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Capital Southwest Corp (CSWC.OQ)

CSWC.OQ on NASDAQ Stock Exchange Global Select Market

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Summary

Name Age Since Current Position

David Brooks

58 2017 Non-Executive Chairman of the Board

Bowen Diehl

47 2015 President, Chief Executive Officer, Director

Michael Sarner

43 2015 Chief Financial Officer, Senior Vice President

Jack Furst

57 2014 Independent Director

Thomas Morgan

66 2012 Independent Director

William Thomas

46 2014 Independent Director

John Wilson

74 1988 Independent Director

Biographies

Name Description

David Brooks

Mr. David R. Brooks is re designated as Non-Executive Chairman of the Board of the Company effective August 2, 2017. He joined our Board in January 2014. Mr. Brooks is the Chairman of the Board, Chief Executive Officer, and a director since the formation in 2002 of Independent Bank Group, Inc. (NASDAQ:IBTX), a publicly-traded bank holding company with approximately $5.3 billion in assets. Mr. Brooks previously served on the board of managers of Noel-Levitz, LLC, a large national higher education consulting company, and the board of trustees of Houston Baptist University. Mr. Brooks has 35 years of experience in the financial services industry and previously served as the Chief Financial Officer at Baylor University. Mr. Brooks holds Bachelor and Master degrees in Business Administration from Baylor University. Capital Southwest will benefit from Mr. Brooks’ extensive experience in overseeing the operations and growth of a bank holding company, his executive expertise in public and private companies, his significant experience as a director of public and private companies, and his expertise in financial matters.

Bowen Diehl

Mr. Bowen S. Diehl is a President, Chief Executive Officer, Director of the Company. He has served as President and Chief Executive Officer of Capital Southwest since October 2015. Also, in October 2015, the Nominating/Corporate Governance Committee nominated Mr. Diehl to serve as a director. Mr. Diehl joined Capital Southwest in March 2014 and served as its Chief Investment Officer from March 2014 to October 2015. Prior to joining Capital Southwest, from 2007 to March 2014, Mr. Diehl served as Co-Head of American Capital’s Sponsor Finance Group, the group responsible for the majority of American Capital’s middle market lending business. He was also a Principal at American Capital from 2004 to 2007, and a Vice President at American Capital from 2001 to 2004. Mr. Diehl’s investments have included senior and subordinated debt, as well as preferred and common equity in both control and non-control structures. Mr. Diehl’s investments have been in a variety of industries including healthcare, business services, industrial manufacturing and consumer finance. Prior to American Capital, Mr. Diehl was a Vice President in Investment Banking at Merrill Lynch where he gained experience working with companies in the exploration and production, oilfield services, natural gas pipeline, natural gas gathering and processing, homebuilding and semiconductor sectors. Prior to joining Merrill Lynch, Mr. Diehl was a Vice President in the Global Oil and Gas Group at Chase Securities Inc., in New York, NY and then in Houston, TX, completing numerous transactions in the upstream and midstream oil and gas sectors. Mr. Diehl earned a Bachelor of engineering degree, with majors in Environmental/Geotechnical Engineering and Economics, from Vanderbilt University and a Masters of Business Administration from the University of Texas at Austin. Mr. Diehl, in his capacity as President and Chief Executive Officer, is an “interested person” under the Investment Company Act of 1940. Capital Southwest will benefit from Mr. Diehl’s extensive experie

Michael Sarner

Mr. Michael S. Sarner is a He joined Capital Southwest in July 2015 and served as a Senior Vice President until he was appointed Chief Financial Officer in October 2015. Prior to joining Capital Southwest, from 2000 to 2015, Mr. Sarner was the Senior Vice President, Treasury at American Capital, Ltd. Mr. Sarner was responsible for capital raising, debt capital markets, corporate restructurings, financial planning, corporate development of strategic initiatives, and system implementations of budget and treasury solutions. During the course of his career, he raised over $6 billion in debt capital in Term Securitizations, Secured Revolving Lines of Credit, Unsecured Notes, and Term Loans to support middle market platforms. Mr. Sarner also led both Corporate and Debt Restructurings, serving as both the strategic lead internally and the external liaison to over twenty financial institutions involved in the negotiations. Prior to joining American Capital, Mr. Sarner served in various roles in the accounting and finance arena performing and managing due diligence, raising debt and equity capital, and performing audits in public accounting. Mr. Sarner holds a Bachelor of Business Administration in Accounting from James Madison University and a Masters of Business Administration in Finance from George Washington University. Mr. Sarner holds an inactive Certified Public Accountant License in the Commonwealth of Virginia.

