View:
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 5)
CAPITAL SOUTHWEST
------------------------------------------------------
(NAME OF ISSUER)
COMMON STOCK, $1.00 PAR VALUE PER SHARE
------------------------------------------------------
(TITLE OF CLASS OF SECURITIES)
140501107
------------------------------------------------------
(CUSIP NUMBER)
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 ("Act") 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).
- - --------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
EQSF ADVISERS, INC.
(EIN 13-3354359)
- - --------------------------------------------------------------
- - --------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- - --------------------------------------------------------------
- - --------------------------------------------------------------
3 SEC USE ONLY
- - --------------------------------------------------------------
- - --------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK CORPORATION
- - --------------------------------------------------------------
- - --------------------------------------------------------------
5 SOLE VOTING POWER
139,111
NUMBER OF ---------------------------------------------
---------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY NONE
---------------------------------------------
---------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 139,111
---------------------------------------------
---------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
NONE
- - --------------------------------------------------------------
- - --------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
139,111
- - --------------------------------------------------------------
- - --------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES*
[ ]
- - --------------------------------------------------------------
- - --------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.63%
- - --------------------------------------------------------------
- - --------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA
- - --------------------------------------------------------------
- - --------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
M.J. WHITMAN ADVISERS, INC.
(EIN 13-3686379)
- - --------------------------------------------------------------
- - --------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- - --------------------------------------------------------------
- - --------------------------------------------------------------
3 SEC USE ONLY
- - --------------------------------------------------------------
- - --------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
NEW YORK CORPORATION
- - --------------------------------------------------------------
- - --------------------------------------------------------------
5 SOLE VOTING POWER
245, 173
NUMBER OF ---------------------------------------------
---------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY NONE
---------------------------------------------
---------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING
PERSON 256,548
---------------------------------------------
---------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
NONE
- - --------------------------------------------------------------
- - --------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
256,548
- - --------------------------------------------------------------
- - --------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES*
[ ]
- - --------------------------------------------------------------
- - --------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.70%
- - --------------------------------------------------------------
- - --------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA
- - --------------------------------------------------------------
- - --------------------------------------------------------------
1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
MARTIN J. WHITMAN
- - --------------------------------------------------------------
- - --------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- - --------------------------------------------------------------
- - --------------------------------------------------------------
3 SEC USE ONLY
- - --------------------------------------------------------------
- - --------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
- - --------------------------------------------------------------
- - --------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 24,244
---------------------------------------------
---------------------------------------------
6 SHARED VOTING POWER
SHARES
NONE
BENEFICIALLY
OWNED BY
---------------------------------------------
---------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
REPORTING 24,244
---------------------------------------------
---------------------------------------------
PERSON WITH 8 SHARED DISPOSITIVE POWER
NONE
- - --------------------------------------------------------------
- - --------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
24,244
- - --------------------------------------------------------------
- - --------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN SHARES*
[ ]
- - --------------------------------------------------------------
- - --------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.63%
- - --------------------------------------------------------------
- - --------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- - --------------------------------------------------------------
ITEM 1.
(A) NAME OF ISSUER:
Capital Southwest (the "Issuer").
(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES OR,IF NONE, RESIDENCE:
12900 Preston Road, Suite 700, Dallas, TX 75230
ITEM 2.
(A) NAME OF PERSON FILING:
This schedule is being jointly filed by EQSF
Advisers, Inc. ("EQSF"), M.J. Whitman Advisers, Inc.
("MJWA") and Martin J. Whitman, the Chief Executive
Officer of EQSF and MJWA and controlling person of EQSF
and MJWA. (EQSF, MJWA and Martin J. Whitman are sometimes
collectively referred to hereinafter as "Filer").
Attached hereto as an exhibit is a copy of the joint
Schedule 13G filing agreement among the reporting persons.
(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE:
The address of the principal executive office of
EQSF, MJWA and Mr. Whitman is: 767 Third Avenue, New
York, New York 10017-2023.
(C) CITIZENSHIP:
The citizenship or place of organization of each of the reporting
persons is as follows:
EQSF
New York State Corporation.
MJWA
New York State Corporation.
MARTIN J. WHITMAN
United States Citizen.
(D) TITLE OF CLASS OF SECURITIES:
Common Stock, $1.00 par value per share.
