<SEC-DOCUMENT>0000017313-21-000182.txt : 20211104
<SEC-HEADER>0000017313-21-000182.hdr.sgml : 20211104
<ACCEPTANCE-DATETIME>20211104160927
ACCESSION NUMBER:		0000017313-21-000182
CONFORMED SUBMISSION TYPE:	497AD
PUBLIC DOCUMENT COUNT:		1
FILED AS OF DATE:		20211104
DATE AS OF CHANGE:		20211104

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:		497AD
		SEC ACT:		1933 Act
		SEC FILE NUMBER:	333-259455
		FILM NUMBER:		211379989

	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
</SEC-HEADER>
<DOCUMENT>
<TYPE>497AD
<SEQUENCE>1
<FILENAME>cswc-bloombergannouncement.htm
<DESCRIPTION>497AD
<TEXT>
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<title>Document</title></head><body><div id="i057b05198352480896fd83c4909959a7_1"></div><div style="min-height:72pt;width:100%"><div style="text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:139%">Filed pursuant to Rule 497(a) </font></div><div style="text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:139%">File No.&#160;333-259455</font></div><div style="text-align:right"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">Rule 482ad</font></div></div><div style="text-align:right"><font><br></font></div><div style="text-align:center"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%">&#91;Text of Bloomberg Announcement&#93;</font></div><div><font><br></font></div><div style="margin-bottom:6pt"><table style="border-collapse:collapse;display:inline-table;margin-bottom:5pt;vertical-align:text-bottom;width:100.000%"><tr><td style="width:1.0%"></td><td style="width:29.669%"></td><td style="width:0.1%"></td><td style="width:1.0%"></td><td style="width:68.131%"></td><td style="width:0.1%"></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Issuer&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Capital Southwest Corporation (&#34;CSWC&#34;)</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Offered Security&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Add-on to 3.375% Notes due October 1, 2026</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Format&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">SEC Registered</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Expected Rating&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">A- (Egan-Jones)*</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Offered Principal Amount&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">$50mm</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Original Principal Amount&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">$100mm</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Maturity&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Oct 1, 2026</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Opt Redemption&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Make Whole Call, Par Call 07&#47;01&#47;2026</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Use of Proceeds&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Repayment of outstanding debt under Credit Facility</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Sole Bookrunner&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Raymond James</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Denoms&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">$2,000 x $1,000</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Settlement&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">T+3 (Nov 9, 2021)</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">CUSIP&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">140501AC1</font></td></tr><tr style="height:2pt"><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:0 1pt"></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:0 1pt"></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">IPT&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">3.50% Yield to Maturity ($99.435 + accrued)</font></td></tr><tr><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Timing&#58;</font></td><td colspan="3" style="border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Today's business</font></td></tr><tr><td colspan="3" style="border-bottom:0.75pt solid #c0c0c0;border-left:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:125%">Preliminary Pro Supp&#58;</font></td><td colspan="3" style="border-bottom:0.75pt solid #c0c0c0;border-left:0.75pt solid #c0c0c0;border-right:0.75pt solid #c0c0c0;border-top:0.75pt solid #c0c0c0;padding:2px 1pt;text-align:left;vertical-align:middle"><div><font style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline"><a href="http://www.sec.gov/Archives/edgar/data/0000017313/000001731321000174/preliminaryprospectussuppl.htm" style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:115%;text-decoration:underline">https&#58;&#47;&#47;www.sec.gov&#47;Archives&#47;edgar&#47;data&#47;0000017313&#47;000001731321000174&#47;preliminaryprospectussuppl.htm</a></font></div></td></tr></table></div><div><font><br></font></div><div style="text-align:justify"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">*Note&#58; A securities rating is not a recommendation to buy, sell or hold securities and may be subject to revision or withdrawal at any time. Each rating agency has its own methodology for assigning ratings and, accordingly, each rating should be evaluated independently of any other rating.</font></div><div style="text-align:justify"><font><br></font></div><div style="text-align:justify"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">Investors are advised to carefully consider the investment objective, risks, charges and expenses of CSWC before investing. The preliminary prospectus supplement dated November 4, 2021, together with an accompanying prospectus, which have been filed with the Securities and Exchange Commission, contain this and other information about CSWC and should be read carefully before investing. The information in the preliminary prospectus supplement and the accompanying prospectus, and in this announcement is not complete and may be changed.</font></div><div style="text-align:justify"><font><br></font></div><div style="text-align:justify"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">The preliminary prospectus supplement, the accompanying prospectus and this announcement do not constitute offers to sell or the solicitation of offers to buy nor will there be any sale of the securities referred to in this announcement in any state or jurisdiction in which such offer, solicitation or sale would be unlawful prior to the registration or qualification under the securities laws of such state or jurisdiction.</font></div><div style="text-align:justify"><font><br></font></div><div style="text-align:justify"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">A SHELF REGISTRATION STATEMENT RELATING TO THESE SECURITIES IS ON FILE WITH AND HAS BEEN DECLARED EFFECTIVE BY THE U.S. SECURITIES AND EXCHANGE COMMISSION (SEC). THE OFFERING MAY BE MADE ONLY BY MEANS OF A PROSPECTUS SUPPLEMENT AND AN ACCOMPANYING PROSPECTUS. YOU MAY GET THESE DOCUMENTS, AS WELL AS THE FINAL PROSPECTUS, PROSPECTUS SUPPLEMENT OR PRICING SUPPLEMENT (WHEN COMPLETED), AS APPLICABLE (SUCH PRELIMINARY AND FINAL DOCUMENTATION TOGETHER THE OFFERING DOCUMENTATION) FOR FREE BY SEARCHING THE SEC ONLINE DATABASE AT&#58; </font><font style="color:#0000ff;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">WWW.SEC.GOV</font><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">. ALTERNATIVELY, YOU MAY OBTAIN A COPY OF THE OFFERING DOCUMENTATION FROM RAYMOND JAMES &#38; ASSOCIATES, INC., 880 CARILLON PARKWAY, ST. PETERSBURG, FLORIDA 33716.</font></div><div style="text-align:justify"><font><br></font></div><div style="text-align:justify"><font style="color:#000000;font-family:'Times New Roman',sans-serif;font-size:10pt;font-weight:400;line-height:112%">ANY DISCLAIMERS OR OTHER NOTICES THAT MAY APPEAR AFTER THIS MESSAGE ARE NOT APPLICABLE TO THIS COMMUNICATION AND SHOULD BE DISREGARDED. SUCH DISCLAIMERS OR OTHER NOTICES WERE AUTOMATICALLY GENERATED AS A RESULT OF THIS COMMUNICATION BEING SENT VIA BLOOMBERG OR OTHER EMAIL SYSTEM.</font></div><div style="height:72pt;position:relative;width:100%"><div style="bottom:0;position:absolute;width:100%"><div><font><br></font></div></div></div></body></html>
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</DOCUMENT>
</SEC-DOCUMENT>