Jack Furst

Mr. Jack D. Furst is an Independent Director of the Company. He joined our Board in July 2014. Mr. Furst is the founder of his own private investment firm, Oak Stream Investors, which he started in 2008. He has been affiliated with HM Capital Partners LLC (“HM Capital”), a private equity firm, since 1989, the year in which it was formed (as Hicks, Muse, Tate & Furst, Inc.). Until 2008, he was a Partner in HM Capital and was involved in all aspects of the firm’s business, including originating, structuring and monitoring HM Capital’s investments. Mr. Furst has over 25 years of experience in leveraged acquisitions and private investments. Prior to joining HM Capital, Mr. Furst served as a Vice President and subsequently a Partner of Hicks & Haas from 1987 to 1989. From 1984 to 1986, Mr. Furst was a merger and acquisitions/corporate finance specialist for The First Boston Corporation in New York. Before joining First Boston, Mr. Furst was a Financial Consultant at PricewaterhouseCoopers. Mr. Furst received his Bachelor of Science degree with honors from the College of Business Administration at Arizona State University and his Master of Business Administration degree with honors from the Graduate School of Business at The University of Texas at Austin. Capital Southwest will benefit from Mr. Fursts’ senior executive and extensive private equity experience and his significant experience as a director of public and private companies.

Thomas Morgan

Mr. Thomas Duane Morgan is an Independent Director of the Company. He joined our Board in May 2012. Mr. Morgan has been a Senior Vice President of Gardner Denver, Inc., and advisor to Kohlberg Kravis Roberts & Co. L.P. (“KKR”) during the transition after the purchase of Gardner Denver by KKR in July 2013. Before the purchase, Mr. Morgan was Vice President of Gardner Denver and President of the Engineered Products Group with broad experience in the global energy and industrial manufacturing sectors. Mr. Morgan also serves on the board of SACHEM, Inc., a privately held specialty chemical company. He also co-founded three independent corporations during his business career. Mr. Morgan holds a Bachelor of Science in Mathematics from McNeese State University, a Master of Business Administration from Louisiana State University and also served as an Army Air Defense Artillery Officer in South Korea. Mr. Morgan is a National Association of Corporate Directors (“NACD”) Governance Fellow. He has demonstrated his commitment to boardroom excellence by completing NACD’s comprehensive program of study for corporate directors. He supplements his skill sets through ongoing engagement with the director community, and access to leading practices. Capital Southwest will benefit greatly from Mr. Morgan’s broad experience in the energy sector, his executive leadership experience and his management skills.

William Thomas

Mr. William R. Thomas, III, is an Independent Director of the Company. He joined our Board in January 2014. Mr. Thomas is a private investor, and since 2008 he has served as President of the Thomas Heritage Foundation, a non-profit grant-making corporation. In addition, Mr. Thomas serves as a director of Encore Wire Corporation (NASDAQ:WIRE). Mr. Thomas was also a Vice President of Capital Southwest from 2006 to 2012. Mr. Thomas, along with Thomas Heritage Partners, Ltd., is one of the largest shareholders of our Company representing 3.8% of voting power. Mr. Thomas graduated from the United States Air Force Academy and has a Master of Business Administration from Harvard Business School. Capital Southwest will benefit from Mr. Thomas’s investment experience as well as his management and entrepreneurial skills and his significant experience as a director of public and private companies.

John Wilson

Mr. John H. Wilson, III, is an Independent Director of the Company. He has been a member of our Board since 1988. Mr. Wilson has been President of U.S. Equity Corporation since 1983 and has over 45 years of experience as an executive or investor in numerous companies in the banking, insurance, manufacturing, communications, health and transportation industries. Mr. Wilson is also a director of Encore Wire Corporation (NASDAQ: WIRE). Mr. Wilson has a Bachelor of Business Administration degree from Baylor University. Capital Southwest will benefit from Mr. Wilson’s diverse industry experience, his significant experience as a director of public and private companies, and his experience as both an executive and an investor in numerous companies.

Basic Compensation

Name Fiscal Year Total

David Brooks

--

Bowen Diehl

2,618,300

Michael Sarner

1,180,080

Jack Furst

--

Thomas Morgan

--

William Thomas

507,349

John Wilson

--
As Of  31 Mar 2016

Options Compensation