401k Plan data: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN plan

CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 401k Plan overview

Plan Name	CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN
Plan identification number	001

CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN Benefits

401k Plan Type

Defined Contribution Pension

Plan Features/Benefits

Profit-sharing
ERISA section 404(c) Plan - This plan, or any part of it is intended to meet the conditions of 29 CFR 2550.404c-1.
Total participant-directed account plan - Participants have the opportunity to direct the investment of all the assets allocated to their individual accounts, regardless of whether 29 CFR 2550.404c-1 is intended to be met.
Code section 401(k) feature - A cash or deferred arrangement described in Code section 401(k) that is part of a qualified defined contribution plan that provides for an election by employees to defer part of their compensation or receive these amounts in cash.
Code section 401(m) arrangement - Employee contributions are allocated to separate accounts under the plan or employer contributions are based, in whole or in part, on employee deferrals or contribtions to the plan. Not applicable if plan is 401(k) plan with only QNECs and/or QMACs. Also not applicable if Code section 403(b)(1), 403(b)(7) or 408 arrangements/accounts/annuities.
Total or partial participant-directed account plan - plan uses default investment account for participants who fail to direct assets in their account.
Master plan - A pension plan that is made available by a sponsor for adoption by employers; that is the subject of a favorable opinion letter; and for which a single funding medium (for example, a trust or custodial account) is established for the joint use of all adopting employers.

401k Sponsoring company profile

CAPITAL SOUTHWEST MANAGEMENT CORPORATION has sponsored the creation of one or more 401k plans.

Company Name: CAPITAL SOUTHWEST MANAGEMENT CORPORATION

Employer identification number (EIN): 752146756

NAIC Classification: 523900

Additional information about CAPITAL SOUTHWEST MANAGEMENT CORPORATION

Jurisdiction of Incorporation: Nevada Department of State

Incorporation Date: 1986-12-22

Company Identification Number: 19861024293

Legal Registered Office Address: 701 S CARSON ST STE 200

CARSON CITY
United States of America (USA)
89701

More information about CAPITAL SOUTHWEST MANAGEMENT CORPORATION

Form 5500 Filing Information

Submission information for form 5500 for 401k plan CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN

Plan id# Filing Submission Date Name of Administrator Date Administrator Signed Name of Company Sponsor Date Sponsor Signed
001 2019-01-01
001 2018-01-01
001 2017-01-01 AMY BAKER AMY BAKER 2018-09-25
001 2016-01-01 AMY BAKER AMY BAKER 2017-10-10
001 2015-10-01 BROOKE SCHMIDT BROOKE SCHMIDT 2016-12-06
001 2015-10-01 BROOKE SCHMIDT BROOKE SCHMIDT 2016-12-06

Plan id#	Filing Submission Date	Name of Administrator	Name of Company Sponsor	Date Sponsor Signed
001	2019-01-01
001	2018-01-01
001	2017-01-01	AMY BAKER	AMY BAKER	2018-09-25
001	2016-01-01	AMY BAKER	AMY BAKER	2017-10-10
001	2015-10-01	BROOKE SCHMIDT	BROOKE SCHMIDT	2016-12-06
001	2015-10-01	BROOKE SCHMIDT	BROOKE SCHMIDT	2016-12-06

Plan Statistics for CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN

401k plan membership statisitcs for CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN

Measure Date Value
2019: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year 2019-01-01 113
Total number of active participants reported on line 7a of the Form 5500 2019-01-01 94
Number of retired or separated participants receiving benefits 2019-01-01 0
Number of other retired or separated participants entitled to future benefits 2019-01-01 31
Total of all active and inactive participants 2019-01-01 125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2019-01-01 0
Total participants 2019-01-01 125
Number of participants with account balances 2019-01-01 93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2019-01-01 1
2018: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year 2018-01-01 137
Total number of active participants reported on line 7a of the Form 5500 2018-01-01 74
Number of retired or separated participants receiving benefits 2018-01-01 0
Number of other retired or separated participants entitled to future benefits 2018-01-01 36
Total of all active and inactive participants 2018-01-01 110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2018-01-01 0
Total participants 2018-01-01 110
Number of participants with account balances 2018-01-01 98
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2018-01-01 2
2017: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year 2017-01-01 132
Total number of active participants reported on line 7a of the Form 5500 2017-01-01 79
Number of retired or separated participants receiving benefits 2017-01-01 0
Number of other retired or separated participants entitled to future benefits 2017-01-01 35
Total of all active and inactive participants 2017-01-01 114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2017-01-01 1
Total participants 2017-01-01 115
Number of participants with account balances 2017-01-01 100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2017-01-01 6
2016: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year 2016-01-01 136
Total number of active participants reported on line 7a of the Form 5500 2016-01-01 86
Number of retired or separated participants receiving benefits 2016-01-01 0
Number of other retired or separated participants entitled to future benefits 2016-01-01 45
Total of all active and inactive participants 2016-01-01 131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2016-01-01 0
Total participants 2016-01-01 131
Number of participants with account balances 2016-01-01 117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2016-01-01 5
2015: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year 2015-10-01 129
Total number of active participants reported on line 7a of the Form 5500 2015-10-01 87
Number of retired or separated participants receiving benefits 2015-10-01 0
Number of other retired or separated participants entitled to future benefits 2015-10-01 50
Total of all active and inactive participants 2015-10-01 137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits 2015-10-01 0
Total participants 2015-10-01 137
Number of participants with account balances 2015-10-01 131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested 2015-10-01 0

