Ashbaugh William M - Insider Stock Trading

TC	Stat	Stk	Ins	Fil	+d	+w	+m	+q	+h	+y	avg
P	%ret	1	1	2	-2	0	3	15	-33	-36	-11
P	%wins				50	100	50	100	0	0	50
S	%ret	1	1	19	-1	-2	-0	4	-2	-6	-1
S	%wins				79	68	58	32	47	42	54

Filing Date	T Date	Ticker	Issuer	Sector	Ind	Industry	Owner	oSt	Rel	Title	T	TVal	Price	L	Qty	oc	Own	H	r2y	r1y	r6m	r3m	r6w	r3w	r7d	r3d	f1d	f1w	f1m	f3m	f6m	f1y
11/17/16 17:45	11/15/16	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP,MD	P	0	0.00	0	5	13	45	D	-61	-1	5	-4	-5	-3	-1	-3	0	0	11	13
3/23/16 20:00	3/21/16	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	44	7.36	1	6	18	40	D	-60	-71	-71	0	3	1	-2	0	1	-3	1	1	7	21
5/27/15 21:35	5/22/15	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.dm	78	19.18	2	4	24	21	D	51	45	37	5	8	7	3	0	-1	-2	-1	-13	-72	-73
5/27/15 21:35	5/22/15	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.dm	-208	51.03	2	-4	-16	21	D	51	45	37	5	8	7	3	0	-1	-2	-1	-13	-72	-73
5/27/15 21:29	5/20/15	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.adm	309	22.19	2	14	187	21	D	51	45	37	5	8	7	3	0	-1	-2	-1	-13	-72	-73
5/27/15 21:29	5/20/15	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.adm	-713	51.23	2	-14	-39	21	D	51	45	37	5	8	7	3	0	-1	-2	-1	-13	-72	-73
5/22/15 16:54	5/20/15	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.dm	317	22.79	2	14	187	21	D	53	47	40	5	8	7	4	0	0	-2	0	-5	-71	-73
5/22/15 16:54	5/20/15	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.dm	-713	51.23	2	-14	-39	21	D	53	47	40	5	8	7	4	0	0	-2	0	-5	-71	-73
3/23/15 21:12	3/19/15	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.dm	640	29.11	3	22		21	D	64	40	23	22	11	-1	1	1	0	-3	-2	4	-1	-71
3/23/15 21:12	3/19/15	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.dm	-1,061	48.23	3	-22	-51	21	D	64	40	23	22	11	-1	1	1	0	-3	-2	4	-1	-71
6/12/13 14:37	6/11/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.dm	138	93.49	3	1	543	2	D	85	52	32	19	18	3	1	-1	0	1	5	2	-5	3
6/12/13 14:37	6/11/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.dm	-205	138.78	3	-1	-46	2	D	85	52	32	19	18	3	1	-1	0	1	5	2	-5	3
6/12/13 10:34	6/10/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	114	93.49	3	1	231	2	D	85	52	32	19	18	3	1	-1	0	1	5	2	-5	3
6/12/13 10:34	6/10/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.d	-169	138.26	3	-1	-41	2	D	85	52	32	19	18	3	1	-1	0	1	5	2	-5	3
6/10/13 16:56	6/6/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.dm	168	93.49	3	2		2	D	85	57	30	15	20	2	2	-1	0	-1	4	-1	-2	4
6/10/13 16:56	6/6/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.dm	-253	140.77	3	-2	-51	2	D	85	57	30	15	20	2	2	-1	0	-1	4	-1	-2	4
3/7/13 09:24	3/5/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	187	93.49	3	2		2	D	54	61	18	13	19	13	9	-1	0	-1	-4	17	14	17
3/7/13 09:24	3/5/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.d	-248	123.79	3	-2	-53	2	D	54	61	18	13	19	13	9	-1	0	-1	-4	17	14	17
3/6/13 10:26	3/4/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	77	76.74	3	1	133	2	D	57	62	19	16	19	14	9	7	-1	-3	-1	15	12	15
3/6/13 10:26	3/4/13	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.d	-124	124.08	3	-1	-36	2	D	57	62	19	16	19	14	9	7	-1	-3	-1	15	12	15
12/19/12 12:25	12/17/12	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.m	-342	106.34	3	-3	-68	2	D	24	69	9	-4	2	3	1	4	0	-9	-5	12	29	32
