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1.
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
William R. Thomas III
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(see instructions)
(a) o
(b) o
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
USA
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NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH
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5.
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Sole voting power: 735,352 (SEE ITEM 4)
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6.
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Shared voting power: 0
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7.
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Sole dispositive power: 735,352 (SEE ITEM 4)
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8.
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Shared dispositive power: 0
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
735,352
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10.
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
(see instructions) ¨
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.8%
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12.
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TYPE OF REPORTING PERSON (see instructions)
IN
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(a)
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Name of Issuer
Capital Southwest Corporation
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(b)
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Address of Issuer’s Principal Executive Offices
12900 Preston Road, Suite 700,
Dallas, Texas 75230
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(a)
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Name of Person Filing
William R. Thomas III
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(b)
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Address of the Principal Office or, if none, residence
12900 Preston Road, L.B. 80, Dallas, Texas 75230
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(c)
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Citizenship
USA
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(d)
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Title of Class of Securities
Common Stock, par value $0.25 per share
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(e)
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CUSIP Number
140501107
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(a)
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¨
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Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
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(b)
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¨
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Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
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(c)
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¨
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Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
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(d)
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¨
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Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).
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(e)
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¨
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An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
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(f)
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¨
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An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
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(g)
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¨
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A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);
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(h)
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¨
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A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
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(i)
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¨
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A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);
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(j)
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¨
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Group, in accordance with §240.13d-1(b)(1)(ii)(J).
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(a)
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Amount beneficially owned:
William R. Thomas III – 735,352*
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(b)
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Percent of class:
William R. Thomas III – 4.8%
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(c)
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Number of shares as to which the person has:
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(i)
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Sole power to vote or to direct the vote:
William R. Thomas III – 735,352*
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(ii)
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Shared power to vote or to direct the vote:
William R. Thomas III – 0
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(iii)
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Sole power to dispose or to direct the disposition of:
William R. Thomas III – 735,352*
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(iv)
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Shared power to dispose or to direct the disposition of:
William R. Thomas III – 0
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* William R. Thomas III owns 31,413 shares of Common Stock in his individual capacity and beneficially owns 12,000 shares of Common Stock held by his minor children. In addition, Mr. Thomas is President and sole manager of Thomas Heritage Company, L.L.C., the sole general partner (the “General Partner”) of Thomas Heritage Partners, Ltd. (the “Partnership”). In such capacity, Mr. Thomas has sole voting and depositor power over 691,939 shares of Common Stock owned by the Partnership. Although Mr. Thomas' pecuniary interest in the shares of Common Stock held by the Partnership is limited to his limited partnership interest in the Partnership and his membership interest in the general partner of the Partnership, in accordance with Rule 13d-3(d)(1)(i) of the Securities Exchange Act of 1934, Mr. Thomas is deemed to be the beneficial owner of all of such shares.
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/s/ William R. Thomas, III
William R. Thomas III
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