<SEC-DOCUMENT>0001085146-19-001293.txt : 20190501
<SEC-HEADER>0001085146-19-001293.hdr.sgml : 20190501
<ACCEPTANCE-DATETIME>20190501110824
ACCESSION NUMBER:		0001085146-19-001293
CONFORMED SUBMISSION TYPE:	SC 13D
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20190501
DATE AS OF CHANGE:		20190501

SUBJECT COMPANY:	

	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:		SC 13D
		SEC ACT:		1934 Act
		SEC FILE NUMBER:	005-20458
		FILM NUMBER:		19785504

	BUSINESS ADDRESS:	
		STREET 1:		5400 LYNDON B. JOHNSON FREEWAY
		STREET 2:		SUITE 1300
		CITY:			DALLAS
		STATE:			TX
		ZIP:			75240
		BUSINESS PHONE:		2142385700

	MAIL ADDRESS:	
		STREET 1:		5400 LYNDON B. JOHNSON FREEWAY
		STREET 2:		SUITE 1300
		CITY:			DALLAS
		STATE:			TX
		ZIP:			75240

FILED BY:		

	COMPANY DATA:	
		COMPANY CONFORMED NAME:			SANDERS MORRIS HARRIS LLC
		CENTRAL INDEX KEY:			0001053994

	FILING VALUES:
		FORM TYPE:		SC 13D

	BUSINESS ADDRESS:	
		STREET 1:		3100 CHASE TOWER
		CITY:			HOUSTON
		STATE:			TX
		ZIP:			77002
		BUSINESS PHONE:		7132243100

	MAIL ADDRESS:	
		STREET 1:		600 TRAVIS, SUITE 5900
		CITY:			HOUSTON
		STATE:			TX
		ZIP:			77002

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	SANDERS MORRIS HARRIS INC.
		DATE OF NAME CHANGE:	20110404

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	SMH CAPITAL INC.
		DATE OF NAME CHANGE:	20080311

	FORMER COMPANY:	
		FORMER CONFORMED NAME:	SANDERS MORRIS HARRIS INC/FA
		DATE OF NAME CHANGE:	20000208
</SEC-HEADER>
<DOCUMENT>
<TYPE>SC 13D
<SEQUENCE>1
<FILENAME>cswc_43019.htm
<DESCRIPTION>SANDERS MORRIS HARRIS LLC
<TEXT>


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	<title>cswc_43019.htm</title>
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			<div style="text-align: center; font-size: 12pt; font-weight: bold;">
				<div style="margin: auto;">UNITED STATES</div>
				<div style="margin: auto;">SECURITIES AND EXCHANGE COMMISSION</div>
				<div style="font-size: 11pt;">Washington, D.C. 20549</div>
				<div style="padding: 1em 0;">SCHEDULE 13D</div>
				<div style="padding: 1em 0; font-size: 11pt;">
					<div>Under the Securities Exchange Act of 1934</div>

				</div>
				<div style="padding: 1em 0;">
					<div style="text-decoration: underline;">Capital Southwest Corporation</div>
					<div style="font-weight: normal; font-size: 11pt;">(Name of Issuer)</div>
				</div>
				<div style="padding: 1em 0;">
					<div style="text-decoration: underline;">Common</div>
					<div style="font-weight: normal; font-size: 11pt;">(Title of Class of Securities)</div>
				</div>
				<div style="padding: 1em 0;">
					<div style="text-decoration: underline;">140501107</div>
					<div style="font-weight: normal; font-size: 11pt;">(CUSIP Number)</div>
				</div>
				<div style="padding: 1em 0;">
					<div style="text-decoration: underline; text-align: center;"></div>
					<div style="font-weight: normal; font-size: 11pt;">(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)</div>
				</div>
				<div style="padding: 1em 0;">
					<div style="text-decoration: underline;">April 30, 2019</div>
					<div style="font-weight: normal; font-size: 11pt;">(Date of Event which Requires Filing of this Statement)</div>
				</div>
			</div>
			<div style="padding: 1em 0;">
				If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject
				of this Schedule 13D, and is filing this schedule because of 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the
				following box. [&nbsp;&nbsp;&nbsp;]
			</div>
			<div style="padding: 1em 0;">
				* 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
				disclosures provided in a prior cover page
			</div>
			<div style="padding: 1em 0;">
				The information required on the remainder of this cover page shall not be deemed to be filed for the purposes of
				Section 18 of the Securities Exchange Act of 1934 (the 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 Instructions).
			</div>
		</div>