12/17/12 16:25	12/14/12	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S	-106	105.77	2	-1	-17	5	D	23	59	5	-8	-2	-1	-3	-1	3	-5	0	15	35	34
6/20/12 16:28	6/18/12	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.m	-556	101.09	4	-6	-49	6	D	42	31	58	31	30	18	8	1	-1	0	2	12	5	37
6/19/12 16:55	6/15/12	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S	-51	102.74	4	-1	-4	11	D	36	29	55	27	27	14	7	0	1	1	5	12	7	39
5/22/12 17:05	5/18/12	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	527	87.91	2	6	105	12	D	16	11	23	14	11	10	9	-2	2	3	22	23	27	64
8/8/11 15:53	8/4/11	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	99	65.70	3	2		1	D	18	3	-6	0	2	-3	-1	-1	-11	-12	-13	-10	-2	36
8/8/11 15:53	8/4/11	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.d	-141	94.00	3	-2	-75	1	D	18	3	-6	0	2	-3	-1	-1	-11	-12	-13	-10	-2	36
12/23/10 12:21	12/22/10	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	343	65.70	4	5	New	5	D	7	36	27	21	4	7	4	-4	0	-2	-8	-15	-11	-26
8/20/10 15:38	8/18/10	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	51	65.70	2	1		0	D	-28	17	1	1	-3	-2	-2	-5	0	1	4	15	16	-5
8/20/10 15:38	8/18/10	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.d	-72	91.56	2	-1	-100	0	D	-28	17	1	1	-3	-2	-2	-5	0	1	4	15	16	-5
6/9/08 15:36	6/6/08	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	P	59	117.75	3	1	New	1	D	16	-29	-2	16	-4	-4	-3	-1	-3	0	-5	16	-33	-36
5/14/07 17:30	5/11/07	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	131	65.70	7	2		0	D	119	73	40	27	9	9	9	4	-2	-2	-7	-28	-33	-30
5/14/07 17:30	5/10/07	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.dm	-336	168.11	7	-2	-100	0	D	119	73	40	27	9	9	9	4	-2	-2	-7	-28	-33	-30
12/15/06 13:59	12/14/06	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	230	65.70	33	4		0	D	73	47	29	19	10	5	0	0	-1	-3	-5	14	27	-12
12/15/06 13:59	12/13/06	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.d	-468	133.65	33	-4	-100	0	D	73	47	29	19	10	5	0	0	-1	-3	-5	14	27	-12
11/29/06 14:49	11/28/06	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	66	65.70	4	1		0	D	63	40	27	16	5	4	-2	1	2	6	2	8	39	-4
11/29/06 14:49	11/28/06	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.d	-122	121.93	4	-1	-100	0	D	63	40	27	16	5	4	-2	1	2	6	2	8	39	-4
11/28/06 14:55	11/28/06	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	M.d	66	65.70	3	1		0	D	61	37	26	15	2	2	-4	-2	2	5	5	13	42	1
11/28/06 14:55	11/27/06	CSWC	Capital Southwest Corp	Fund	CEF	Closed-End Funds	Ashbaugh William M	TX	O	SVP	S.d	-124	124.00	3	-1	-100	0	D	61	37	26	15	2	2	-4	-2	2	5	5	13	42	1

D	Derivative transaction in filing (usually option exercise)
M	Multiple transactions in filing; earliest reported transaction date and weighted average transaction price
A	Amended filing
E	Error detected in filing

S - Sale	Sale of securities on an exchange or to another person
S - Sale+OE	Sale of securities on an exchange or to another person (after option exercise)
F - Tax	Payment of exercise price or tax liability using portion of securities received from the company
P - Purchase	Purchase of securities on an exchange or from another person

TC

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