Joshua S. Weinstein - Jun 9, 2023 Form 4 Insider Report for CAPITAL SOUTHWEST CORP (CSWC)

Role: Senior Managing Director
Signature: Joshua S. Weinstein
Stock symbol: CSWC
Transactions as of: Jun 9, 2023
Transactions value $: -$160,548
Form type: 4
Date filed: 6/13/2023, 06:43 PM
Previous filing: Nov 16, 2022
Next filing: Nov 16, 2023

Transactions Table

Type	Sym	Class	Transaction	Value $	Shares	Change %	* Price $	Shares After	Date	Ownership	Footnotes
transaction	CSWC	Common Stock	Award	$0	+51.4K	+29.52%	$0.00	225K	Jun 9, 2023	Direct	F1
transaction	CSWC	Common Stock	Tax liability	-$161K	-8.08K	-3.59%	$19.86	217K	Jun 10, 2023	Direct	F2
holding	CSWC	Common Stock						400	Jun 9, 2023	Held by the reporting person's daughter
holding	CSWC	Common Stock						650	Jun 9, 2023	Held by reporting person's son
holding	CSWC	Common Stock						500	Jun 9, 2023	Held by the reporting person's son

* 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 2021 Employee 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 and the Capital Southwest Corporation 2021 Employee 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 2021 Employee 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 and the Capital Southwest Corporation 2021 Employee 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.