				<div style="page-break-before: always; margin-top: 4em;">
					<div style="font-weight: bold; border: solid 1px black; margin: 1ex 0; padding: 1ex 2em; width: 12em;">CUSIP No.: 140501107</div>
					<table border="0" cellpadding="5" style="font-size: 10pt; width: 100%; border-collapse: collapse;">
						<tr><td style="line-height:1px;width:5%;">&nbsp;</td><td style="line-height:1px;width:10%;">&nbsp;</td><td style="line-height:1px;width:5%;">&nbsp;</td><td style="line-height:1px;width:80%;">&nbsp;</td></tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">1</td>
							<td colspan="3" style="border:solid 1px;">
								<div style="padding-bottom: 1em;">
									<div><strong>NAME OF REPORTING PERSON:</strong></div>
									<div style="unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">Sanders Morris Harris LLC</div>
								</div>
								<div>
									<div><strong>I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)</strong></div>
									<div style="unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">760224835</div>
								</div>
							</td>
						</tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">2</td>
							<td colspan="3" style="border:solid 1px;">
								<strong>CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP</strong>
								<div>[&nbsp;&nbsp;&nbsp;] (a)</div>
								<div>[&nbsp;&nbsp;&nbsp;] (b)</div>
							</td>
						</tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">3</td>
							<td colspan="3" style="border:solid 1px;">
								<strong>SEC USE ONLY</strong>
								<div>&nbsp;</div>
							</td>
						</tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">4</td>
							<td colspan="3" style="border:solid 1px;">
								<strong>SOURCE OF FUNDS:</strong>
								<div style="unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">SMH LLC in its capacity as a Broker Dealer, used funds provided through the accounts of certain of its clients to purchase the Securities reported as beneficially owned</div>
							</td>
						</tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">5</td>
							<td colspan="3" style="border:solid 1px;">
								<strong style="font-size: 9pt;">CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)</strong>
								<div>[&nbsp;&nbsp;&nbsp;]</div>
							</td>
						</tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">6</td>
							<td colspan="3" style="border:solid 1px;">
								<strong>CITIZENSHIP OR PLACE OF ORGANIZATION</strong>
								<div style="unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">Texas</div>
							</td>
						</tr>
						<tr>
							<td rowspan="4" colspan="2" style="width: 10%; text-align: center; border:solid 1px; font-weight: bold;">NUMBER OF SHARES<br>
								BENEFICIALLY OWNED<br>
								BY EACH REPORTING<br>
								PERSON WITH
							</td>
							<td style="text-align: center; border:solid 1px; vertical-align: top;">7</td>
							<td style="border:solid 1px black;">
								<strong>SOLE VOTING POWER</strong>
								<div style="unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;"></div>
							</td>
						</tr>
						<tr>
							<td style="text-align: center; border:solid 1px; vertical-align: top;">8</td>
							<td style="border:solid 1px black;">
								<strong>SHARED VOTING POWER</strong>
								<div style="unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;"></div>
							</td>
						</tr>
						<tr>
							<td style="text-align: center; border:solid 1px; vertical-align: top;">9</td>
							<td style="border:solid 1px black;">
								<strong>SOLE DISPOSITIVE POWER</strong>
								<div style="unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;"></div>
							</td>
						</tr>
						<tr>
							<td style="text-align: center; border:solid 1px; vertical-align: top;">10</td>
							<td style="border:solid 1px black;">
								<strong>SHARED DISPOSITIVE POWER</strong>
								<div style="unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;"></div>
							</td>
						</tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">11</td>
							<td colspan="3" style="border:solid 1px;">
								<strong>AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON</strong>
								<div style="unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">864,317</div>
							</td>
						</tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">12</td>
							<td colspan="3" style="border:solid 1px;">
								<strong>CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES</strong>
								<div>[&nbsp;&nbsp;&nbsp;]</div>
							</td>
						</tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">13</td>
							<td colspan="3" style="border:solid 1px;">
								<strong>PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)</strong>
								<div>5.02%</div>
							</td>
						</tr>
						<tr>
							<td style="border:solid 1px; text-align: center; vertical-align: top;">14</td>
							<td colspan="3" style="border:solid 1px;">
								<strong>TYPE OF REPORTING PERSON</strong>
								<div>Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78c) An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E)</div>
							</td>
						</tr>
					</table>
				</div>