Measure	Date	Value
2019: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2019 401k membership
Total participants, beginning-of-year	2019-01-01	113
Total number of active participants reported on line 7a of the Form 5500	2019-01-01	94
Number of retired or separated participants receiving benefits	2019-01-01	0
Number of other retired or separated participants entitled to future benefits	2019-01-01	31
Total of all active and inactive participants	2019-01-01	125
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2019-01-01	0
Total participants	2019-01-01	125
Number of participants with account balances	2019-01-01	93
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2019-01-01	1
2018: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2018 401k membership
Total participants, beginning-of-year	2018-01-01	137
Total number of active participants reported on line 7a of the Form 5500	2018-01-01	74
Number of retired or separated participants receiving benefits	2018-01-01	0
Number of other retired or separated participants entitled to future benefits	2018-01-01	36
Total of all active and inactive participants	2018-01-01	110
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2018-01-01	0
Total participants	2018-01-01	110
Number of participants with account balances	2018-01-01	98
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2018-01-01	2
2017: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2017 401k membership
Total participants, beginning-of-year	2017-01-01	132
Total number of active participants reported on line 7a of the Form 5500	2017-01-01	79
Number of retired or separated participants receiving benefits	2017-01-01	0
Number of other retired or separated participants entitled to future benefits	2017-01-01	35
Total of all active and inactive participants	2017-01-01	114
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2017-01-01	1
Total participants	2017-01-01	115
Number of participants with account balances	2017-01-01	100
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2017-01-01	6
2016: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2016 401k membership
Total participants, beginning-of-year	2016-01-01	136
Total number of active participants reported on line 7a of the Form 5500	2016-01-01	86
Number of retired or separated participants receiving benefits	2016-01-01	0
Number of other retired or separated participants entitled to future benefits	2016-01-01	45
Total of all active and inactive participants	2016-01-01	131
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2016-01-01	0
Total participants	2016-01-01	131
Number of participants with account balances	2016-01-01	117
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2016-01-01	5
2015: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2015 401k membership
Total participants, beginning-of-year	2015-10-01	129
Total number of active participants reported on line 7a of the Form 5500	2015-10-01	87
Number of retired or separated participants receiving benefits	2015-10-01	0
Number of other retired or separated participants entitled to future benefits	2015-10-01	50
Total of all active and inactive participants	2015-10-01	137
Number of deceased participants whose beneficiaries are receiving or are entitled to receive benefits	2015-10-01	0
Total participants	2015-10-01	137
Number of participants with account balances	2015-10-01	131
Participants that terminated employment during the plan year with accrued benefits that were less than 100% vested	2015-10-01	0

