CSWC

SEC source: 0001179110-17-006177 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,000

F2 · kind: These shares were sold by the reporting person pursuant to a Rule 10b5-1 Sales Plan (the "Plan") entered into on March 24, 2017. The Plan provides for the sale of shares of the issuer's Common Stock, subject to limit price provisions and an expiration date. To the extent any future sales occur pursuant to the Plan, such sales will be publicly disclosed in Form 4 filings with the Securities and Exchange Commission.

F3 · kind: Rule 10b5-1, promulgated under the Securities Exchange Act of 1934, allows executives of a company who are not in possession of material non-public information to establish pre-arranged plans to buy or sell a specified number of shares of such company's stock. Once a plan is established, the executive does not retain or exercise any discretion over sales of stock under the plan and the pre-planned trades may be executed at later dates as set forth in the plan, without regard to any subsequent material non-public information related to the company that the executive may receive.

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.00 to $16.06, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0000899243-17-010146 · doc4.xml · nonDerivative · entry 1

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,525,083

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-010145 · doc4.xml · nonDerivative · entry 1

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,626,864

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-009611 · doc4.xml · nonDerivative · entry 6

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,626,964

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-009611 · doc4.xml · nonDerivative · entry 5

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,627,766

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-009612 · doc4.xml · nonDerivative · entry 6

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,525,183

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-009612 · doc4.xml · nonDerivative · entry 5

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,525,985

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-009611 · doc4.xml · nonDerivative · entry 4

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,628,466

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-009612 · doc4.xml · nonDerivative · entry 4

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,526,685

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-009611 · doc4.xml · nonDerivative · entry 3

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,628,702

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-009611 · doc4.xml · nonDerivative · entry 2

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,630,102

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-009611 · doc4.xml · nonDerivative · entry 1

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,630,202

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-009612 · doc4.xml · nonDerivative · entry 3

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,526,921

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-009612 · doc4.xml · nonDerivative · entry 2

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,528,321

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-009612 · doc4.xml · nonDerivative · entry 1

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,528,421

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-009064 · doc4.xml · nonDerivative · entry 2

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,630,252

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-009060 · doc4.xml · nonDerivative · entry 2

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,528,471

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0000899243-17-009064 · doc4.xml · nonDerivative · entry 1

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,630,652

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-009060 · doc4.xml · nonDerivative · entry 1

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,528,871

F1 · balance_after: Moab Capital Partners, LLC ("Moab LLC") is the investment adviser to Moab Partners, L.P. (the "Fund") and may be deemed to beneficially own the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") . Moab GP, LLC ("Moab GP") is the general partner of the Fund and may be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act.

SEC source: 0001179110-17-004675 · edgar.xml · nonDerivative · entry 1

Brooks David R · CIK 0001573461 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 20,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were purchased in multiple transactions at prices ranging from $15.89 to $16.00, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

SEC source: 0001179110-17-004518 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 38,500

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.50 to 16.55, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001179110-17-004372 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 39,300

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.50 to 16.51, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares sold at each separate price within the range.

SEC source: 0001179110-17-004354 · edgar.xml · derivative · entry 6

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,661

Underlying: Common Stock · 33,321 shares

Expires 2024-08-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in two annual installments beginning on December 29, 2015.

SEC source: 0001179110-17-004354 · edgar.xml · derivative · entry 5

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,370

Underlying: Common Stock · 6,246 shares

Expires 2024-03-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in two equal annual installments beginning on March 17, 2015.

SEC source: 0001179110-17-004354 · edgar.xml · derivative · entry 4

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,557

Underlying: Common Stock · 5,704 shares

Expires 2024-03-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in two equal annual installments beginning on March 17, 2015.

SEC source: 0001179110-17-004354 · edgar.xml · nonDerivative · entry 3

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 192,983

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-17-004354 · edgar.xml · nonDerivative · entry 2

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 159,662

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-17-004354 · edgar.xml · nonDerivative · entry 1

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 153,416

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-17-004409 · edgar.xml · derivative · entry 7

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 52,661

Underlying: Common Stock · 33,321 shares

Expires 2024-08-28

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F4 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in two annual installments beginning on December 29, 2015.

SEC source: 0001179110-17-004409 · edgar.xml · derivative · entry 6

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,370

Underlying: Common Stock · 6,246 shares

Expires 2024-03-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in two equal annual installments beginning on March 17, 2015.

SEC source: 0001179110-17-004409 · edgar.xml · derivative · entry 5

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 8,557

Underlying: Common Stock · 5,704 shares

Expires 2024-03-17

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F2 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in two equal annual installments beginning on March 17, 2015.