		<div style="page-break-before: always; margin-top: 4em;">
			<div style="font-weight: bold; border: solid 1px black; margin: 1ex 0; padding: 1ex 2em; width: 12em;">CUSIP No.: 140501107</div>
			<table cellpadding="5" cellspacing="0" border="0" style="font-size: 10pt; width: 100%; font-weight: bold; margin: 2em auto;">
				<tr>
					<td valign="top" style="white-space: nowrap;" rowspan="2">ITEM 1.</td>
					<td>SECURITY AND ISSUER:</td>
				</tr>
				<tr>
					<td style="font-weight: normal;unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">Capital Southwest Corporation</td>
				</tr>
				<tr>
					<td valign="top" style="white-space: nowrap;" rowspan="2">ITEM 2.</td>
					<td>IDENTITY AND BACKGROUND:</td>
				</tr>
				<tr>
					<td style="font-weight: normal;unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">Common Stock no par value</td>
				</tr>
				<tr>
					<td valign="top" style="white-space: nowrap;" rowspan="2">ITEM 3.</td>
					<td>SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION:</td>
				</tr>
				<tr>
					<td style="font-weight: normal;unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">Funds provided through the accounts of certain of its clients to purchase the Securities reported as beneficially owned </td>
				</tr>
				<tr>
					<td valign="top" style="white-space: nowrap;" rowspan="2">ITEM 4.</td>
					<td>PURPOSE OF TRANSACTION:</td>
				</tr>
				<tr>
					<td style="font-weight: normal;unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">The Securities reported as beneficially owned were purchased by SMH LLC in its capacity as a Broker Dealer on behalf of its clients for investment purposes in the ordinary course of business.</td>
				</tr>
				<tr>
					<td valign="top" style="white-space: nowrap;" rowspan="2">ITEM 5.</td>
					<td>INTEREST IN SECURITIES OF THE ISSUER:</td>
				</tr>
				<tr>
					<td style="font-weight: normal;unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">none</td>
				</tr>
				<tr>
					<td valign="top" style="white-space: nowrap;" rowspan="2">ITEM 6.</td>
					<td>CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER:</td>
				</tr>
				<tr>
					<td style="font-weight: normal;unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">none</td>
				</tr>
				<tr>
					<td valign="top" style="white-space: nowrap;" rowspan="2">ITEM 7.</td>
					<td>MATERIALS TO BE FILES AS EXHIBITS:</td>
				</tr>
				<tr>
					<td style="font-weight: normal;unicode-bidi:embed;font-family:Courier,'Courier New',monospace;white-space:pre-wrap;">none</td>
				</tr>
			</table>
		</div>

		<div style="page-break-before: always; margin-top: 4em;">
			<div style="font-weight: bold; border: solid 1px black; margin: 1ex 0; padding: 1ex 2em; width: 12em;">CUSIP No.: 140501107</div>
			<div style="padding: 1em 0; text-align: center; font-size: 12pt;font-weight:bold;">SIGNATURE</div>
			<div style="padding: 1em 0 2em 0; font-size: 8pt; text-align: center;">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.</div>

					<div style="page-break-inside: avoid; padding-bottom: 1em">
						<table style="width: 100%; border: 0; font-size: 9pt;" border="0" cellpadding="0" cellspacing="0">
							<tr>
								<td valign="top" style="width: 30%;">April 30 2019</td>
								<td valign="top" style="width: 80%;">
									<div style="width:70%;margin-bottom:1ex;">Sanders Morris Harris</div>
									<div style="width:70%;margin-bottom:1ex;">
										<div style="display:inline-block;width:12%;">By:</div>
										<div style="display:inline-block;width:86%;border-bottom: solid 2px black;">/s/ David Block</div>
									</div>
									<div style="width:70%;margin-bottom:1ex;">
										<div style="display:inline-block;width:12%;">Name:</div>
										<div style="display:inline-block;width:86%;">David Block</div>
									</div>
									<div style="width:70%;margin-bottom:1ex;">
										<div style="display:inline-block;width:12%;">Title:</div>
										<div style="display:inline-block;width:86%;">Operations Manager</div>
									</div>
								</td>
							</tr>
						</table>
					</div>

			<div style="padding-top: 1em; font-size: 9pt;">Attention &mdash; Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001).</div>



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