Reported relationships
Latest disclosed role at each company.
No relationships currently tracked through insider filings.
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
CAPITAL SOUTHWEST CORP
Report date August 25, 2017 · Filed August 29, 2017
Jointly reported with Moab Partners LP, Moab Capital Partners LLC, Rothenberg Michael
Section 16 reporting ended · disclosed 2017-08-29. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,474,742 |
Last balance in matching sequence
After 2017-08-28 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2017-08-25 · Sale · Disposed 47,250 · Balance 1,477,833 F1: 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. Row 2 · 2017-08-25 · Sale · Disposed 1,768 · Balance 1,476,065 F1: 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. Row 3 · 2017-08-28 · Sale · Disposed 1,323 · Balance 1,474,742 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| August 28, 2017 Filed Aug 29, 2017 20:06 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 1,323 | $17.40 | $23,020.20 |
DisclosureSEC source: 0000899243-17-021156 · 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: 1,474,742 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. Read SEC document |
| August 28, 2017 Filed Aug 29, 2017 20:05 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 1,400 | $17.40 | $24,360.00 |
DisclosureSEC source: 0000899243-17-021153 · 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: 1,573,594 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. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 20:06 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 1,768 | $17.33 | $30,644.21 |
DisclosureSEC source: 0000899243-17-021156 · 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: 1,476,065 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. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 20:06 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 47,250 | $17.30 | $817,425.00 |
DisclosureSEC source: 0000899243-17-021156 · 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: 1,477,833 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. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 20:05 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 1,870 | $17.33 | $32,412.15 |
DisclosureSEC source: 0000899243-17-021153 · 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: 1,574,994 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. Read SEC document |
| August 25, 2017 Filed Aug 29, 2017 20:05 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 50,000 | $17.30 | $865,000.00 |
DisclosureSEC source: 0000899243-17-021153 · 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: 1,576,864 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. Read SEC document |
| April 10, 2017 Filed Apr 13, 2017 01:46 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 100 | $17.02 | $1,702.00 |
DisclosureSEC 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. Read SEC document |
| April 10, 2017 Filed Apr 13, 2017 01:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 100 | $17.02 | $1,702.00 |
DisclosureSEC 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. Read SEC document |
| April 05, 2017 Filed Apr 6, 2017 01:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 802 | $16.95 | $13,593.90 |
DisclosureSEC 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. Read SEC document |
| April 05, 2017 Filed Apr 6, 2017 01:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 700 | $16.95 | $11,865.00 |
DisclosureSEC 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. Read SEC document |
| April 05, 2017 Filed Apr 6, 2017 01:47 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 802 | $16.95 | $13,593.90 |
DisclosureSEC 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. Read SEC document |
| April 05, 2017 Filed Apr 6, 2017 01:47 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 700 | $16.95 | $11,865.00 |
DisclosureSEC 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. Read SEC document |
| April 04, 2017 Filed Apr 6, 2017 01:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 236 | $16.92 | $3,992.53 |
DisclosureSEC 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. Read SEC document |
| April 04, 2017 Filed Apr 6, 2017 01:47 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 236 | $16.92 | $3,992.53 |
DisclosureSEC 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. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 01:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 1,400 | $16.84 | $23,576.00 |
DisclosureSEC 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. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 01:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 100 | $17.34 | $1,733.50 |
DisclosureSEC 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. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 01:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 50 | $17.16 | $858.00 |
DisclosureSEC 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. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 01:47 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 1,400 | $16.84 | $23,576.00 |
DisclosureSEC 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. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 01:47 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 100 | $17.34 | $1,733.50 |
DisclosureSEC 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. Read SEC document |
| April 03, 2017 Filed Apr 6, 2017 01:47 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 50 | $17.16 | $858.00 |
DisclosureSEC 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. Read SEC document |
