Bowen S. Diehl - Nov 15, 2022 Form 4 Insider Report for CAPITAL SOUTHWEST CORP (CSWC)

Signature
/s/ Bowen S. Diehl
Stock symbol
CSWC
Transactions as of
Nov 15, 2022
Transactions value $
-$138,021
Form type
4
Date filed
11/16/2022, 03:12 PM
Previous filing
Jun 10, 2022
Next filing
Jun 13, 2023

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction CSWC Common Stock Tax liability -$138K -7.23K -4.11% $19.09 169K Nov 15, 2022 Direct F1
holding CSWC Common Stock 374K Nov 15, 2022 By PHC Investments, LLC F2
* 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.
F2 PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse.