Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| CAPITAL SOUTHWEST CORPCSWC · Entity 4655 | Director · President and CEO | June 09, 2024 | June 11, 2024 |
| Crestline Lending Solutions, LLCN/A · Entity 23749 | Director | July 24, 2026 | August 13, 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.
CAPITAL SOUTHWEST CORP
Report date June 09, 2024 · Filed June 11, 2024
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 303,943 |
Ending reported balance
After 2024-06-10 transaction · row 3
3 source rows · reconciled sequenceRow 1 · 2024-06-09 · Tax withholding · Disposed 8,422 · Balance 226,225 F1: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Row 2 · 2024-06-10 · Tax withholding · Disposed 17,282 · Balance 208,943 F1: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Row 3 · 2024-06-10 · Grant · Acquired 95,000 · Balance 303,943 F2: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. |
| Common StockSEC Table I · non-derivative | IndirectBy PHC Investments, LLC | 374,481 |
Reported balance
Holding disclosure · report date 2024-06-09 · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · Balance 374,481 F3: PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse. |
Filing footnotes · ownership attribution and instrument terms
F1: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder.
F2: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan.
F3: PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse.
Crestline Lending Solutions, LLC
Report date July 24, 2026 · Filed August 13, 2026
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Limited Liability Company UnitsSEC Table I · non-derivative | IndirectBy PHC Investments, LLC | 25,477.058 |
Reported balance
After 2026-07-24 transaction · row 1
Account identity is unresolved; indirect or unspecified ownership is not merged.
1 source rowRow 1 · 2026-07-24 · Purchase · Acquired 25,477.058 · Balance 25,477.058 F1: Represents a purchase of securities from Crestline Lending Solutions, LLC (the "Company") in the form of a capital call. Under the terms of a subscription agreement between the reporting person and the Company, the reporting person is required to fund drawdowns to purchase the Company's units of limited liability interests up to the amount of their capital commitment with a minimum of ten business days' prior notice to the reporting person. F2: PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents a purchase of securities from Crestline Lending Solutions, LLC (the "Company") in the form of a capital call. Under the terms of a subscription agreement between the reporting person and the Company, the reporting person is required to fund drawdowns to purchase the Company's units of limited liability interests up to the amount of their capital commitment with a minimum of ten business days' prior notice to the reporting person.
F2: PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse.
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 |
|---|---|---|---|---|---|---|
| July 24, 2026 Filed Aug 13, 2026 19:56 UTC | Crestline Lending Solutions, LLC N/A · Entity 23749 | PurchaseLimited Liability Company Units | 25,477.058 | $19.63 | $500,114.65 |
DisclosureSEC source: 0001628280-26-056686 · wk-form4_1786650968.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director 10b5-1 filing: No plan indicated Ownership: Indirect · By PHC Investments, LLC Disclosed balance after: 25,477.058 F1 · shares: Represents a purchase of securities from Crestline Lending Solutions, LLC (the "Company") in the form of a capital call. Under the terms of a subscription agreement between the reporting person and the Company, the reporting person is required to fund drawdowns to purchase the Company's units of limited liability interests up to the amount of their capital commitment with a minimum of ten business days' prior notice to the reporting person. F2 · ownership.nature: PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse. Read SEC document |
| June 10, 2024 Filed Jun 11, 2024 20:06 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GrantCommon Stock | 95,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-24-000043 · wk-form4_1718136380.xml · nonDerivative · entry 3 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 303,943 F2 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| June 10, 2024 Filed Jun 11, 2024 20:06 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Tax withholdingCommon Stock | 17,282 | $26.13 | $451,578.66 |
DisclosureSEC source: 0000017313-24-000043 · wk-form4_1718136380.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 208,943 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 09, 2024 Filed Jun 11, 2024 20:06 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Tax withholdingCommon Stock | 8,422 | $26.13 | $220,066.86 |
DisclosureSEC source: 0000017313-24-000043 · wk-form4_1718136380.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 226,225 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| November 15, 2023 Filed Nov 16, 2023 21:10 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Tax withholdingCommon Stock | 2,213 | $22.17 | $49,062.21 |
DisclosureSEC source: 0000017313-23-000139 · wk-form4_1700168993.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 234,639 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2023 Filed Jun 13, 2023 22:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Tax withholdingCommon Stock | 17,282 | $19.86 | $343,220.52 |
DisclosureSEC source: 0000017313-23-000061 · wf-form4_168669630130983.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 236,852 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan and the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 09, 2023 Filed Jun 13, 2023 22:45 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GrantCommon Stock | 85,612 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-23-000061 · wf-form4_168669630130983.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: No plan indicated Ownership: Direct Disclosed balance after: 254,134 F1 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| November 15, 2022 Filed Nov 16, 2022 21:12 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Tax withholdingCommon Stock | 7,230 | $19.09 | $138,020.70 |
DisclosureSEC source: 0000017313-22-000122 · wf-form4_166863313659969.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 168,520 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2022 Filed Jun 10, 2022 22:33 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Tax withholdingCommon Stock | 11,046 | $21.62 | $238,814.52 |
DisclosureSEC source: 0000017313-22-000055 · wf-form4_165490039806467.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 190,258 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2022 Filed Jun 10, 2022 22:33 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GrantCommon Stock | 63,397 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-22-000055 · wf-form4_165490039806467.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 201,304 F1 · kind: Shares issued under the Capital Southwest Corporation 2021 Employee Restricted Stock Award Plan. Read SEC document |
| November 15, 2021 Filed Nov 17, 2021 21:13 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Tax withholdingCommon Stock | 11,833 | $27.38 | $323,987.54 |
DisclosureSEC source: 0000017313-21-000199 · wf-form4_163718359380589.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 137,897 F1 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 01:12 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Tax withholdingCommon Stock | 5,886 | $27.65 | $162,747.90 |
DisclosureSEC source: 0000017313-21-000089 · wf-form4_162337395619053.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 160,512 F2 · kind: Shares withheld for payment of tax liability upon vesting of restricted shares granted under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. This withholding transaction was approved by the Compensation Committee of Capital Southwest's Board of Directors in accordance with Rule 16b-3(d)(1) of the Securities Exchange Act of 1934 (the "Act"), and as such, the sale is exempt from section 16(b) of the Act pursuant to Rule 16b-3(e) promulgated thereunder. Read SEC document |
| June 10, 2021 Filed Jun 11, 2021 01:12 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GrantCommon Stock | 45,668 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-21-000089 · wf-form4_162337395619053.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 166,398 F1 · kind: Shares issued under the Capital Southwest Corporation 2010 Restricted Stock Award Plan. Read SEC document |
| June 10, 2020 Filed Jun 11, 2020 20:23 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GrantCommon Stock | 66,631 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-20-000062 · wf-form4_159190702221075.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 161,577 F1 · shares: Represents a restricted stock award of 66,631 shares. Read SEC document |
| March 20, 2020 Filed Mar 23, 2020 20:05 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | PurchaseCommon Stock | 20,000 | $9.46 | $189,200.00 |
DisclosureSEC source: 0000017313-20-000038 · wf-form4_158499390771928.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Indirect · By PHC Investments, LLC Disclosed balance after: 308,353 F1 · ownership.nature: In connection with the vesting of the restricted stock awards directly held by the reporting person, the reporting person transferred such shares to PHC Investments, LLC. PHC Investments, LLC is fifty percent owned by the reporting person and fifty percent owned by his spouse. Read SEC document |
| November 15, 2019 Filed Nov 18, 2019 21:14 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GrantCommon Stock | 22,500 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-19-000107 · wf-form4_157411164215215.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,923 F1 · shares: Represents a restricted stock award of 22,500 shares. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:24 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 3,123 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0000017313-19-000014 · wf-form4_155423666456239.xml · derivative · entry 5 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 3,123 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in five equal annual installments beginning on March 17, 2015. After this exercise, there are no remaining non-qualified stock options outstanding. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:24 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionIncentive Stock Option · Derivative | 2,852 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0000017313-19-000014 · wf-form4_155423666456239.xml · derivative · entry 4 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,852 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in five equal annual installments beginning on March 17, 2015. After this exercise, there are no remaining incentive stock options outstanding. Read SEC document |
| March 29, 2019 Filed Apr 2, 2019 20:24 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 3,123 | $11.00 | $34,353.00 |
DisclosureSEC source: 0000017313-19-000014 · wf-form4_155423666456239.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 126,398 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 |
| March 29, 2019 Filed Apr 2, 2019 20:24 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 2,852 | $11.00 | $31,372.00 |
DisclosureSEC source: 0000017313-19-000014 · wf-form4_155423666456239.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,275 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 |
| November 15, 2018 Filed Nov 16, 2018 21:14 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GrantCommon Stock | 51,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000017313-18-000064 · wf-form4_154240283697853.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 154,655 F1 · shares: Represents a restricted stock award of 51,000 shares. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 20:13 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 50,000 | $0.00 Strike: $11.53 | $0.00 |
DisclosureSEC source: 0000017313-18-000039 · wf-form4_153453681762516.xml · derivative · entry 3 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 50,000 shares Expires 2024-08-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in three annual installments beginning on December 29, 2015. Read SEC document |
| August 15, 2018 Filed Aug 17, 2018 20:13 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 50,000 | $11.53 | $576,500.00 |
DisclosureSEC source: 0000017313-18-000039 · wf-form4_153453681762516.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 169,257 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 |
| June 20, 2018 Filed Jun 21, 2018 20:13 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 2,661 | $0.00 Strike: $11.53 | $0.00 |
DisclosureSEC source: 0001179110-18-008896 · edgar.xml · derivative · entry 7 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 2,661 shares Expires 2024-08-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in three annual installments beginning on December 29, 2015. Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 20:13 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 6,247 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0001179110-18-008896 · edgar.xml · derivative · entry 6 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,123 Underlying: Common Stock · 6,247 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in three equal annual installments beginning on March 17, 2015. Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 20:13 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionIncentive Stock Option · Derivative | 5,705 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0001179110-18-008896 · edgar.xml · derivative · entry 5 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,852 Underlying: Common Stock · 5,705 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in three equal annual installments beginning on March 17, 2015. Read SEC document |
| June 20, 2018 Filed Jun 21, 2018 20:13 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 2,661 | $11.53 | $30,681.33 |
DisclosureSEC source: 0001179110-18-008896 · edgar.xml · nonDerivative · entry 3 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,257 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 |
| June 20, 2018 Filed Jun 21, 2018 20:13 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 6,247 | $11.00 | $68,717.00 |
DisclosureSEC source: 0001179110-18-008896 · edgar.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,596 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 |
| June 20, 2018 Filed Jun 21, 2018 20:13 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 5,705 | $11.00 | $62,755.00 |
DisclosureSEC source: 0001179110-18-008896 · edgar.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,349 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 |
| June 20, 2018 Filed Jul 16, 2018 21:01 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 2,661 | $0.00 Strike: $11.53 | $0.00 |
DisclosureSEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · derivative · entry 7 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 50,000 Underlying: Common Stock · 2,661 shares Expires 2024-08-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F5 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in three annual installments beginning on December 29, 2015. Read SEC document |
| June 20, 2018 Filed Jul 16, 2018 21:01 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 6,247 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · derivative · entry 6 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 3,123 Underlying: Common Stock · 6,247 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in three equal annual installments beginning on March 17, 2015. Read SEC document |
| June 20, 2018 Filed Jul 16, 2018 21:01 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionIncentive Stock Option · Derivative | 5,705 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · derivative · entry 5 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,852 Underlying: Common Stock · 5,705 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in three equal annual installments beginning on March 17, 2015. Read SEC document |
| June 20, 2018 Filed Jul 16, 2018 21:01 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 2,661 | $11.53 | $30,681.33 |
DisclosureSEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · nonDerivative · entry 3 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 119,257 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 |
| June 20, 2018 Filed Jul 16, 2018 21:01 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 6,247 | $11.00 | $68,717.00 |
DisclosureSEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 116,596 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 |
| June 20, 2018 Filed Jul 16, 2018 21:01 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 5,705 | $11.00 | $62,755.00 |
DisclosureSEC source: 0000017313-18-000027 · wf-form4a_153177488321597.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 110,349 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 |
| November 15, 2017 Filed Nov 17, 2017 21:35 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | GrantCommon Stock | 46,800 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-17-014321 · edgar.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,807 F1 · shares: Represents a restricted stock award of 46,800 shares. Read SEC document |
| March 08, 2017 Filed Mar 9, 2017 23:02 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 33,321 | $0.00 Strike: $11.53 | $0.00 |
DisclosureSEC source: 0001179110-17-004354 · edgar.xml · derivative · entry 6 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,661 Underlying: Common Stock · 33,321 shares Expires 2024-08-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in two annual installments beginning on December 29, 2015. Read SEC document |
| March 08, 2017 Filed Mar 9, 2017 23:02 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 6,246 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0001179110-17-004354 · edgar.xml · derivative · entry 5 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,370 Underlying: Common Stock · 6,246 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in two equal annual installments beginning on March 17, 2015. Read SEC document |
| March 08, 2017 Filed Mar 9, 2017 23:02 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionIncentive Stock Option · Derivative | 5,704 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0001179110-17-004354 · edgar.xml · derivative · entry 4 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,557 Underlying: Common Stock · 5,704 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in two equal annual installments beginning on March 17, 2015. Read SEC document |
| March 08, 2017 Filed Mar 9, 2017 23:02 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 33,321 | $11.53 | $384,191.13 |
DisclosureSEC source: 0001179110-17-004354 · edgar.xml · nonDerivative · entry 3 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 192,983 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 08, 2017 Filed Mar 9, 2017 23:02 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 6,246 | $11.00 | $68,706.00 |
DisclosureSEC source: 0001179110-17-004354 · edgar.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 159,662 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 08, 2017 Filed Mar 9, 2017 23:02 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 5,704 | $11.00 | $62,744.00 |
DisclosureSEC source: 0001179110-17-004354 · edgar.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 153,416 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 20:57 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 33,321 | $0.00 Strike: $11.53 | $0.00 |
DisclosureSEC source: 0001179110-17-004409 · edgar.xml · derivative · entry 7 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 52,661 Underlying: Common Stock · 33,321 shares Expires 2024-08-28 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_date: The options, representing a right to purchase a total of 85,982 shares, became exercisable in two annual installments beginning on December 29, 2015. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 20:57 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionNon-qualified Stock Option · Derivative | 6,246 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0001179110-17-004409 · edgar.xml · derivative · entry 6 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 9,370 Underlying: Common Stock · 6,246 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · derivative.exercise_date: The options, representing a right to purchase a total of 15,616 shares, became exercisable in two equal annual installments beginning on March 17, 2015. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 20:57 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionIncentive Stock Option · Derivative | 5,704 | $0.00 Strike: $11.00 | $0.00 |
DisclosureSEC source: 0001179110-17-004409 · edgar.xml · derivative · entry 5 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,557 Underlying: Common Stock · 5,704 shares Expires 2024-03-17 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F2 · derivative.exercise_date: The options, representing a right to purchase a total of 14,261 shares, became exercisable in two equal annual installments beginning on March 17, 2015. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 20:57 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 33,321 | $11.53 | $384,191.13 |
DisclosureSEC source: 0001179110-17-004409 · edgar.xml · nonDerivative · entry 3 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 141,233 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · balance_after: The Form 4 filed on March 9, 2017 contained a typographical error that inadvertently failed to account for the change in the form of beneficial ownership on February 2, 2017 of 51,750 shares from a direct holding to an indirect holding through PHC Investments, LLC, a limited liability company of which the reporting person and his wife are 50% owners. As of March 8, 2017, 141,233 shares were held directly by the reporting person and 51,750 shares were held indirectly by the reporting person through PHC Investments, LLC. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 20:57 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 6,246 | $11.00 | $68,706.00 |
DisclosureSEC source: 0001179110-17-004409 · edgar.xml · nonDerivative · entry 2 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 107,912 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| March 08, 2017 Filed Mar 10, 2017 20:57 UTC Amendment | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | Exercise / conversionCommon Stock | 5,704 | $11.00 | $62,744.00 |
DisclosureSEC source: 0001179110-17-004409 · edgar.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,666 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. Read SEC document |
| November 15, 2016 Filed Nov 17, 2016 22:41 UTC | CAPITAL SOUTHWEST CORP CSWC · Entity 4655 | PurchaseCommon Stock | 43,125 | $0.00 | $0.00 |
DisclosureSEC source: 0001179110-16-031789 · edgar.xml · nonDerivative · entry 1 DIEHL BOWEN S · CIK 0001602998 · Director · President and CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 147,712 F1 · shares: Represents a restricted stock award of 43,125 shares. 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.