Financial Data on CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN

Measure	Date	Value
2019 : CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2019 401k financial data
Unrealized appreciation/depreciation of real estate assets	2019-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2019-12-31	$94,588
Total unrealized appreciation/depreciation of assets	2019-12-31	$94,588
Total transfer of assets to this plan	2019-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2019-12-31	$0
Total income from all sources (including contributions)	2019-12-31	$2,383,050
Total loss/gain on sale of assets	2019-12-31	$471
Total of all expenses incurred	2019-12-31	$2,283,311
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2019-12-31	$2,242,077
Expenses. Certain deemed distributions of participant loans	2019-12-31	$0
Value of total corrective distributions	2019-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2019-12-31	$962,833
Value of total assets at end of year	2019-12-31	$6,908,883
Value of total assets at beginning of year	2019-12-31	$6,809,144
Total of administrative expenses incurred including professional, contract, advisory and management fees	2019-12-31	$41,234
Total income from rents	2019-12-31	$0
Total interest from all sources	2019-12-31	$4,047
Total dividends received (eg from common stock, registered investment company shares)	2019-12-31	$83,175
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2019-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2019-12-31	$34,041
Administrative expenses professional fees incurred	2019-12-31	$0
Was this plan covered by a fidelity bond	2019-12-31	Yes
Value of fidelity bond cover	2019-12-31	$600,000
If this is an individual account plan, was there a blackout period	2019-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2019-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2019-12-31	No
Amount of non-exempt transactions with any party-in-interest	2019-12-31	$0
Contributions received from participants	2019-12-31	$448,522
Participant contributions at end of year	2019-12-31	$81,470
Participant contributions at beginning of year	2019-12-31	$57,110
Participant contributions at end of year	2019-12-31	$7,917
Participant contributions at beginning of year	2019-12-31	$5,138
Income. Received or receivable in cash from other sources (including rollovers)	2019-12-31	$251,104
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2019-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2019-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2019-12-31	$0
Other income not declared elsewhere	2019-12-31	$0
Administrative expenses (other) incurred	2019-12-31	$0
Liabilities. Value of operating payables at beginning of year	2019-12-31	$0
Total non interest bearing cash at end of year	2019-12-31	$0
Total non interest bearing cash at beginning of year	2019-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Value of net income/loss	2019-12-31	$99,739
Value of net assets at end of year (total assets less liabilities)	2019-12-31	$6,908,883
Value of net assets at beginning of year (total assets less liabilities)	2019-12-31	$6,809,144
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2019-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2019-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2019-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2019-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2019-12-31	$0
Investment advisory and management fees	2019-12-31	$13,498
Value of interest in registered invesment companies (eg mutual funds) at end of year	2019-12-31	$2,347,968
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2019-12-31	$1,876,739
Value of interest in pooled separate accounts at end of year	2019-12-31	$221,696
Value of interest in pooled separate accounts at beginning of year	2019-12-31	$275,240
Interest on participant loans	2019-12-31	$4,047
Income. Interest from loans (other than to participants)	2019-12-31	$0
Interest earned on other investments	2019-12-31	$0
Income. Interest from US Government securities	2019-12-31	$0
Income. Interest from corporate debt instruments	2019-12-31	$0
Value of interest in common/collective trusts at end of year	2019-12-31	$3,638,211
Value of interest in common/collective trusts at beginning of year	2019-12-31	$4,132,704
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2019-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2019-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2019-12-31	$484,349
Net investment gain/loss from pooled separate accounts	2019-12-31	$62,444
Net investment gain or loss from common/collective trusts	2019-12-31	$691,143
Net gain/loss from 103.12 investment entities	2019-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2019-12-31	No
Was there a failure to transmit to the plan any participant contributions	2019-12-31	Yes
Has the plan failed to provide any benefit when due under the plan	2019-12-31	No
Assets. Invements in employer securities at end of year	2019-12-31	$585,151
Assets. Invements in employer securities at beginning of year	2019-12-31	$443,800
Contributions received in cash from employer	2019-12-31	$263,207
Employer contributions (assets) at end of year	2019-12-31	$26,470
Employer contributions (assets) at beginning of year	2019-12-31	$18,413
Income. Dividends from preferred stock	2019-12-31	$0
Income. Dividends from common stock	2019-12-31	$49,134
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2019-12-31	$2,242,077
Contract administrator fees	2019-12-31	$27,736
Liabilities. Value of benefit claims payable at beginning of year	2019-12-31	$0
Did the plan have assets held for investment	2019-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2019-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2019-12-31	No
Aggregate proceeds on sale of assets	2019-12-31	$2,842
Aggregate carrying amount (costs) on sale of assets	2019-12-31	$2,371
Liabilities. Value of acquisition indebtedness at beginning of year	2019-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2019-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2019-12-31	Disclaimer
Accountancy firm name	2019-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2019-12-31	390859910
2018 : CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2018 401k financial data
