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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 8-K
CURRENT REPORT

Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934

 

Date of Report (Date of earliest event reported)  October 28, 2009

 

Capital Southwest Corporation

(Exact name of registrant as specified in its charter)
 

Texas

811-1056

75-1072796

(State or other jurisdiction

(Commission

 (IRS Employer

of incorporation)

File Number)

Identification No.)
 

12900 Preston Road, Suite 700, Dallas, Texas

  

75230

(Address of principal executive offices) 

 (Zip Code)
 

Registrant’s telephone number, including area code   

972-233-8242

 

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

[ ] Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

[ ] Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

[ ] Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

[ ] Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

 

Item 5.02 DEPARTURE OF DIRECTORS OR PRINCIPAL OFFICERS; ELECTION OF DIRECTORS; APPOINTMENT OF PRINCIPAL OFFICERS.  

On October 28, 2009, Capital Southwest Corporation (the “Company”) issued a press release announcing that Raymond D. Schwertner will join the Company as Vice President effective December 1, 2009. Mr. Schwertner joins Capital Southwest after serving over 19 years at The Whitmore Manufacturing Company, a wholly-owned portfolio company, most recently as its President and Chief Executive Officer. The Company also announced that Jeffrey G. Peterson will join The Whitmore Manufacturing Company as its President and Chief Executive Officer effective November 30, 2009. Peterson will remain a Vice President of Capital Southwest Corporation and will continue to serve as director of several of the Company’s core holdings.

 

Exhibit

Number

Description

99.1

 

Press Release dated October 28, 2009.

 

 

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

Dated:  October 28, 2009        
   By: /s/ Gary L. Martin    
   Name: Gary L. Martin    
   Title: Chairman and President    


 

CAPITAL SOUTHWEST CORPORATION ANNOUNCES NEW VICE PRESIDENT

DALLAS – October 28, 2009 – Capital Southwest Corporation has announced today that Raymond D. Schwertner will join the Company as Vice President effective December 1, 2009. Mr. Schwertner joins Capital Southwest after having served in a variety of increasing responsibilities at The Whitmore Manufacturing Company over the past 19 years, serving most recently as its President and Chief Executive Officer. Whitmore is a wholly-owned portfolio company of Capital Southwest. Capital Southwest also announced that Jeffrey G. Peterson will join Whitmore as its President and Chief Executive Officer effective November 30, 2009. Mr. Peterson will remain a Vice President of Capital Southwest Corporation and continue to serve as a director of several of the Company’s core holdings. Gary Martin, Chairman and CEO of Capital Southwest Corporation, said "I am excited to be reunited with Ray at Capital Southwest. His breadth of experience will enhance the operational opportunities at Capital Southwest immensely. Jeff has progressed rapidly within Capital Southwest and will provide tremendous oversight to a key investment of our firm. Additionally, this experience should be a foundational building block that will serve our shareholders well for many years."

About Capital Southwest Corporation

Capital Southwest is a Dallas-based business development company that provides patient equity capital to exceptional businesses. As a public company, Capital Southwest has the flexibility to hold investments indefinitely, which has provided its portfolio company managers a stable ownership platform since its founding in 1961. For more information about Capital Southwest, visit the company’s website at www.capitalsouthwest.com.

Forward Looking Statements

This press release may contain historical information and forward-looking statements within the meaning of The Private Securities Litigation Reform Act of 1995 with respect to the business, financial condition and results of operations of the Company. The words "believe," "expect," "intend," "plan," "should" and similar expressions are intended to identify forward-looking statements. Such statements reflect the current views, assumptions and expectations of the Company with respect to future events and are subject to risks and uncertainties. Many factors could cause the actual results, performance or achievements of the Company to be materially different from any future results, performance or achievements that may be expressed or implied by such forward-looking statements, including, among others, changes in the markets in which the Company operates and in general economic and business conditions, competitive pressures, changes in business strategy and various other factors, both referenced and not referenced in this press release. Various risks and uncertainties may affect the Company and its results of operations, as described in reports filed by the Company with the Securities and Exchange Commission from time to time. The Company does not assume any obligation to update these forward-looking statements.

 

Contact:     Gary L. Martin or Tracy L. Morris    
    972-233-8242    


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