(E) CUSIP NUMBER:
140501107
ITEM 3. IF THIS STATEMENT IS BEING FILED PURSUANT TO RULES 13D-1(B), OR
13D-2(B), CHECK WHETHER THE PERSON FILING IS A:
(E) Investment Adviser registered under section 203 OF THE INVESTMENT
ADVISERS ACT OF 1940 (EQSF and MJWA).
ITEM 4. OWNERSHIP.
(a) & (b) EQSF beneficially owns 139,111 shares or 3.63% of the
class of securities of the issuer. MJWA beneficially owns 256,548 shares or
6.70% of the class of securities of the issuer. Martin J. Whitman
beneficially owns 24,244 shares or 0.63% of the class of securities of
the issuer.
(c) (i) EQSF: 139,111
MJWA: 245,173
Martin J. Whitman: 24,244
(ii) Not applicable.
(iii) EQSF: 139,111
MJWA: 256,548
Martin J. Whitman: 24,244
(iv) Not applicable.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Third Avenue Value Fund, an investment company registered under the
Investment Company Act of 1940, has the right to receive dividends from, and the
proceeds from the sale of, 83,370 of the shares reported by EQSF, Third Avenue
Value Portfolio of the WRL Series Fund, an investment company registered
under the Investment Company Act of 1940, has the right to receive dividends
from, and the proceeds from the sale of 19,741 of the shares reported by EQSF,
Sun America Style Select Series Small-Cap Value Portfolio, an investment
company registered under the Investment Company Act of 1940, has the right to
receive dividends from, and the proceeds from the sale of, 6,000 of the shares
reported by EQSF, Third Avenue Value Portfolio of the Third Avenue Variable
Series Trust, an investment company registered under the Investment Company
Act of 1940, has the right to receive dividends from, and the proceeds from
the sale of 7,000 of the shares reported by EQSF, Third Avenue Value Portfolio
of the Integrity Life/Legends Fund, an investment company registered under the
Investment Company Act of 1940, has the right to receive dividends from, and
the proceeds from the sale, of 9,500 of the shares reported by EQSF, and Third
Avenue Small-Cap Value Fund, an investment company registered under the
Investment Company Act of 1940, has the right to receive dividends from, and the
proceeds from the sale of, 13,500 of the shares reported by EQSF. Various
clients for whom MJWA acts as investment advisor have the right to receive
dividends from, and the proceeds of the sale of, the shares reported by MJWA.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not Applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10. CERTIFICATION.
By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired in the ordinary course of
business and were not acquired for the purpose of and do not have the effect of
changing or influencing the control of the issuer of such securities and were
not acquired in connection with or as a participant in any transaction having
such purposes 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.
January 15, 2002
---------------------------
(Date)
EQSF ADVISERS, INC.
BY:/S/ MARTIN J. WHITMAN
------------------------
Martin J. Whitman
Chairman and Chief Executive Officer
M.J. WHITMAN ADVISERS, INC.
BY:/S/ MARTIN J. WHITMAN
----------------------
Martin J. Whitman
Chairman and Chief Investment Officer
/S/ MARTIN J. WHITMAN
-----------------------
Martin J. Whitman, President
Exhibit 1
JOINT FILING AGREEMENT
In accordance with Rule 13d-1 (f) under the Securities Exchange Act of
1934, as amended, the undersigned hereby agree to the joint filing with all
other Reporting Entities (as such term is defined in the Schedule 13G) on behalf
of each of them of a statement on Schedule 13G (including amendments thereto)
with respect to the Common Stock, $1.00 par value per share, of Capital
Southwest, and that this Agreement be included as an Exhibit to such joint
filing. This Agreement may be executed in any number of counterparts all of
which taken together shall constitute one and the same instrument.
IN WITNESS WHEREOF, the undersigned hereby execute this Agreement this 14th
day of January, 2002.
EQSF ADVISERS, INC.
By:/s/ MARTIN J. WHITMAN
--------------------------
Martin J. Whitman
Chairman and Chief Executive Officer
M.J. WHITMAN ADVISERS, INC.
By:/s/ MARTIN J. WHITMAN
--------------------------
Martin J. Whitman
Chairman and Chief Investment Officer
/s/ MARTIN J. WHITMAN
--------------------------
Martin J. Whitman