Form 4 for CSWC CAPITAL SOUTHWEST CORP
Accepted 2021-09-10 00:00:00 ET · period of report 2021-09-09 · accession 0000017313-21-000146 · SEC index · Original document
Summary rows
Aggregated the way they appear in lists: one row per insider, transaction code and security table.
| X | Filed | Traded | Ticker | Insider | Title | Type | Price | Qty | Owned | ΔOwn | Value |
|---|---|---|---|---|---|---|---|---|---|---|---|
| I | 2021-09-10 | 2021-09-09 | CSWC | Thomas William R III | Dir | S - Sale | $27.70 | -4,000 | 0 | -100% | -$110.8K |
| MI | 2021-09-10 | 2021-09-09 | CSWC | Thomas William R III | Dir | P - Purchase | $27.72 | +4,000 | 6,000 | +200% | +$110.9K |
Purchase Sale Sale after option exercise All abbreviations
Every reported transaction
| # | Table | Security | Date | Code | A/D | Shares | Price | Owned after | Own | Exercise / expiry | Underlying | Footnotes |
|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1 | Common | Common Stock | 2021-09-09 | S | D | 4,000 | $27.70 | 0 | I Held by the reporting person's daughter | — | — | (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. |
| 2 | Common | Common Stock | 2021-09-09 | P | A | 2,000 | $27.72 | 6,000 | I Held by the reporting person's son | — | — | (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. |
| 3 | Common | Common Stock | 2021-09-09 | P | A | 2,000 | $27.72 | 6,000 | I Held by reporting person's son | — | — | (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. |