Unrealized appreciation/depreciation of real estate assets	2018-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2018-12-31	$47,265
Total unrealized appreciation/depreciation of assets	2018-12-31	$47,265
Total transfer of assets to this plan	2018-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2018-12-31	$0
Total income from all sources (including contributions)	2018-12-31	$365,566
Total loss/gain on sale of assets	2018-12-31	$140
Total of all expenses incurred	2018-12-31	$1,505,915
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2018-12-31	$1,469,631
Expenses. Certain deemed distributions of participant loans	2018-12-31	$0
Value of total corrective distributions	2018-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2018-12-31	$707,565
Value of total assets at end of year	2018-12-31	$6,809,144
Value of total assets at beginning of year	2018-12-31	$7,949,493
Total of administrative expenses incurred including professional, contract, advisory and management fees	2018-12-31	$36,284
Total income from rents	2018-12-31	$0
Total interest from all sources	2018-12-31	$2,590
Total dividends received (eg from common stock, registered investment company shares)	2018-12-31	$69,792
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2018-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2018-12-31	$32,803
Administrative expenses professional fees incurred	2018-12-31	$0
Was this plan covered by a fidelity bond	2018-12-31	Yes
Value of fidelity bond cover	2018-12-31	$600,000
If this is an individual account plan, was there a blackout period	2018-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2018-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2018-12-31	No
Amount of non-exempt transactions with any party-in-interest	2018-12-31	$0
Contributions received from participants	2018-12-31	$434,491
Participant contributions at end of year	2018-12-31	$57,110
Participant contributions at beginning of year	2018-12-31	$40,802
Participant contributions at end of year	2018-12-31	$5,138
Participant contributions at beginning of year	2018-12-31	$5,657
Income. Received or receivable in cash from other sources (including rollovers)	2018-12-31	$26,164
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2018-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2018-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2018-12-31	$0
Other income not declared elsewhere	2018-12-31	$0
Administrative expenses (other) incurred	2018-12-31	$0
Liabilities. Value of operating payables at beginning of year	2018-12-31	$0
Total non interest bearing cash at end of year	2018-12-31	$0
Total non interest bearing cash at beginning of year	2018-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Value of net income/loss	2018-12-31	$-1,140,349
Value of net assets at end of year (total assets less liabilities)	2018-12-31	$6,809,144
Value of net assets at beginning of year (total assets less liabilities)	2018-12-31	$7,949,493
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2018-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2018-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2018-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2018-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2018-12-31	$0
Investment advisory and management fees	2018-12-31	$6,730
Value of interest in registered invesment companies (eg mutual funds) at end of year	2018-12-31	$1,876,739
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2018-12-31	$2,602,295
Value of interest in pooled separate accounts at end of year	2018-12-31	$275,240
Value of interest in pooled separate accounts at beginning of year	2018-12-31	$231,584
Interest on participant loans	2018-12-31	$2,590
Income. Interest from loans (other than to participants)	2018-12-31	$0
Interest earned on other investments	2018-12-31	$0
Income. Interest from US Government securities	2018-12-31	$0
Income. Interest from corporate debt instruments	2018-12-31	$0
Value of interest in common/collective trusts at end of year	2018-12-31	$4,132,704
Value of interest in common/collective trusts at beginning of year	2018-12-31	$4,692,188
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2018-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2018-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2018-12-31	$-187,954
Net investment gain/loss from pooled separate accounts	2018-12-31	$-20,194
Net investment gain or loss from common/collective trusts	2018-12-31	$-253,638
Net gain/loss from 103.12 investment entities	2018-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2018-12-31	No
Was there a failure to transmit to the plan any participant contributions	2018-12-31	No
Has the plan failed to provide any benefit when due under the plan	2018-12-31	No
Assets. Invements in employer securities at end of year	2018-12-31	$443,800
Assets. Invements in employer securities at beginning of year	2018-12-31	$361,102
Contributions received in cash from employer	2018-12-31	$246,910
Employer contributions (assets) at end of year	2018-12-31	$18,413
Employer contributions (assets) at beginning of year	2018-12-31	$15,865
Income. Dividends from preferred stock	2018-12-31	$0
Income. Dividends from common stock	2018-12-31	$36,989
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2018-12-31	$1,469,631
Contract administrator fees	2018-12-31	$29,554
Liabilities. Value of benefit claims payable at beginning of year	2018-12-31	$0
Did the plan have assets held for investment	2018-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2018-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2018-12-31	No
Aggregate proceeds on sale of assets	2018-12-31	$1,695
Aggregate carrying amount (costs) on sale of assets	2018-12-31	$1,555
Liabilities. Value of acquisition indebtedness at beginning of year	2018-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2018-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2018-12-31	Disclaimer
Accountancy firm name	2018-12-31	BAKER TILLY VIRCHOW KRAUSE, LLP
Accountancy firm EIN	2018-12-31	390859910
2017 : CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2017 401k financial data
Unrealized appreciation/depreciation of real estate assets	2017-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2017-12-31	$27,432
Total unrealized appreciation/depreciation of assets	2017-12-31	$27,432
Total transfer of assets to this plan	2017-12-31	$222
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2017-12-31	$0
Total income from all sources (including contributions)	2017-12-31	$2,089,803
Total loss/gain on sale of assets	2017-12-31	$11,904
Total of all expenses incurred	2017-12-31	$390,616
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2017-12-31	$361,536
Expenses. Certain deemed distributions of participant loans	2017-12-31	$0
Value of total corrective distributions	2017-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2017-12-31	$967,474
Value of total assets at end of year	2017-12-31	$7,949,493
Value of total assets at beginning of year	2017-12-31	$6,250,084
Total of administrative expenses incurred including professional, contract, advisory and management fees	2017-12-31	$29,080
Total income from rents	2017-12-31	$0
Total interest from all sources	2017-12-31	$1,505
Total dividends received (eg from common stock, registered investment company shares)	2017-12-31	$46,463
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2017-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2017-12-31	$30,291
Administrative expenses professional fees incurred	2017-12-31	$0
Was this plan covered by a fidelity bond	2017-12-31	Yes
Value of fidelity bond cover	2017-12-31	$600,000
If this is an individual account plan, was there a blackout period	2017-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2017-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2017-12-31	No
Amount of non-exempt transactions with any party-in-interest	2017-12-31	$0
Contributions received from participants	2017-12-31	$444,660
Participant contributions at end of year	2017-12-31	$40,802
Participant contributions at beginning of year	2017-12-31	$73,969
Participant contributions at end of year	2017-12-31	$5,657
Participant contributions at beginning of year	2017-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2017-12-31	$285,496
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2017-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2017-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2017-12-31	$0
Other income not declared elsewhere	2017-12-31	$330
Administrative expenses (other) incurred	2017-12-31	$0
Liabilities. Value of operating payables at beginning of year	2017-12-31	$0
Total non interest bearing cash at end of year	2017-12-31	$0
Total non interest bearing cash at beginning of year	2017-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Value of net income/loss	2017-12-31	$1,699,187
Value of net assets at end of year (total assets less liabilities)	2017-12-31	$7,949,493
Value of net assets at beginning of year (total assets less liabilities)	2017-12-31	$6,250,084
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2017-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2017-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2017-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2017-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2017-12-31	$0
Investment advisory and management fees	2017-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2017-12-31	$2,602,295
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2017-12-31	$1,454,464
Value of interest in pooled separate accounts at end of year	2017-12-31	$231,584
Value of interest in pooled separate accounts at beginning of year	2017-12-31	$110,678
Interest on participant loans	2017-12-31	$1,505
Income. Interest from loans (other than to participants)	2017-12-31	$0
Interest earned on other investments	2017-12-31	$0
Income. Interest from US Government securities	2017-12-31	$0
Income. Interest from corporate debt instruments	2017-12-31	$0
Value of interest in common/collective trusts at end of year	2017-12-31	$4,692,188
Value of interest in common/collective trusts at beginning of year	2017-12-31	$3,835,200
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2017-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2017-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2017-12-31	$402,412
Net investment gain/loss from pooled separate accounts	2017-12-31	$41,708
Net investment gain or loss from common/collective trusts	2017-12-31	$590,575
Net gain/loss from 103.12 investment entities	2017-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2017-12-31	No
Was there a failure to transmit to the plan any participant contributions	2017-12-31	No
Has the plan failed to provide any benefit when due under the plan	2017-12-31	No
Assets. Invements in employer securities at end of year	2017-12-31	$361,102
Assets. Invements in employer securities at beginning of year	2017-12-31	$775,773
Contributions received in cash from employer	2017-12-31	$237,318
Employer contributions (assets) at end of year	2017-12-31	$15,865
Employer contributions (assets) at beginning of year	2017-12-31	$0
Income. Dividends from preferred stock	2017-12-31	$0
Income. Dividends from common stock	2017-12-31	$16,172
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2017-12-31	$361,536
Contract administrator fees	2017-12-31	$29,080
Liabilities. Value of benefit claims payable at beginning of year	2017-12-31	$0
Did the plan have assets held for investment	2017-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2017-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2017-12-31	No
Aggregate proceeds on sale of assets	2017-12-31	$470,509
Aggregate carrying amount (costs) on sale of assets	2017-12-31	$458,605
Liabilities. Value of acquisition indebtedness at beginning of year	2017-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2017-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2017-12-31	Disclaimer
Accountancy firm name	2017-12-31	MONTGOMERY COSCIA GREILICH LLP
Accountancy firm EIN	2017-12-31	752919818
2016 : CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2016 401k financial data
Unrealized appreciation/depreciation of real estate assets	2016-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2016-12-31	$21,496
Total unrealized appreciation/depreciation of assets	2016-12-31	$21,496
Total transfer of assets to this plan	2016-12-31	$0
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2016-12-31	$0
Total income from all sources (including contributions)	2016-12-31	$1,659,962
Total loss/gain on sale of assets	2016-12-31	$-4,630
Total of all expenses incurred	2016-12-31	$716,895
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2016-12-31	$646,405
