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WILLIAM M ASHBAUGH

CIK 1182922 · Sr. VP, Managing Director · last filed 2017-12-22

WILLIAM M ASHBAUGH is a Sr. VP, Managing Director who has filed 31 SEC Form 4 insider transactions across 2 companies since 2007. The most recent filing shows the insider had shares withheld for taxes covering $26.7K of CSWCL on Dec 22, 2017. Across all open-market trades the lifetime net is −$5.2M, making them a net seller over the disclosed history. Current disclosed insider exposure totals $1.4M across reported positions. 39 SEC filings were submitted jointly with CAPITAL SOUTHWEST CORP.

"Disclosed insider exposure" sums this person's most-recently-reported share counts across each company they're an insider in, multiplied by the current underlying price. It is not net worth — it misses retail holdings, private investments, real estate, index funds, and any company where the person isn't an SEC-reporting insider. For informational purposes only.

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Disclosed Exposure

$1.44M

Companies

2

Total Filings

31

Lifetime Open-Market Net

-$5.24M

Filer Profile

Reported Address
12900 PRESTON RD
STE 700
DALLAS, TX 75230
Related Filers
CAPITAL SOUTHWEST CORP — 39 joint filings, latest 2018-01-24
Profile details as reported on the filer's SEC submissions — for individual insiders the address is often in care of the issuer. Related filers are identified from jointly filed SEC submissions and shared reported addresses. View filings on SEC EDGAR.

Holdings By Company

Latest on-record share count from this person's most recent non-derivative Form 4 transaction in each company. Disclosed exposure = shares × current underlying price.
Symbol Role Shares Price Disclosed Exposure Lifetime OM Net Filings Latest Filed
CAPITAL SOUTHWEST CORP (CSWCL) Delisted Sr. VP, Managing Director 43,592 — — $0 1 2017-12-22
CSWC Sr. VP, Managing Director 58,413 $24.58 $1.44M -$5.24M 30 2017-11-17

Recent Filings

31 filings
Insider activity across all companies, newest first. Form 4 rows are post-trade confirmations (buys, sells, grants, exercises). Notice (144) rows are pre-trade notices of intent to sell restricted or control stock under Rule 144 — they may not all execute. Compare adjacent dates to see which notices became actual sales.
Filed Symbol Action Net Shares Net $ Link
2017-12-22 CAPITAL SOUTHWEST CORP (CSWCL) Delisted Tax (F) −1,573 -$26.7K EDGAR
2017-11-17 CSWC Grant (A) +5,000 $0 EDGAR
2016-11-17 CSWC Buy (P) +5,000 $0 EDGAR
2016-03-23 CSWC Exer (M) +5,974 $44.0K EDGAR
2015-11-12 CSWC Grant (A) +10,000 $0 EDGAR
2015-10-16 CSWC Disp (D) — $0 EDGAR
2015-05-27 CSWC Mixed — -$404.2K EDGAR
2015-05-27 CSWC Mixed — -$130.0K EDGAR
2015-05-22 CSWC Mixed — -$395.8K EDGAR
2015-03-23 CSWC Mixed — -$420.8K EDGAR
Showing 1–10 of 31
Page 1 of 4
Form 4 codes: P = open-market purchase · S = open-market sale · A = grant/award · M = option exercise · F = tax withholding at vest · G = bona-fide gift · D = disposition to issuer · J = other (see filing footnote). Only P / S codes carry directional signal.
Notice (144 / 144/A): Form 144 is a notice of intent to sell restricted/control stock under Rule 144, filed before the sale; 144/A is an amendment. Many notices are pre-scheduled under Rule 10b5-1 plans. A Form 4 with code S typically follows within a few days when the planned sale executes; missing follow-up Form 4s suggest the notice was cancelled or modified.