Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| American Beacon Apollo Total Return FundXXXXX · Entity 163617 | Director | August 30, 2018 | August 30, 2018 |
| American Beacon Sound Point Enhanced Income FundXXXXX · Entity 165216 | Director | June 28, 2018 | June 29, 2018 |
| CAPITAL SOUTHWEST CORPCSWC · Entity 4655 | Director | July 31, 2017 | August 02, 2017 |
| CSW INDUSTRIALS, INC.CSW · Entity 3917 | Director · Chairman, President & CEO | October 01, 2026 | October 05, 2026 |
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.
American Beacon Apollo Total Return Fund
Report date August 30, 2018 · Filed August 30, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of beneficial interestSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2018-08-30 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
American Beacon Sound Point Enhanced Income Fund
Report date June 28, 2018 · Filed June 29, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Shares of beneficiary interestSEC Table I · non-derivative | Direct | 0 |
Reported balance
Holding disclosure · report date 2018-06-28 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 0 |
CAPITAL SOUTHWEST CORP
Report date July 31, 2017 · Filed August 02, 2017
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 31,000 |
Reported balance
After 2017-07-31 transaction · row 1
1 source rowRow 1 · 2017-07-31 · Sale · Disposed 500 · Balance 31,000 F1: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.31 to $16.32, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. |
Filing footnotes · ownership attribution and instrument terms
F1: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017.
F2: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.31 to $16.32, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected.
CSW INDUSTRIALS, INC.
Report date October 01, 2026 · Filed October 05, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 65,583 |
Ending reported balance
After 2026-10-01 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2026-10-01 · Grant · Acquired 5,095 · Balance 67,831 F1: Represents shares of restricted common stock granted to the reporting person pursuant to the issuer's 2024 Equity and Incentive Compensation Plan. The shares vest ratably over a three-year period on each annual anniversary of the grant. Row 2 · 2026-10-01 · Tax withholding · Disposed 2,248 · Balance 65,583 |
| Common StockSEC Table I · non-derivative | Indirectby ESOP | 3,219 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · Balance 3,219 |
| Performance RightsSEC Table II · derivative / convertible security | Direct | 9,836 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 9,836 F2: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 250% during a three-year performance cycle beginning on April 1, 2026 and ending on March 31, 2029 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. |
| Performance RightsSEC Table II · derivative / convertible security | Direct | 8,004 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · Balance 8,004 F3: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2025, and ending on March 31, 2028, based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. |
| Performance RightsSEC Table II · derivative / convertible security | Direct | 8,236 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · Balance 8,236 F4: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2024, and ending on March 31, 2027, based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. |
| Performance RightsSEC Table II · derivative / convertible security | Direct | 9,186 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · Balance 9,186 F5: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200%, during a performance cycle beginning April 1, 2021 and ending on March 31, 2027 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 19,685 |
Reported balance
Holding disclosure · report date 2026-10-01 · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · Balance 19,685 F6: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock at vesting. 40% of the restricted stock units vest no earlier than April 26, 2025 upon the successful recruitment and hiring of a successor Chief Executive Officer; the remaining 60% vest upon the successful first employment anniversary of a successor Chief Executive Officer. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents shares of restricted common stock granted to the reporting person pursuant to the issuer's 2024 Equity and Incentive Compensation Plan. The shares vest ratably over a three-year period on each annual anniversary of the grant.
F2: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 250% during a three-year performance cycle beginning on April 1, 2026 and ending on March 31, 2029 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock.
F3: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2025, and ending on March 31, 2028, based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock.
F4: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2024, and ending on March 31, 2027, based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock.
F5: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200%, during a performance cycle beginning April 1, 2021 and ending on March 31, 2027 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock.
F6: Each restricted stock unit represents a contingent right to receive one share of the issuer's common stock at vesting. 40% of the restricted stock units vest no earlier than April 26, 2025 upon the successful recruitment and hiring of a successor Chief Executive Officer; the remaining 60% vest upon the successful first employment anniversary of a successor Chief Executive Officer.
Past disclosures · reporting ended (2)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ChargePoint Holdings, Inc.
Report date February 26, 2021 · Filed March 02, 2021
Section 16 reporting ended · disclosed 2021-03-02. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common StockSEC Table I · non-derivative | Direct | 59,985 |
Reported balance
After 2021-02-26 transaction · row 1
1 source rowRow 1 · 2021-02-26 · Conversion · Acquired 34,985 · Balance 59,985 F1: . In connection with the closing of the business combination (the "Business Combination") between Switchback Energy Acquisition Corporation ("Switchback"), Lightning Merger Sub Inc. and ChargePoint, Inc. on February 26, 2021, the Reporting Person's shares of Class B Common Stock automatically converted into shares of Switchback's Class A Common Stock on a one-for-one basis. Upon consummation of the Business Combination, Switchback changed its name to "ChargePoint Holdings, Inc." |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 34,985 |
Reported balance
After 2021-02-26 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2021-02-26 · Other · Disposed 5,015 · Balance 34,985 F2: The shares of Class B Common Stock are convertible into shares of Switchback's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date. F3: Immediately prior to the closing of the Business Combination, the Reporting Person irrevocably surrendered and forfeited to Switchback, for no consideration and as a contribution to Switchback's capital, 5,015 shares of Class B Common Stock. |
| Class B Common StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2021-02-26 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2021-02-26 · Conversion · Disposed 34,985 · Balance 0 F1: . In connection with the closing of the business combination (the "Business Combination") between Switchback Energy Acquisition Corporation ("Switchback"), Lightning Merger Sub Inc. and ChargePoint, Inc. on February 26, 2021, the Reporting Person's shares of Class B Common Stock automatically converted into shares of Switchback's Class A Common Stock on a one-for-one basis. Upon consummation of the Business Combination, Switchback changed its name to "ChargePoint Holdings, Inc." F2: The shares of Class B Common Stock are convertible into shares of Switchback's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date. |
Filing footnotes · ownership attribution and instrument terms
F1: . In connection with the closing of the business combination (the "Business Combination") between Switchback Energy Acquisition Corporation ("Switchback"), Lightning Merger Sub Inc. and ChargePoint, Inc. on February 26, 2021, the Reporting Person's shares of Class B Common Stock automatically converted into shares of Switchback's Class A Common Stock on a one-for-one basis. Upon consummation of the Business Combination, Switchback changed its name to "ChargePoint Holdings, Inc."
F2: The shares of Class B Common Stock are convertible into shares of Switchback's Class A Common Stock on a one-for-one basis, subject to adjustment pursuant to certain anti-dilution rights, and have no expiration date.
F3: Immediately prior to the closing of the Business Combination, the Reporting Person irrevocably surrendered and forfeited to Switchback, for no consideration and as a contribution to Switchback's capital, 5,015 shares of Class B Common Stock.
RSP Permian, Inc.
Report date July 19, 2018 · Filed July 20, 2018
Section 16 reporting ended · disclosed 2018-07-20. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2018-07-19 transaction · row 1
1 source rowRow 1 · 2018-07-19 · Disposition to issuer · Disposed 26,281 · Balance 0 F1: On July 19, 2018, pursuant to the Agreement and Plan of Merger dated as of March 27, 2018 (the "Merger Agreement"), by and among Concho Resources Inc. ("Concho"), Green Merger Sub Inc. ("Merger Sub") and RSP Permian, Inc. ("RSP"), Merger Sub merged with and into RSP (the "Merger"), with RSP surviving the Merger as a wholly-owned subsidiary of Concho. F2: Pursuant to the Merger Agreement, each share of RSP common stock issued and outstanding immediately prior to the effective time of the Merger (including each outstanding share of time-based restricted stock of RSP that vested in full and was treated as a share of RSP common stock for purposes of the Merger Agreement) was converted into the right to receive 0.320 of a share of Concho common stock. On July 18, 2018 (the day prior to the Merger), the closing price of one share of Concho common stock was $149.66. |
| Common StockSEC Table I · non-derivative | IndirectBy family limited partnership | 0 |
Reported balance
After 2018-07-19 transaction · row 2
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 2 · 2018-07-19 · Disposition to issuer · Disposed 4,500 · Balance 0 F1: On July 19, 2018, pursuant to the Agreement and Plan of Merger dated as of March 27, 2018 (the "Merger Agreement"), by and among Concho Resources Inc. ("Concho"), Green Merger Sub Inc. ("Merger Sub") and RSP Permian, Inc. ("RSP"), Merger Sub merged with and into RSP (the "Merger"), with RSP surviving the Merger as a wholly-owned subsidiary of Concho. F2: Pursuant to the Merger Agreement, each share of RSP common stock issued and outstanding immediately prior to the effective time of the Merger (including each outstanding share of time-based restricted stock of RSP that vested in full and was treated as a share of RSP common stock for purposes of the Merger Agreement) was converted into the right to receive 0.320 of a share of Concho common stock. On July 18, 2018 (the day prior to the Merger), the closing price of one share of Concho common stock was $149.66. F3: Mr. Armes owns 50% of the general partner of the family limited partnership. By virtue of such ownership, Mr. Armes may be deemed to beneficially own indirectly these securities. Mr. Armes disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. |
Filing footnotes · ownership attribution and instrument terms
F1: On July 19, 2018, pursuant to the Agreement and Plan of Merger dated as of March 27, 2018 (the "Merger Agreement"), by and among Concho Resources Inc. ("Concho"), Green Merger Sub Inc. ("Merger Sub") and RSP Permian, Inc. ("RSP"), Merger Sub merged with and into RSP (the "Merger"), with RSP surviving the Merger as a wholly-owned subsidiary of Concho.
F2: Pursuant to the Merger Agreement, each share of RSP common stock issued and outstanding immediately prior to the effective time of the Merger (including each outstanding share of time-based restricted stock of RSP that vested in full and was treated as a share of RSP common stock for purposes of the Merger Agreement) was converted into the right to receive 0.320 of a share of Concho common stock. On July 18, 2018 (the day prior to the Merger), the closing price of one share of Concho common stock was $149.66.
F3: Mr. Armes owns 50% of the general partner of the family limited partnership. By virtue of such ownership, Mr. Armes may be deemed to beneficially own indirectly these securities. Mr. Armes disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein.
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 |
|---|---|---|---|---|---|---|
| October 01, 2018 Filed Oct 3, 2018 18:49 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Tax withholdingCommon Stock | 12,610 | $53.32 | $672,365.20 |
DisclosureSEC source: 0001593968-18-001310 · primary_01.xml · nonDerivative · entry 2 Armes Joseph B · CIK 0001413614 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 72,595 Read SEC document |
| October 01, 2018 Filed Oct 3, 2018 18:49 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GrantCommon Stock | 19,238 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-18-001310 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 85,205 F1 · price: Represents shares of restricted common stock granted to the reporting person pursuant to the issuer's Equity and Incentive Compensation Plan. The shares vest ratably over a three-year period on each annual anniversary of the grant. Read SEC document |
| August 17, 2018 Filed Aug 17, 2018 19:49 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GiftCommon Stock | 943 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-18-001124 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,967 F1 · shares: Represents shares donated by the Reporting Person to a charitable donor advised fund. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 22:08 UTC | RSP Permian, Inc. RSPP · Entity 164859 | Disposition to issuerCommon Stock | 4,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-020298 · doc4.xml · nonDerivative · entry 2 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Indirect · By family limited partnership Disclosed balance after: 0 F1 · kind: On July 19, 2018, pursuant to the Agreement and Plan of Merger dated as of March 27, 2018 (the "Merger Agreement"), by and among Concho Resources Inc. ("Concho"), Green Merger Sub Inc. ("Merger Sub") and RSP Permian, Inc. ("RSP"), Merger Sub merged with and into RSP (the "Merger"), with RSP surviving the Merger as a wholly-owned subsidiary of Concho. F1 · price: On July 19, 2018, pursuant to the Agreement and Plan of Merger dated as of March 27, 2018 (the "Merger Agreement"), by and among Concho Resources Inc. ("Concho"), Green Merger Sub Inc. ("Merger Sub") and RSP Permian, Inc. ("RSP"), Merger Sub merged with and into RSP (the "Merger"), with RSP surviving the Merger as a wholly-owned subsidiary of Concho. F2 · price: Pursuant to the Merger Agreement, each share of RSP common stock issued and outstanding immediately prior to the effective time of the Merger (including each outstanding share of time-based restricted stock of RSP that vested in full and was treated as a share of RSP common stock for purposes of the Merger Agreement) was converted into the right to receive 0.320 of a share of Concho common stock. On July 18, 2018 (the day prior to the Merger), the closing price of one share of Concho common stock was $149.66. F3 · ownership.nature: Mr. Armes owns 50% of the general partner of the family limited partnership. By virtue of such ownership, Mr. Armes may be deemed to beneficially own indirectly these securities. Mr. Armes disclaims beneficial ownership of these securities except to the extent of his pecuniary interest therein. Read SEC document |
| July 19, 2018 Filed Jul 20, 2018 22:08 UTC | RSP Permian, Inc. RSPP · Entity 164859 | Disposition to issuerCommon Stock | 26,281 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000899243-18-020298 · doc4.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: On July 19, 2018, pursuant to the Agreement and Plan of Merger dated as of March 27, 2018 (the "Merger Agreement"), by and among Concho Resources Inc. ("Concho"), Green Merger Sub Inc. ("Merger Sub") and RSP Permian, Inc. ("RSP"), Merger Sub merged with and into RSP (the "Merger"), with RSP surviving the Merger as a wholly-owned subsidiary of Concho. F1 · price: On July 19, 2018, pursuant to the Agreement and Plan of Merger dated as of March 27, 2018 (the "Merger Agreement"), by and among Concho Resources Inc. ("Concho"), Green Merger Sub Inc. ("Merger Sub") and RSP Permian, Inc. ("RSP"), Merger Sub merged with and into RSP (the "Merger"), with RSP surviving the Merger as a wholly-owned subsidiary of Concho. F2 · price: Pursuant to the Merger Agreement, each share of RSP common stock issued and outstanding immediately prior to the effective time of the Merger (including each outstanding share of time-based restricted stock of RSP that vested in full and was treated as a share of RSP common stock for purposes of the Merger Agreement) was converted into the right to receive 0.320 of a share of Concho common stock. On July 18, 2018 (the day prior to the Merger), the closing price of one share of Concho common stock was $149.66. Read SEC document |
| July 15, 2018 Filed Jul 17, 2018 20:53 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Tax withholdingCommon Stock | 530 | $52.90 | $28,037.00 |
DisclosureSEC source: 0001593968-18-001061 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 66,910 Read SEC document |
| July 06, 2018 Filed Jul 9, 2018 23:11 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | SaleCommon Stock | 4,250 | $53.80 | $228,650.00 |
DisclosureSEC source: 0001593968-18-001030 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman, President & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,440 F1 · kind: The transaction reported was effected pursuant to a 10b5-1 trading plan established by the reporting person on December 8, 2017. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $53.65 to $54.00, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer 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. Read SEC document |
| April 17, 2018 Filed Apr 17, 2018 21:03 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | SaleCommon Stock | 4,250 | $45.29 | $192,482.50 |
DisclosureSEC source: 0001593968-18-000680 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,689 F1 · kind: The transaction reported was effected pursuant to a 10b5-1 trading plan established by the reporting person on December 8, 2017. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.125 to $45.50, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer 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. Read SEC document |
| April 13, 2018 Filed Apr 17, 2018 17:08 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Exercise / conversionPerformance Rights · Derivative | 11,363 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-18-000679 · primary_01.xml · derivative · entry 3 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,320 Underlying: Common Stock · 11,363 shares Expires not disclosed 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_price: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 100% during a three-year performance cycle beginning on October 1, 2015 and ending on March 31, 2018 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among a predetermined peer group over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. F2 · derivative.exercise_date: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 100% during a three-year performance cycle beginning on October 1, 2015 and ending on March 31, 2018 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among a predetermined peer group over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. F2 · derivative.expiration_date: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 100% during a three-year performance cycle beginning on October 1, 2015 and ending on March 31, 2018 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among a predetermined peer group over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. Read SEC document |
| April 13, 2018 Filed Apr 17, 2018 17:08 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Tax withholdingCommon Stock | 2,094 | $44.90 | $94,020.60 |
DisclosureSEC source: 0001593968-18-000679 · primary_01.xml · nonDerivative · entry 2 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 55,507 Read SEC document |
| April 13, 2018 Filed Apr 17, 2018 17:08 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Exercise / conversionCommon Stock | 7,954 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-18-000679 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 57,601 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. Read SEC document |
| April 09, 2018 Filed Apr 11, 2018 14:28 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GrantPerformance Rights · Derivative | 15,554 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-18-000664 · primary_01.xml · derivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 68,683 Underlying: Common Stock · 15,554 shares Expires not disclosed F1 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2018 and ending on March 31, 2021 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. F1 · derivative.exercise_date: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2018 and ending on March 31, 2021 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. F1 · derivative.expiration_date: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2018 and ending on March 31, 2021 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. Read SEC document |
| February 15, 2018 Filed Feb 16, 2018 22:56 UTC | RSP Permian, Inc. RSPP · Entity 164859 | GrantCommon Stock | 5,343 | $0.00 | $0.00 |
DisclosureSEC source: 0001588216-18-000050 · wf-form4_151882180056682.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 26,281 F1 · kind: Restricted stock grant that will vest on February 15, 2019. Read SEC document |
| February 12, 2018 Filed Feb 13, 2018 21:03 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | SaleCommon Stock | 4,250 | $45.89 | $195,032.50 |
DisclosureSEC source: 0001593968-18-000341 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 69,079 F1 · kind: The transaction reported was effected pursuant to a 10b5-1 trading plan established by the reporting person on December 8, 2017. F2 · price: The price reported is a weighted average price. These shares were sold in multiple transactions at prices ranging from $45.65 to $46.48, inclusive. The reporting person undertakes to provide to the issuer, any security holder of the issuer 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. Read SEC document |
| December 29, 2017 Filed Jan 2, 2018 16:03 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Tax withholdingCommon Stock | 7,989 | $45.95 | $367,094.55 |
DisclosureSEC source: 0001593968-18-000001 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,897 Read SEC document |
| November 29, 2017 Filed Nov 29, 2017 16:36 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GiftCommon Stock | 2,200 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-001275 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 61,886 F1 · acquired: Represents shares donated by the Reporting Person to a charitable donor advised fund. Read SEC document |
| October 01, 2017 Filed Oct 2, 2017 19:01 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Tax withholdingCommon Stock | 6,185 | $44.35 | $274,304.75 |
DisclosureSEC source: 0001593968-17-001077 · primary_01.xml · nonDerivative · entry 2 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 64,086 Read SEC document |
| October 01, 2017 Filed Oct 2, 2017 19:01 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GrantCommon Stock | 18,046 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-001077 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,271 F1 · price: Represents shares of restricted common stock granted to the reporting person pursuant to the issuer's Equity and Incentive Compensation Plan. The shares vest ratably over a three-year period on each annual anniversary of the grant. Read SEC document |
| August 15, 2017 Filed Aug 16, 2017 15:41 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GiftCommon Stock | 2,311 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000994 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,225 F1 · acquired: Represents shares donated by the Reporting Person to a charitable donor advised fund. Read SEC document |
| July 31, 2017 Filed Aug 2, 2017 15:02 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.31 | $8,156.50 |
DisclosureSEC source: 0001179110-17-010932 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,000 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.31 to $16.32, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 24, 2017 Filed Jul 24, 2017 22:22 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.27 | $8,135.00 |
DisclosureSEC source: 0001179110-17-010635 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 31,500 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.225 to $16.30, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 17, 2017 Filed Jul 18, 2017 23:34 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.14 | $8,068.00 |
DisclosureSEC source: 0001179110-17-010431 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,000 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.08 to $16.15, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 14, 2017 Filed Jul 14, 2017 20:20 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Tax withholdingCommon Stock | 385 | $39.55 | $15,226.75 |
DisclosureSEC source: 0001593968-17-000933 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,536 Read SEC document |
| July 10, 2017 Filed Jul 12, 2017 14:04 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.19 | $8,092.50 |
DisclosureSEC source: 0001179110-17-010308 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 32,500 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.15 to $16.23, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| July 03, 2017 Filed Jul 5, 2017 14:48 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.15 | $8,075.00 |
DisclosureSEC source: 0001179110-17-009939 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,000 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.04 to $16.32, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 26, 2017 Filed Jun 27, 2017 16:30 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.22 | $8,108.50 |
DisclosureSEC source: 0001179110-17-009631 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 33,500 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.14 to $16.31, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 19, 2017 Filed Jun 21, 2017 22:55 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.14 | $8,069.00 |
DisclosureSEC source: 0001179110-17-009377 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,000 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.02 to $16.27, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 12, 2017 Filed Jun 14, 2017 14:39 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.10 | $8,050.00 |
DisclosureSEC source: 0001179110-17-009053 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 34,500 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · price: The price reported in column 4 is a weighted average price. These shares were sold in multiple transactions at prices ranging from $16.05 to $16.16, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 05, 2017 Filed Jun 7, 2017 19:11 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.03 | $8,015.00 |
DisclosureSEC source: 0001179110-17-008691 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,000 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · 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 $16.10, inclusive. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| June 01, 2017 Filed Jun 2, 2017 21:18 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 1,000 | $16.00 | $16,000.00 |
DisclosureSEC source: 0001179110-17-008451 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 35,500 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. Read SEC document |
| May 15, 2017 Filed May 16, 2017 22:43 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.00 | $8,000.00 |
DisclosureSEC source: 0001179110-17-007341 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 36,500 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. Read SEC document |
| May 08, 2017 Filed May 9, 2017 20:52 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.03 | $8,015.00 |
DisclosureSEC source: 0001179110-17-006915 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,000 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. F2 · kind: This transaction was executed in multiple trades at prices ranging from $16.01 to $16.04. The price reported above reflects the weighted average purchase price. The reporting person hereby undertakes to provide upon request to the SEC staff, the issuer, or a security holder of the issuer, full information regarding the number of shares and prices at which the transaction was effected. Read SEC document |
| May 01, 2017 Filed May 2, 2017 13:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.15 | $8,075.00 |
DisclosureSEC source: 0001179110-17-006333 · edgar.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 37,500 F1 · kind: Sale of shares pursuant to Rule 10b5-1 Plan adopted on March 24, 2017. Read SEC document |
| April 24, 2017 Filed Apr 25, 2017 15:25 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 500 | $16.01 | $8,005.00 |
DisclosureSEC 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. Read SEC document |
| April 05, 2017 Filed Apr 5, 2017 22:19 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GrantPerformance Rights · Derivative | 19,359 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-17-000582 · primary_01.xml · derivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 53,129 Underlying: Common Stock · 19,359 shares Expires not disclosed F1 · derivative.exercise_price: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2017 and ending on March 31, 2020 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. F2 · derivative.exercise_date: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2017 and ending on March 31, 2020 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. F2 · derivative.expiration_date: Each performance right represents a contingent right to receive one share of the issuer's common stock at vesting. The performance rights vest at a rate between 0% and 200% during a three-year performance cycle beginning on April 1, 2017 and ending on March 31, 2020 based on the issuer's relative total shareholder return in comparison to the total shareholder return performance among the Russell 2000 Index over the performance cycle. The performance rights may be settled, at the issuer's discretion, in cash or shares of common stock. Read SEC document |
| March 10, 2017 Filed Mar 13, 2017 22:41 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 800 | $16.52 | $13,216.96 |
DisclosureSEC 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. Read SEC document |
| March 09, 2017 Filed Mar 10, 2017 17:56 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 5,200 | $16.50 | $85,803.64 |
DisclosureSEC 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. Read SEC document |
| March 03, 2017 Filed Mar 6, 2017 20:52 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | SaleCommon Stock | 8,502 | $16.60 | $141,110.24 |
DisclosureSEC 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. Read SEC document |
| February 24, 2017 Filed Feb 28, 2017 22:46 UTC | RSP Permian, Inc. RSPP · Entity 164859 | GrantCommon Stock | 4,763 | $0.00 | $0.00 |
DisclosureSEC source: 0001588216-17-000058 · wf-form4_148832198710096.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 20,938 F1 · kind: Restricted stock grant that will vest on February 24, 2018. Read SEC document |
| December 29, 2016 Filed Jan 3, 2017 11:00 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Tax withholdingCommon Stock | 7,303 | $36.95 | $269,845.85 |
DisclosureSEC source: 0001593968-17-000001 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 54,921 Read SEC document |
| December 15, 2016 Filed Dec 19, 2016 22:11 UTC | RSP Permian, Inc. RSPP · Entity 164859 | GiftCommon Stock | 1,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001588216-16-000042 · wf-form4_148218545110004.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 16,175 F1 · kind: On December 15, 2016, Mr. Armes donated 1,000 shares to a charitable trust. Read SEC document |
| December 08, 2016 Filed Dec 8, 2016 23:31 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GiftCommon Stock | 3,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-16-001294 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 62,224 F1 · shares: Represents shares donated by the Reporting Person to a charitable donor advised fund. Read SEC document |
| December 08, 2016 Filed Dec 12, 2016 23:23 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GiftCommon Stock | 3,500 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 08, 2016 Filed Mar 8, 2017 15:34 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GiftCommon Stock | 3,500 | $0.00 | $0.00 |
DisclosureSEC 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. Read SEC document |
| December 01, 2016 Filed Dec 1, 2016 20:36 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GiftCommon Stock | 2,253 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-16-001247 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,224 F1 · acquired: Represents shares donated by the Reporting Person to a charitable donor advised fund. Read SEC document |
| October 03, 2016 Filed Oct 3, 2016 19:30 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GiftCommon Stock | 1,250 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-16-001076 · primary_01.xml · nonDerivative · entry 1 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 67,477 F1 · shares: Represents shares donated by the Reporting Person to a charitable donor advised fund. Read SEC document |
| October 01, 2016 Filed Oct 3, 2016 19:30 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | GrantCommon Stock | 21,505 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-16-001076 · primary_01.xml · nonDerivative · entry 3 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 86,909 F2 · price: Represents shares of restricted common stock granted to the reporting person pursuant to the issuer's Equity and Incentive Compensation Plan. The shares vest ratably over a three-year period on each annual anniversary of the grant. Read SEC document |
| October 01, 2016 Filed Oct 3, 2016 19:30 UTC | CSW INDUSTRIALS, INC. CSWI · Entity 3917 | Tax withholdingCommon Stock | 2,073 | $0.00 | $0.00 |
DisclosureSEC source: 0001593968-16-001076 · primary_01.xml · nonDerivative · entry 2 Armes Joseph B · CIK 0001413614 · Director · Chairman & CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 65,404 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.