Expenses. Certain deemed distributions of participant loans	2016-12-31	$0
Value of total corrective distributions	2016-12-31	$47,480
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2016-12-31	$1,264,270
Value of total assets at end of year	2016-12-31	$6,250,084
Value of total assets at beginning of year	2016-12-31	$5,307,017
Total of administrative expenses incurred including professional, contract, advisory and management fees	2016-12-31	$23,010
Total income from rents	2016-12-31	$0
Total interest from all sources	2016-12-31	$4,180
Total dividends received (eg from common stock, registered investment company shares)	2016-12-31	$24,290
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2016-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2016-12-31	$21,214
Administrative expenses professional fees incurred	2016-12-31	$0
Was this plan covered by a fidelity bond	2016-12-31	Yes
Value of fidelity bond cover	2016-12-31	$600,000
If this is an individual account plan, was there a blackout period	2016-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2016-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2016-12-31	No
Amount of non-exempt transactions with any party-in-interest	2016-12-31	$0
Contributions received from participants	2016-12-31	$457,419
Participant contributions at end of year	2016-12-31	$73,969
Participant contributions at beginning of year	2016-12-31	$109,372
Participant contributions at end of year	2016-12-31	$0
Participant contributions at beginning of year	2016-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2016-12-31	$605,595
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2016-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2016-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2016-12-31	$0
Other income not declared elsewhere	2016-12-31	$0
Administrative expenses (other) incurred	2016-12-31	$0
Liabilities. Value of operating payables at beginning of year	2016-12-31	$0
Total non interest bearing cash at end of year	2016-12-31	$0
Total non interest bearing cash at beginning of year	2016-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Value of net income/loss	2016-12-31	$943,067
Value of net assets at end of year (total assets less liabilities)	2016-12-31	$6,250,084
Value of net assets at beginning of year (total assets less liabilities)	2016-12-31	$5,307,017
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2016-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2016-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2016-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2016-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2016-12-31	$0
Investment advisory and management fees	2016-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2016-12-31	$1,454,464
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2016-12-31	$220,124
Value of interest in pooled separate accounts at end of year	2016-12-31	$110,678
Value of interest in pooled separate accounts at beginning of year	2016-12-31	$71,948
Interest on participant loans	2016-12-31	$4,180
Income. Interest from loans (other than to participants)	2016-12-31	$0
Interest earned on other investments	2016-12-31	$0
Income. Interest from US Government securities	2016-12-31	$0
Income. Interest from corporate debt instruments	2016-12-31	$0
Value of interest in common/collective trusts at end of year	2016-12-31	$3,835,200
Value of interest in common/collective trusts at beginning of year	2016-12-31	$4,093,732
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2016-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2016-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2016-12-31	$100,826
Net investment gain/loss from pooled separate accounts	2016-12-31	$1,946
Net investment gain or loss from common/collective trusts	2016-12-31	$247,584
Net gain/loss from 103.12 investment entities	2016-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2016-12-31	No
Was there a failure to transmit to the plan any participant contributions	2016-12-31	No
Has the plan failed to provide any benefit when due under the plan	2016-12-31	No
Assets. Invements in employer securities at end of year	2016-12-31	$775,773
Assets. Invements in employer securities at beginning of year	2016-12-31	$809,541
Contributions received in cash from employer	2016-12-31	$201,256
Employer contributions (assets) at end of year	2016-12-31	$0
Employer contributions (assets) at beginning of year	2016-12-31	$2,300
Income. Dividends from preferred stock	2016-12-31	$0
Income. Dividends from common stock	2016-12-31	$3,076
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2016-12-31	$646,405
Contract administrator fees	2016-12-31	$23,010
Liabilities. Value of benefit claims payable at beginning of year	2016-12-31	$0
Did the plan have assets held for investment	2016-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2016-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2016-12-31	No
Aggregate proceeds on sale of assets	2016-12-31	$53,710
Aggregate carrying amount (costs) on sale of assets	2016-12-31	$58,340
Liabilities. Value of acquisition indebtedness at beginning of year	2016-12-31	$0
Accountant perfomed limited scope audit pursuant to 29 CFR 2520.103-8 and/or 103-12(d)	2016-12-31	Yes
Opinion of an independent qualified public accountant for this plan	2016-12-31	Disclaimer
Accountancy firm name	2016-12-31	MONTGOMERY COSCIA GREILICH LLP
Accountancy firm EIN	2016-12-31	752919818
2015 : CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2015 401k financial data
Unrealized appreciation/depreciation of real estate assets	2015-12-31	$0
Unrealized appreciation/depreciation of other (non real estate) assets	2015-12-31	$-13,348
Total unrealized appreciation/depreciation of assets	2015-12-31	$-13,348
Total transfer of assets to this plan	2015-12-31	$5,046,636
Total liabilities at end of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total liabilities at beginning of year (benefit claims payable, operating payabales, acquisition indebtedness and other liabilities)	2015-12-31	$0
Total income from all sources (including contributions)	2015-12-31	$260,633
Total loss/gain on sale of assets	2015-12-31	$0
Total of all expenses incurred	2015-12-31	$252
Benefit payments and payments to participlants,beneficiaries,insurance carriers and others	2015-12-31	$0
