<SEC-DOCUMENT>0001140361-13-043662.txt : 20131120
<SEC-HEADER>0001140361-13-043662.hdr.sgml : 20131120
<ACCEPTANCE-DATETIME>20131120162300
ACCESSION NUMBER:		0001140361-13-043662
CONFORMED SUBMISSION TYPE:	8-K
PUBLIC DOCUMENT COUNT:		2
CONFORMED PERIOD OF REPORT:	20131115
ITEM INFORMATION:		Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers
ITEM INFORMATION:		Financial Statements and Exhibits
FILED AS OF DATE:		20131120
DATE AS OF CHANGE:		20131120

FILER:

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			CAPITAL SOUTHWEST CORP
		CENTRAL INDEX KEY:			0000017313
		IRS NUMBER:				751072796
		STATE OF INCORPORATION:			TX
		FISCAL YEAR END:			0331

	FILING VALUES:
		FORM TYPE:		8-K
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	814-00061
		FILM NUMBER:		131233149

	BUSINESS ADDRESS:	
		STREET 1:		12900 PRESTON RD STE 700
		CITY:			DALLAS
		STATE:			TX
		ZIP:			75230
		BUSINESS PHONE:		9722338242

	MAIL ADDRESS:	
		STREET 1:		12900 PRESTON RD
		STREET 2:		SUITE 700
		CITY:			DALLAS
		STATE:			TX
		ZIP:			75230
</SEC-HEADER>
<DOCUMENT>
<TYPE>8-K
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<DESCRIPTION>CAPITAL SOUTHWEST CORPORATION 8-K 11-15-2013
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<font style="FONT-FAMILY: 'Times New Roman', Times, serif; FONT-SIZE: 14pt; FONT-WEIGHT: bold">UNITED STATES</font></div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold"><a name="_DV_M4"><!--Anchor--></a>CURRENT REPORT PURSUANT</div>

<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold"><a name="_DV_M5"><!--Anchor--></a>TO SECTION 13 OR 15(D) OF THE</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">(Exact Name of Registrant as Specified in Charter)</div>

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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt"><a name="_DV_M12"><!--Anchor--></a>811-1056</div>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt"><a name="_DV_M15"><!--Anchor--></a>12900 Preston Road, Suite 700, Dallas, Texas</div>
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<div style="TEXT-ALIGN: left; TEXT-INDENT: 18pt; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">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 (<font style="FONT-STYLE: italic; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">see </font>General Instruction A.2. below):</div>

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<td style="TEXT-ALIGN: left; WIDTH: auto; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; VERTICAL-ALIGN: top">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</td>
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<td style="TEXT-ALIGN: left; WIDTH: auto; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; VERTICAL-ALIGN: top">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</td>
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<td style="TEXT-ALIGN: left; WIDTH: auto; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; VERTICAL-ALIGN: top">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</td>
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<td style="TEXT-ALIGN: left; WIDTH: auto; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; VERTICAL-ALIGN: top">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</td>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold"><!--Anchor-->Item 5.02.&#160; Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">On November 20, 2013, Capital Southwest Corporation (the "Company") announced the appointment of Kelly Tacke as the Company's Senior Vice President, Chief Financial Officer and Treasurer, effective November 18, 2013.&#160; Ms. Tacke is replacing Tracy Morris, who resigned as the Company's Chief Financial Officer, Chief Operating Officer and Secretary, effective November 15, 2013, to pursue other opportunities.&#160; Ms. Tacke's base salary is $250,000.&#160; She is eligible to receive up to $250,000 as a performance bonus, which bonus will be determined based upon criteria to be determined by the Compensation Committee of the Board of Directors at a later date.&#160; Ms. Tacke is eligible to participate in the Company's employee incentive plans, but as of the date of this Form 8-K, she has not received any awards pursuant to such plans.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; MARGIN-BOTTOM: 12pt; FONT-SIZE: 10pt">Ms. Tacke, age 56, served as the Chief Financial Officer and Consultant to AMC REIT, Inc., a real estate investment trust that owns a manufactured housing community and mortgage loan portfolio from April 2011 to January 2012.&#160; Prior to that, she was with Palm Harbor Homes, Inc., a publicly traded manufacturer and marketer of factory-built homes, from October 1993 to April 2011, where she served as Executive Vice President, Chief Financial Officer and Corporate Secretary.&#160; The Company was a long-time investor in Palm Harbor Homes. Most recently, Ms. Tacke has been managing personal investments.&#160; Ms. Tacke began her career with PricewaterhouseCoopers, where she was a Senior Audit Manager from 1979 to 1993.&#160; She holds a Bachelors of Business Administration degree from the University of Texas at Austin and is a Certified Public Accountant.</div>

