UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

FORM 8-K
 
CURRENT REPORT
 
Pursuant to Section 13 OR 15(d) of The Securities Exchange Act of 1934
 
Date of Report (Date of earliest event reported)
October 28, 2013

Capital Southwest Corporation
(Exact name of registrant as specified in its charter)

Texas
811-1056
75-1072796
(State or other jurisdiction of incorporation)
(Commission File Number)
(IRS Employer Identification No.)

12900 Preston Road, Suite 700, Dallas, Texas
 
75230
(Address of principal executive offices)
 
(Zip Code)
 
Registrant’s telephone number, including area code
972-233-8242

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:
 
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
 
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
 
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
 
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
Item 2.02 Results of Operations and Financial Condition.

On October 28, 2013, Capital Southwest Corporation (the “Company”) issued a press release reporting the net asset value of the Company at September 30, 2013.  A copy of the press release is attached hereto as Exhibit 99.1.  Pursuant to the rules and regulations of the Securities and Exchange Commission, such exhibit and the information set forth therein and herein shall not be deemed to be filed for purposes of Section 18 of the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and shall not be deemed to be incorporated by reference in any filing under the Securities Act of 1933, as amended, or the Exchange Act, except as shall be expressly set forth by specific reference in such a filing.

Item 9.01 Financial Statements and Exhibits.

(a) None.
(b) None.
(c) None.
(d) Exhibits

Exhibit
Number
Description
Press Release dated October 28, 2013

SIGNATURES

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.

Dated: October 28, 2013
 
 
 
 
 
 
 
 
By:
/s/  Joseph B. Armes
 
 
 
Name: Joseph B. Armes
 
 
 
Title:   Chief Executive Officer and President