Expenses. Certain deemed distributions of participant loans	2015-12-31	$0
Value of total corrective distributions	2015-12-31	$0
Total contributions o plan (from employers,participants, others, non cash contrinutions)	2015-12-31	$279,762
Value of total assets at end of year	2015-12-31	$5,307,017
Value of total assets at beginning of year	2015-12-31	$0
Total of administrative expenses incurred including professional, contract, advisory and management fees	2015-12-31	$252
Total income from rents	2015-12-31	$0
Total interest from all sources	2015-12-31	$701
Total dividends received (eg from common stock, registered investment company shares)	2015-12-31	$549
Has a resolution to terminate the plan been adopted during the plan year or any prior plan year	2015-12-31	No
Total dividends received from registered investment company shares (eg mutual funds)	2015-12-31	$549
Administrative expenses professional fees incurred	2015-12-31	$0
Was this plan covered by a fidelity bond	2015-12-31	Yes
Value of fidelity bond cover	2015-12-31	$600,000
If this is an individual account plan, was there a blackout period	2015-12-31	No
Total value of distributions paid in property other than in cash, annuity contracts, or publicly traded employer securities	2015-12-31	$0
Were there any nonexempt tranactions with any party-in-interest	2015-12-31	No
Amount of non-exempt transactions with any party-in-interest	2015-12-31	$0
Contributions received from participants	2015-12-31	$170,172
Participant contributions at end of year	2015-12-31	$109,372
Participant contributions at end of year	2015-12-31	$0
Participant contributions at beginning of year	2015-12-31	$0
Income. Received or receivable in cash from other sources (including rollovers)	2015-12-31	$67,641
Expenses. Other payments made (not to insurance carriers or or participants/beneficiaries)	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at end of year	2015-12-31	$0
Value of other receiveables (less allowance for doubtful accounts) at beginning of year	2015-12-31	$0
Other liabilities (not benefit claims, operating payabales oe acquisition indebtedness) at beginning of year	2015-12-31	$0
Other income not declared elsewhere	2015-12-31	$0
Administrative expenses (other) incurred	2015-12-31	$0
Liabilities. Value of operating payables at beginning of year	2015-12-31	$0
Total non interest bearing cash at end of year	2015-12-31	$0
Total non interest bearing cash at beginning of year	2015-12-31	$0
Did the receive any noncash contributions whose value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Value of net income/loss	2015-12-31	$260,381
Value of net assets at end of year (total assets less liabilities)	2015-12-31	$5,307,017
Value of net assets at beginning of year (total assets less liabilities)	2015-12-31	$0
Did the plan have a loss casued by fraud or dishonesty (regardless whether reimbursed by fidelity bond)	2015-12-31	No
Were any loans by the plan or fixed income obligations due to the plan in default	2015-12-31	No
Amount of loans by the plan or fixed income obligations due to the plan which were in default/classified-as-uncollectible as of the close of the plan year	2015-12-31	$0
Were any leases to which the plan was party in default or uncollectible	2015-12-31	No
Amount of leases to which the plan was a party which were in default/classified-as-uncollectible during the year	2015-12-31	$0
Investment advisory and management fees	2015-12-31	$0
Value of interest in registered invesment companies (eg mutual funds) at end of year	2015-12-31	$220,124
Value of interest in registered invesment companies (eg mutual funds) at beginning of year	2015-12-31	$0
Value of interest in pooled separate accounts at end of year	2015-12-31	$71,948
Value of interest in pooled separate accounts at beginning of year	2015-12-31	$0
Interest on participant loans	2015-12-31	$701
Income. Interest from loans (other than to participants)	2015-12-31	$0
Interest earned on other investments	2015-12-31	$0
Income. Interest from US Government securities	2015-12-31	$0
Income. Interest from corporate debt instruments	2015-12-31	$0
Value of interest in common/collective trusts at end of year	2015-12-31	$4,093,732
Value of interest in common/collective trusts at beginning of year	2015-12-31	$0
Interest earned from interest bearing cash (including money market accounts and certificates of deposit)	2015-12-31	$0
Expenses. Payments to insurance carriers foe the provision of benefits	2015-12-31	$0
Net investment gain/loss from registered investment companies (e.g. mutual funds)	2015-12-31	$-81
Net investment gain/loss from pooled separate accounts	2015-12-31	$358
Net investment gain or loss from common/collective trusts	2015-12-31	$-7,308
Net gain/loss from 103.12 investment entities	2015-12-31	$0
Were any plan transactions or series of transactions in excess of 5% of the current value of the plan assets	2015-12-31	No
Was there a failure to transmit to the plan any participant contributions	2015-12-31	No
Has the plan failed to provide any benefit when due under the plan	2015-12-31	No
Assets. Invements in employer securities at end of year	2015-12-31	$809,541
Assets. Invements in employer securities at beginning of year	2015-12-31	$0
Contributions received in cash from employer	2015-12-31	$41,949
Employer contributions (assets) at end of year	2015-12-31	$2,300
Employer contributions (assets) at beginning of year	2015-12-31	$0
Income. Dividends from preferred stock	2015-12-31	$0
Income. Dividends from common stock	2015-12-31	$0
Benefit payments and payments to provide benefits directly to participlants or beneficiaries including direct rollovers	2015-12-31	$0
Contract administrator fees	2015-12-31	$252
Liabilities. Value of benefit claims payable at beginning of year	2015-12-31	$0
Did the plan have assets held for investment	2015-12-31	Yes
Did the plan hold any assets whose current value was neither redily determinable on an established market nor set by an independent third party appraiser	2015-12-31	No
Were all the plan assets eitehr distributed to particpants/beneficiaries, transferred to another plan or brought under the control of the PBGC	2015-12-31	No
Aggregate proceeds on sale of assets	2015-12-31	$0
Aggregate carrying amount (costs) on sale of assets	2015-12-31	$0
Liabilities. Value of acquisition indebtedness at beginning of year	2015-12-31	$0