<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold"><a name="_DV_M33"><!--Anchor--></a>Item 9.01&#160; Financial Statements and Exhibits</div>

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<td style="TEXT-ALIGN: left; WIDTH: auto; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; VERTICAL-ALIGN: top">Press Release of Capital Southwest Corporation, dated November 20, 2013.</td>
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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold"><a name="_DV_M36"><!--Anchor--></a>SIGNATURE</div>

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<div style="TEXT-ALIGN: left"><a name="_DV_M39"><!--Anchor--></a><font style="FONT-SIZE: 5.14pt" id="TRGRRTFtoHTMLTab">&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;&#160;</font><font style="FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">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.</font></div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt"><a name="_DV_M40"><!--Anchor--></a>Date:&#160; November 20, 2013</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">/s/&#160; Joseph B. Armes</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">Joseph B. Armes</div>
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<DESCRIPTION>EXHIBIT 99.1
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<div style="TEXT-ALIGN: center; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">CAPITAL SOUTHWEST CORPORATION APPOINTS KELLY TACKE CHIEF FINANCIAL OFFICER</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">DALLAS, TX, November 20, 2013&#8212;Capital Southwest Corporation (NASDAQ: CSWC) today announced the appointment of Kelly Tacke as Senior Vice President, Chief Financial Officer, and Treasurer effective November 18, 2013.&#160; Ms. Tacke is replacing Tracy Morris, who is leaving the company to pursue other opportunities.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">Ms. Tacke brings more than 18 years of executive leadership experience and more than 30 years of experience in financial accounting.&#160; Ms. Tacke has previously served as Executive Vice President and Chief Financial Officer of Palm Harbor Homes, Inc., a publicly traded manufacturer and marketer of factory-built homes, and as Chief Financial Officer of AMC REIT, Inc., a real investment trust with a portfolio of manufactured housing communities and mortgage loans.&#160; Ms. Tacke began her career with PricewaterhouseCoopers where she was a senior audit manager.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">Joseph B. Armes, President and Chief Executive Officer of Capital Southwest, commented, &#8220;We are very pleased to have Kelly join the Capital Southwest team.&#160; She has tremendous financial and management expertise and will provide valuable leadership in pursuing our objectives of building great companies and creating shareholder value.&#8221;</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">Ms. Tacke stated, &#8220;I am thrilled to join Capital Southwest and its talented leadership team.&#160; Capital Southwest was one of the initial investors in Palm Harbor, so I have a long relationship with the company.&#160; I look forward to working with Joe and his team as we seek to deliver attractive risk adjusted returns for our shareholders.&#8221;</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">Ms. Tacke earned her B.B.A. from the University of Texas at Austin and is a Certified Public Accountant.</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">About Capital Southwest Corporation</div>

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<div style="TEXT-ALIGN: justify; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt"><font style="FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">Since Capital Southwest was formed in 1961, we have always sought to invest in companies with strong management teams and sound financial performance. As a public company, we are fortunate to have the flexibility to hold investments indefinitely. It is our dedication to this patient investment strategy that enables our portfolio companies to achieve their full potential.&#160; Visit our website </font><font style="FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">www.capitalsouthwest.com </font><font style="FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">to learn about our investment criteria and how our capital can enhance your company&#8217;s growth.</font></div>

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<div style="TEXT-ALIGN: justify; FONT-STYLE: italic; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt">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 forwardlooking 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. Certain factors that may affect the Company and its results of operations, are included in the &#8220;Risk Factors&#8221; section of the Company&#8217;s Annual Report on Form 10-K for the fiscal year ended March 31, 2013 and the Company&#8217;s subsequent periodic filings with the Securities and Exchange Commission. The Company does not assume any obligation to update these forward-looking statements. This release may also contain non-GAAP financial measures. These measures are included to facilitate meaningful comparisons of our results to those in prior periods and future periods and to allow a better evaluation of our operating performance, in management&#8217;s opinion. Our reference to any non-GAAP measures should not be considered as a substitute for results that are presented in a manner consistent with GAAP. These non-GAAP measures are provided only to enhance investors overall understanding of our financial performance.</div>

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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Contact:</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; FONT-SIZE: 10pt; FONT-WEIGHT: bold">Joseph B. Armes</div>
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<div style="TEXT-ALIGN: left; FONT-FAMILY: ''Times New Roman'', Times, serif; MARGIN-LEFT: 81pt; FONT-SIZE: 10pt; FONT-WEIGHT: bold">972-233-8242</div>
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