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Previous: CAPITAL RESOURCES REAL ESTATE PARTNERSHIP II, 10-Q/A, 1995-11-20 |
Next: AIM FUNDS GROUP/DE, 497, 1995-11-20 |
<PAGE> 1
FORM N-SAR
SEMI-ANNUAL REPORT
FOR REGISTERED INVESTMENT COMPANIES
Report for six month period ending: 09/30/95 (a)
or fiscal year ending: / / (b)
Is this a transition report? (Y/N) N
-----
Is this an amendment to a previous filing? (Y/N) N
-----
Those items or sub-items with a box "[ ]" after the item number should be
completed only if the answer has changed from the previous filing on this form.
<TABLE>
<S> <C> <C> <C> <C> <C>
1. A. Registrant Name: Capital Southwest Venture Corporation
B. File Number: 811-1947
C. Telephone Number: (214) 233-8242
2. A. Street: 12900 Preston Road, Suite 700
B. City: Dallas C. State: Texas D. Zip Code: 75230 Zip Ext: 1314
E. Foreign Country: Foreign Postal Code:
3. Is this the first filing on this form by Registrant? (Y/N) N
----------
4. Is this the last filing on this form by Registrant? (Y/N) N
----------
5. Is Registrant a small business investment company (SBIC)? (Y/N) Y
----------
6. Is Registrant a unit investment trust (UIT)? (Y/N) N
[If answer is "Y" (Yes), complete only items 89 through 110.] ----------
7. A. Is Registrant a series or multiple portfolio company? (Y/N) N
[If answer is "N" (No), go to item 8.] ----------
B. How many separate series or portfolios did Registrant have at the end of the period?
--------------
</TABLE>
SCREEN NUMBER: 01 PAGE NUMBER: 01 SEC2100 (5/90)
<PAGE> 2
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If filing more than one
Page 40, "X" box: [ ]
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For period ending 09/30/95
-----------------
File Number 811-1947
-----------------
<TABLE>
<CAPTION>
FINANCIAL INFORMATION
97. A. How many months do the answers to items 97 and 98 cover? 6 Months
-----
INCOME
For period covered by this form
($000's omitted)
-------------------------------
<S> <C> <C> <C>
B. Net interest income . . . . . . . . . . . . . . . . . . . . . . . $ 817
---------
C. Net dividend income . . . . . . . . . . . . . . . . . . . . . . . $ 598
---------
D. Account maintenance fees . . . . . . . . . . . . . . . . . . . . $
---------
E. Net other income . . . . . . . . . . . . . . . . . . . . . . . . $
---------
EXPENSES
F. Gross advisory fees . . . . . . . . . . . . . . . . . . . . . . . $
---------
G. Gross administrator(s) fees . . . . . . . . . . . . . . . . . . . $
(Negative answers allowed for 97H through 97S) ---------
H. Salaries and other compensation . . . . . . . . . . . . . . . . . $
---------
I. Shareholder servicing agent fees . . . . . . . . . . . . . . . . $
---------
J. Custodian fees . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
K. Postage . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
L. Printing expenses . . . . . . . . . . . . . . . . . . . . . . . . $
---------
M. Directors' fees . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
N. Registration fees . . . . . . . . . . . . . . . . . . . . . . . . $
---------
0. Taxes . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 6
---------
P. Interest . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 497
---------
Q. Bookkeeping fees paid to anyone performing this service . . . . . $
---------
R. Auditing fees . . . . . . . . . . . . . . . . . . . . . . . . . . $ 2
---------
S. Legal fees . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
</TABLE>
SCREEN NUMBER: 48 PAGE NUMBER: 40 SEC2100 (5/90)
<PAGE> 3
-----------------------
If filing more than one
Page 41, "X" box: [ ]
-----------------------
For period ending 09/30/95
-----------------
File Number 811-1947
-----------------
Expenses (Negative answers allowed on this screen for
97T through 97W and 97Z only)
<TABLE>
<CAPTION>
For period covered by this form
($000's omitted)
-------------------------------
<S> <C> <C> <C>
T. Marketing/distribution payments including payments pursuant
to a Rule l2b-1 plan . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
U. Amortization of organization expenses . . . . . . . . . . . . . . . . . . . . . . . $
---------
V. Shareholder meeting expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
W. Other expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 102
---------
X. Total expenses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 607
---------
Y. Expense reimbursements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
Z. Net investment income . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 808*
---------
AA. Realized capital gains . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
BB. Realized capital losses . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
CC. 1. Net unrealized appreciation during the period . . . . . . . . . . . . . . . $ 9,363
---------
2. Net unrealized depreciation during the period . . . . . . . . . . . . . . . $
---------
DD. Total income dividends for which record date passed during the period . . . . . . . $
---------
EE. Total capital gains distributions for which record date passed during the period . . $ 9,418
---------
98. Payments per share outstanding during the entire current period:
A. Dividends from net investment income . . . . . . . . . . . . . . . . . . . . . . . . $ **
---------
NOTE: Show in fractions of a cent if so declared.
B. Distributions of capital gains . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 9.418**
---------
C. Other distributions . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
NOTE: Show in fractions of a cent if so declared.
* Negative answer permitted in this field.