Form 5500 Responses for CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN

2019: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2019 form 5500 responses
2019-01-01	Type of plan entity	Single employer plan
2019-01-01	This submission is the final filing	No
2019-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2019-01-01	Plan is a collectively bargained plan	No
2019-01-01	Plan funding arrangement – Insurance	Yes
2019-01-01	Plan funding arrangement – Trust	Yes
2019-01-01	Plan benefit arrangement – Insurance	Yes
2019-01-01	Plan benefit arrangement - Trust	Yes
2018: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2018 form 5500 responses
2018-01-01	Type of plan entity	Single employer plan
2018-01-01	This submission is the final filing	No
2018-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2018-01-01	Plan is a collectively bargained plan	No
2018-01-01	Plan funding arrangement – Insurance	Yes
2018-01-01	Plan funding arrangement – Trust	Yes
2018-01-01	Plan benefit arrangement – Insurance	Yes
2018-01-01	Plan benefit arrangement - Trust	Yes
2017: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2017 form 5500 responses
2017-01-01	Type of plan entity	Single employer plan
2017-01-01	This submission is the final filing	No
2017-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2017-01-01	Plan is a collectively bargained plan	No
2017-01-01	Plan funding arrangement – Insurance	Yes
2017-01-01	Plan funding arrangement – Trust	Yes
2017-01-01	Plan benefit arrangement – Insurance	Yes
2017-01-01	Plan benefit arrangement - Trust	Yes
2016: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2016 form 5500 responses
2016-01-01	Type of plan entity	Single employer plan
2016-01-01	This submission is the final filing	No
2016-01-01	This return/report is a short plan year return/report (less than 12 months)	No
2016-01-01	Plan is a collectively bargained plan	No
2016-01-01	Plan funding arrangement – Insurance	Yes
2016-01-01	Plan funding arrangement – Trust	Yes
2016-01-01	Plan benefit arrangement – Insurance	Yes
2016-01-01	Plan benefit arrangement - Trust	Yes
2015: CAPITAL SOUTHWEST MANAGEMENT CORPORATION EMPLOYEE SAVINGS PLAN 2015 form 5500 responses
2015-10-01	Type of plan entity	Single employer plan
2015-10-01	First time form 5500 has been submitted	Yes
2015-10-01	Submission has been amended	Yes
2015-10-01	This submission is the final filing	No
2015-10-01	This return/report is a short plan year return/report (less than 12 months)	Yes
2015-10-01	Plan is a collectively bargained plan	No
2015-10-01	Plan funding arrangement – Insurance	Yes
2015-10-01	Plan funding arrangement – Trust	Yes
2015-10-01	Plan benefit arrangement – Insurance	Yes
2015-10-01	Plan benefit arrangement - Trust	Yes

Insurance Providers Used on plan

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

462829

Policy instance

Insurance contract or identification number	462829
Number of Individuals Covered	125
Insurance policy start date	2019-01-01
Insurance policy end date	2019-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

462829

Policy instance

Insurance contract or identification number	462829
Number of Individuals Covered	110
Insurance policy start date	2018-01-01
Insurance policy end date	2018-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

462829

Policy instance

Insurance contract or identification number	462829
Number of Individuals Covered	115
Insurance policy start date	2017-01-01
Insurance policy end date	2017-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

PRINCIPAL LIFE INSURANCE COMPANY (National Association of Insurance Commissioners NAIC id number: 61271 )

Policy contract number

462829

Policy instance

Insurance contract or identification number	462829
Number of Individuals Covered	137
Insurance policy start date	2015-10-01
Insurance policy end date	2015-12-31
Total amount of commissions paid to insurance broker	USD $0
Total amount of fees paid to insurance company	USD $0
Contract purchased, in whole or in part, to distribute benefits from a terminating plan	No
Did the insurance company fail to provide any information necessary to complete Schedule A of form 5500?	No

Potentially related plans

CAPITAL SOUTHWEST CORPORATION EMPLOYEE SAVINGS PLAN [EIN = 751072796]

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Company Name:	CAPITAL SOUTHWEST MANAGEMENT CORPORATION
Employer identification number (EIN):	752146756
NAIC Classification:	523900

Jurisdiction of Incorporation:	Nevada Department of State
Incorporation Date:	1986-12-22
Company Identification Number:	19861024293
Legal Registered Office Address:	701 S CARSON ST STE 200 CARSON CITY United States of America (USA) 89701