	F1

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

Explanation of Responses:

Id	Content
F1	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 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.