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    SEC Form SC 13G/A filed

    2/16/21 4:23:49 PM ET
    $CSWC
    Textiles
    Consumer Discretionary
    Get the next $CSWC alert in real time by email
    SC 13G/A 1 fp0062338_sc13ga.htm

     

    SECURITIES AND EXCHANGE COMMISSION 

    Washington, D.C. 20549

     

     

     

    SCHEDULE 13G 

    (Rule 13d-102)

     

    INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT 

    TO RULE 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED 

    PURSUANT TO RULE 13d-2(b)

     

    (AMENDMENT NO. 6)*

     

    Capital Southwest Corp.

     

    (Name of Issuer)

     

    Common Stock, $0.25 par value

     

    (Title of Class of Securities)

     

    140501107

     

    (CUSIP Number)

     

    December 31, 2020

     

    (Date of Event Which Requires Filing of This Statement)

     

    Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     

    [X]Rule 13d-1(b)

    [   ]Rule 13d-1(c)

    [   ]Rule 13d-1(d)

     

     
    *The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

     

    The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

     

     

    CUSIP NO. 140501107 13G Page 2 of 5 Pages

     

    1

    NAMES OF REPORTING PERSONS S.S. OR
    I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS

     

    82-0566501 

     
    2

    CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

     

     

    (a) [   ] 

    (b) [   ] 

    3

    SEC USE ONLY

     

     
    4

    CITIZENSHIP OR PLACE OF ORGANIZATION

     

    Minnesota 

     

    NUMBER OF

    SHARES

    BENEFICIALLY 

    OWNED BY 

    EACH 

    REPORTING 

    PERSON WITH

    5

    SOLE VOTING POWER

     

    858,976 

     
    6

    SHARED VOTING POWER

     

    0 

     
    7

    SOLE DISPOSITIVE POWER

     

    858,976 

     
    8

    SHARED DISPOSITIVE POWER

     

    0 

     
    9

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

     

    858,976 

     
    10

    CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES

     

    [    ]

     

    11

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

     

    4.61%% 

     
    12

    TYPE OF REPORTING PERSON

     

    1A 

     
             

     

     

    CUSIP NO. 140501107 

    13G Page 3 of 5 Pages

     

    Item 1.(a) Name of Issuer:

     

    Capital Southwest Corp

     

    (b)Address of Issuer’s Principal Executive Offices:

     

    5400 Lyndon B Johnson FWY 

    Suite 1300 

    Dallas, TX 75240

     

    Item 2.(a) Name of Person Filing:

     

    Punch & Associates Investment Management, Inc.

     

    (b)Address of Principal Business Office or, if None, Residence:

     

    7701 France Ave. South 

    Suite 300 

    Edina, MN 55435

     

    (c)Citizenship:

     

    Minnesota

     

    (d)Title of Class of Securities:

     

    Common

     

    (e)CUSIP Number:

     

    140501107

     

    Item 3.If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:

     

    (a)[   ] Broker or dealer registered under Section 15 of the Exchange Act.

     

    (b)[   ] Bank as defined in Section 3(a)(6) of the Exchange Act.

     

    (c)[   ] Insurance company as defined in Section 3(a)(19) of the Exchange Act.

     

    (d)[   ] Investment company registered under Section 8 of the Investment Company Act.

     

    (e[X] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);

     

    (f)[   ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);

     

    (g)[   ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);

     

    (h)[   ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

     

    (i)[   ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act;

     

    (j)[   ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

     

     

    CUSIP NO. 140501107 13G Page 4 of 5 Pages

     

    Item 4.Ownership.

     

    (a) Amount beneficially owned: 858,976
    (b) Percent of class: 4.61%
    (c) Number of shares as to which the person has:  
      (i) Sole power to vote or to direct the vote: 858,976
      (ii) Shared power to vote or to direct the vote: 0
      (iii) Sole power to dispose or to direct the disposition of: 858,976
      (iv) Shared power to dispose or to direct the disposition of: 0

     

    Item 5.Ownership of Five Percent or Less of a Class.

     

    If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following  [X]

     

    Item 6.Ownership of More than Five Percent on Behalf of Another Person.

     

    Not applicable

     

    Item 7.Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.

     

    Not applicable

     

    Item 8.Identification and Classification of Members of the Group.

     

    Not applicable

     

    Item 9.Notice of Dissolution of Group.

     

    Not applicable

     

     

    CUSIP NO. 140501107 13G Page 5 of 5 Pages

     

    Item 10.Certification.

     

    By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

     

    Signature

     

    After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

     

      Punch & Associates Investment Management, Inc.  
           
      By: /s/ Howard D. Punch, Jr.  
      Name: Howard D. Punch, Jr.  
      Title: President  
           
      Date: February 9, 2021  
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