** Items 98A and 98B should be of the form mn.nnnn (where n = integer).
</TABLE>
SCREEN NUMBER: 49 PAGE NUMBER: 41 SEC2100 (5/90)
<PAGE> 4
-----------------------
If filing more than one
Page 42, "X" box: [ ]
-----------------------
For period ending 09/30/95
--------------
File Number 811-1947
--------------
<TABLE>
<CAPTION>
As of the end of
current reporting period
(000's omitted)
------------------------
<S> <C> <C>
99. Assets, liabilities, shareholders' equity:
A. Cash . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 226
---------
B. Repurchase agreements . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
C. Short-term debt securities other than repurchase agreements . . . . . . . . . . . . $ 80,100
---------
D. Long-term debt securities including convertible debt . . . . . . . . . . . . . . . . $ 9,241
---------
E. Preferred, convertible preferred and adjustable rate preferred stock . . . . . . . . $ 4,965
---------
F. Common stock . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 64,484
---------
G. Options on equities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 756
---------
H. Options on all futures . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
I. Other investments . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
J. Receivables from portfolio instruments sold . . . . . . . . . . . . . . . . . . . . $
---------
K. Receivables from affiliated persons . . . . . . . . . . . . . . . . . . . . . . . . $ 38
---------
L. Other receivables . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 105
---------
M. All other assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 74
---------
N. Total assets . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 159,989
---------
</TABLE>
SCREEN NUMBER: 50 PAGE NUMBER: 42 SEC2100 (5/90)
<PAGE> 5
-----------------------
If filing more than one
Page 43, "X" box: [ ]
-----------------------
For period ending 09/30/95
--------------
File Number 811-1947
--------------
<TABLE>
<CAPTION>
As of the end of
current reporting period
(000's omitted except for
per share amounts and
number of accounts)
-------------------------
<S> <C> <C>
0. Payables for portfolio instruments purchased . . . . . . . . . . . . . . . . . . . . . . $
---------
P. Amounts owed to affiliated persons . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 75,159
---------
Q. Senior long-term debt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 11,000
---------
R. All other liabilities . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 19,757
---------
S. Senior equity . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
T. Net assets of common shareholders . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 54,073
---------
U. Number of shares outstanding . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $ 1,000
---------
V. Net asset value per share (to nearest cent) . . . . . . . . . . . . . . . . . . . . . . $ 54.07*
---------
W. Mark-to-market net asset value per share for money market funds only (to 4 decimals) . . $ **
---------
X. Total number of shareholder accounts . . . . . . . . . . . . . . . . . . . . . . . . . . $ 1
---------
Y. Total value of assets in segregated accounts . . . . . . . . . . . . . . . . . . . . . . $
---------
100. Monthly average net assets during current reporting period ($000's omitted) . . . . . . . . . . . $ 52,422
---------
101. Market price per share at end of period . . . . . . . . . . . . . . . . . . . . . . . . . . . . . $
---------
* Net asset value per share must be of the form nnn.nn (where n = integer).
** Value must be of the form nnn.nnnn (where n = integer).
</TABLE>
SCREEN NUMBER: 51 PAGE NUMBER: 43 SEC2100 (5/90)
<PAGE> 6
-----------------------
If filing more than one
Page 44 "X" box: [ ]
-----------------------
For period ending 09/30/95
-----------------
File Number 811-1947
-----------------
<TABLE>
<S> <C> <C>
102. A. Is the Registrant filing any of the following attachments with the current
filing of Form N-SAR? N
---------
Y/N
NOTE: If answer is "Y" (Yes), mark those items below being filed as an
attachment to this form or incorporate by reference.
B. Matters submitted to a vote of security holders . . . . . . . . . . . . . . . . . . . .
---------
C. Policies with respect to security investments . . . . . . . . . . . . . . . . . . . . .
---------
D. Legal proceedings . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
---------
E. Changes in security for debt . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
---------
F. Defaults and arrears on senior securities . . . . . . . . . . . . . . . . . . . . . . .
---------
G. Changes in control of Registrant . . . . . . . . . . . . . . . . . . . . . . . . . . . .
---------
H. Terms of new or amended securities . . . . . . . . . . . . . . . . . . . . . . . . . . .
---------
I. Revaluation of assets or restatement of capital share account . . . . . . . . . . . . .
---------
J. Changes in Registrant's certifying accountant . . . . . . . . . . . . . . . . . . . . .
---------
K. Changes in accounting principles and practices . . . . . . . . . . . . . . . . . . . . .
---------
L. Mergers . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . . .
---------
M. Actions required to be reported pursuant to Rule 2a-7 . . . . . . . . . . . . . . . . .
---------
N. Transactions effected pursuant to Rule 10f-3 . . . . . . . . . . . . . . . . . . . . . .
---------
0. Information required to be filed pursuant to existing exemptive orders . . . . . . . . .
---------
Attachment Information (Cont. on Screen 53)
</TABLE>
SCREEN NUMBER: 52 PAGE NUMBER: 44 SEC2100 (5/90)
<PAGE> 7
This report is signed on behalf of the Registrant, in the City of Dallas, State
of Texas, on the of November, 1995.
--------
CAPITAL SOUTHWEST VENTURE CORPORATION
By: /s/ TIM SMITH
-----------------------------------------------
Tim Smith, Vice President & Secretary-Treasurer
Witness: /s/ WILLIAM R. THOMAS
------------------------------------------
William R. Thomas, President
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