SEC source: 0001179110-17-004409 · edgar.xml · nonDerivative · entry 3

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 141,233

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · balance_after: The Form 4 filed on March 9, 2017 contained a typographical error that inadvertently failed to account for the change in the form of beneficial ownership on February 2, 2017 of 51,750 shares from a direct holding to an indirect holding through PHC Investments, LLC, a limited liability company of which the reporting person and his wife are 50% owners. As of March 8, 2017, 141,233 shares were held directly by the reporting person and 51,750 shares were held indirectly by the reporting person through PHC Investments, LLC.

SEC source: 0001179110-17-004409 · edgar.xml · nonDerivative · entry 2

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 107,912

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-17-004409 · edgar.xml · nonDerivative · entry 1

DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 101,666

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

SEC source: 0001179110-17-003959 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · JBA Family Partners, L.P.

Disclosed balance after: 1,000

F1 · price: The price reported in Column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.50 to $16.725, inclusive. The reporting person undertakes to provide to Capital Southwest Corporation, any security holder of Capital Southwest Corporation, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares purchased at each separate price within the range.

SEC source: 0000899243-17-001433 · doc4.xml · nonDerivative · entry 1

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,529,071

SEC source: 0000899243-17-001432 · doc4.xml · nonDerivative · entry 1

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,630,852

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-000956 · doc4.xml · nonDerivative · entry 2

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,529,171

SEC source: 0000899243-17-000956 · doc4.xml · nonDerivative · entry 1

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,531,514

SEC source: 0000899243-17-000955 · doc4.xml · nonDerivative · entry 2

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,630,952

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-000955 · doc4.xml · nonDerivative · entry 1

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,633,295

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-000665 · doc4.xml · nonDerivative · entry 2

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,534,614

SEC source: 0000899243-17-000665 · doc4.xml · nonDerivative · entry 1

Moab Partners LP · CIK 0001393834 · 10% owner

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,539,360

SEC source: 0000899243-17-000664 · doc4.xml · nonDerivative · entry 2

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,636,395

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0000899243-17-000664 · doc4.xml · nonDerivative · entry 1

Moab Capital Partners LLC · CIK 0001377817 · 10% owner

Moab Partners LP · CIK 0001393834 · 10% owner

Moab GP LLC · CIK 0001393833 · 10% owner

Rothenberg Michael · CIK 0001393832 · 10% owner

Joint disclosure: these amounts are not allocated separately to each reporting owner.

10b5-1 filing: Not disclosed

Ownership: Indirect · Performance related fees

Disclosed balance after: 1,641,141

F1 · balance_after: The securities are owned directly by Moab Partners, L.P. (the "Fund") and a certain separately managed account (the "Managed Account"). Moab GP, LLC ("Moab GP"), the general partner of the Fund, and Moab Capital Partners, LLC ("Moab LLC"), the investment adviser to the Fund and the Managed Account, each may be deemed to beneficially own a portion or all of the securities under Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act"). Michael M. Rothenberg is the Managing Member of Moab GP and Moab LLC and may also be deemed to beneficially own the securities under Section 13(d) of the Exchange Act. Moab LLC, Moab GP and Mr. Rothenberg disclaim beneficial ownership of the securities for purposes of Section 16 of the Exchange Act, except the extent of their pecuniary interest in the securities.

SEC source: 0001179110-16-033082 · edgar.xml · nonDerivative · entry 1

Brooks David R · CIK 0001573461 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,600

SEC source: 0001179110-16-032837 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,500

F1 · shares: Represents shares donated by the Reporting Person to a charitable donor advised fund.

SEC source: 0001179110-17-004224 · edgar.xml · nonDerivative · entry 1

Armes Joseph B · CIK 0001413614 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,500

F1 · shares: Represents shares donated by the Reporting Person to a charitable donor advised fund.

F2 · balance_after: Includes 1,000 shares previously held through JBA Family Partners, L.P., a limited partnership, that were distributed to the Reporting Person on January 8, 2016, and are now owned directly.

F3 · balance_after: The Form 4 filed on December 12, 2016 contained a typographical error that inadvertently failed to account for the change in the form of beneficial ownership on January 8, 2016 of 1,000 shares from an indirect holding through JBA Family Partners, L.P., a limited partnership, to a direct holding. These 1,000 shares were also incorrectly reported as indirectly held rather than directly held in the subsequent Form 4 filed on March 6, 2017.

SEC source: 0001179110-16-031792 · edgar.xml · nonDerivative · entry 1

KELLEY DOUGLAS M. · CIK 0001631632 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 64,918.845

F1 · shares: Represents a restricted stock award of 20,000 shares.

SEC source: 0001179110-16-031793 · edgar.xml · nonDerivative · entry 1

ASHBAUGH WILLIAM M · CIK 0001182922 · Sr. VP, Managing Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 44,513

F1 · shares: Represents a restricted stock award of 5,000 shares.