| March 31, 2017 Filed Mar 31, 2017 23:54 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 400 | $16.84 | $6,736.00 |
DisclosureSEC 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. Read SEC document |
| March 31, 2017 Filed Mar 31, 2017 23:23 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 400 | $16.84 | $6,736.00 |
DisclosureSEC 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. Read SEC document |
| March 29, 2017 Filed Mar 31, 2017 23:54 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 200 | $16.84 | $3,368.00 |
DisclosureSEC 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. Read SEC document |
| March 29, 2017 Filed Mar 31, 2017 23:23 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 200 | $16.84 | $3,368.00 |
DisclosureSEC 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. Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 20:56 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 100 | $16.73 | $1,673.00 |
DisclosureSEC 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 Read SEC document |
| January 13, 2017 Filed Jan 18, 2017 20:55 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 100 | $16.73 | $1,673.00 |
DisclosureSEC 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. Read SEC document |
| January 06, 2017 Filed Jan 10, 2017 19:57 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 2,343 | $16.80 | $39,367.32 |
DisclosureSEC 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 Read SEC document |
| January 06, 2017 Filed Jan 10, 2017 19:57 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 3,100 | $16.80 | $52,080.00 |
DisclosureSEC 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 Read SEC document |
| January 06, 2017 Filed Jan 10, 2017 19:55 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 2,343 | $16.80 | $39,367.32 |
DisclosureSEC 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. Read SEC document |
| January 06, 2017 Filed Jan 10, 2017 19:55 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 3,100 | $16.80 | $52,080.00 |
DisclosureSEC 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. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 20:42 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 4,746 | $16.74 | $79,448.04 |
DisclosureSEC 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 Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 20:42 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 18,972 | $16.75 | $317,708.91 |
DisclosureSEC 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 Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 20:42 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 4,746 | $16.74 | $79,448.04 |
DisclosureSEC 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. Read SEC document |
| January 04, 2017 Filed Jan 6, 2017 20:42 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 18,972 | $16.75 | $317,708.91 |
DisclosureSEC 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. Read SEC document |
| June 17, 2016 Filed Feb 14, 2017 21:08 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | OtherPut Option (Right to Sell) · Derivative | 939 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0000899243-17-003976 · doc5.xml · derivative · 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: 0 Underlying: Common Stock · 93,900 shares Expires 2016-06-17 F1 · kind: Filed only to report the expiration, unexercised, of derivative securities (put options) previously reported. The actual number of shares of Common Stock subject to the derivative put option was 93,900. F2 · derivative.underlying_shares: The securities were 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. Read SEC document |
| June 17, 2016 Filed Feb 14, 2017 21:17 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | OtherPut Option (Right to Sell) · Derivative | 1,000 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0000899243-17-003978 · doc5.xml · derivative · 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: 0 Underlying: Common Stock · 100,000 shares Expires 2016-06-17 F1 · kind: Filed only to report the expiration, unexercised, of derivative securities (put options) previously reported. The actual number of shares of Common Stock subject to the derivative put option was 100,000. F2 · derivative.underlying_shares: 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. Read SEC document |
| June 17, 2016 Filed May 15, 2017 20:24 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | OtherPut Option (Right to Sell) · Derivative | 939 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0000899243-17-013106 · doc5a.xml · derivative · 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: 0 Underlying: Common Stock · 93,900 shares Expires 2016-06-17 F1 · kind: Filed only to report the expiration, unexercised, of derivative securities (put options) previously reported. The actual number of shares of Common Stock subject to the derivative put option was 93,900. F2 · derivative.underlying_shares: The securities were 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. Read SEC document |
| June 17, 2016 Filed May 15, 2017 20:35 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | OtherPut Option (Right to Sell) · Derivative | 1,000 | $0.00 Strike: $12.50 | $0.00 |
DisclosureSEC source: 0000899243-17-013108 · doc5a.xml · derivative · 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: 0 Underlying: Common Stock · 100,000 shares Expires 2016-06-17 F1 · kind: Filed only to report the expiration, unexercised, of derivative securities (put options) previously reported. The actual number of shares of Common Stock subject to the derivative put option was 100,000. F2 · derivative.underlying_shares: 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.