-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TB4aOKjLm+9SwhZXzEt43la2LudlPQJumrgmnxWcu1h9KFbRWMhU2SOJWOiBBJka Je2fhI7cKSSuz1gN3IIALg== 0000950152-03-005861.txt : 20030529 0000950152-03-005861.hdr.sgml : 20030529 20030529172346 ACCESSION NUMBER: 0000950152-03-005861 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030529 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SUPERIOR FINANCIAL CORP /AR/ CENTRAL INDEX KEY: 0001060770 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 510379417 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-55971 FILM NUMBER: 03724118 BUSINESS ADDRESS: STREET 1: 16101 LAGRANDE DRIVE STREET 2: SUITE 103 CITY: LITTLE ROCK STATE: AR ZIP: 72223 BUSINESS PHONE: 5013247255 MAIL ADDRESS: STREET 1: 16101 LAGRANDE DRIVE STREET 2: SUITE 103 CITY: LITTLE ROCK STATE: AR ZIP: 72223 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEIN STEVEN N CENTRAL INDEX KEY: 0000926138 IRS NUMBER: 288420773 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 441 VINE STREET, SUITE 507 CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132416166 MAIL ADDRESS: STREET 1: 441 VINE STREET, STREET 2: SUITE 507 CITY: CINCINNATI STATE: OH ZIP: 45202 SC 13D/A 1 l01220asc13dza.htm SUPERIOR FINANCIAL CORPORATION SC 13D/A Superior Financial Corporation SC 13D/A
 

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

SCHEDULE 13D/A

Under the Securities Exchange Act of 1934
(Amendment No. 4)

Superior Financial Corp.

(Name of Issuer)

Common Stock, par value $.01 per share

(Title of Class of Securities)

868161 10 0

(Cusip Number)

Steven N. Stein
Financial Stocks, Inc.
441 Vine Street, Suite 507
Cincinnati, OH 45202

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

May 27, 2003

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

 

 

             
CUSIP No. 868161 10 0
  1. Names of Reporting Persons:
Steven N. Stein		 I.R.S. Identification Nos. of above persons (entities only):
  2. Check the Appropriate Box if a Member of a Group (See Instructions):
    (a)    
    (b) x  
  3. SEC Use Only:
  4. Source of Funds (See Instructions):
AF
  5. Check if Disclosure of Legal Proceedings Is Required Pursuant to Items 2(d) or 2(e): o
  6. Citizenship or Place of Organization:
United States Citizen
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
PERSON WITH
7. Sole Voting Power:
426,541
8. Shared Voting Power:
58,619
9. Sole Dispositive Power:
426,541
10.Shared Dispositive Power:
58,619
  11.Aggregate Amount Beneficially Owned by Each Reporting Person:
485,160
  12.Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions):
o
  13.Percent of Class Represented by Amount in Row (11):
5.9%
  14.Type of Reporting Person (See Instructions):
IN

*     The percentages are based upon 8,281,109 shares of Superior Financial Corp. shares of common stock outstanding as of April 25, 2003 as reported by Superior Financial Corp. in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2003.

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CUSIP No. 868161 10 0

Steven N. Stein (the “Reporting Person”) hereby amends his Statement on Schedule 13D filed with respect to the common shares of Superior Financial Corp. This Amendment No. 4 should be read in conjunction with the Statement on Schedule 13D of the Reporting Person filed on August 23, 1999, as amended by Amendment No. 1 to the Schedule 13D of the Reporting Person filed on September 7, 1999, by Amendment No. 2 to the Schedule 13D of the Reporting Person filed on May 5, 2002, and by Amendment No. 3 to the Schedule 13D of the Reporting Person filed on November 18, 2002, (as so amended, the “Schedule 13D”). This Amendment No. 4 amends the Schedule 13D only with respect to the items listed below.

Any disclosures made herein with respect to persons other than the Reporting Person are made on information and belief after making appropriate inquiry.

Item 5. Interest in Securities of the Issuer

   (a)    The Reporting Person beneficially owns 485,160 shares of common stock, par value $.01 per share, of Superior Financial Corp. (the “Common Stock”). The 485,160 shares of Common Stock beneficially owned by the Reporting Person constitutes 5.9% of the issued and outstanding Common Stock. This calculation is based upon 8,281,109 shares of Common Stock issued and outstanding, as reported by Superior Financial Corp. in its Quarterly Report on Form 10-Q for the quarter ended March 31, 2003, filed with the Securities and Exchange Commission on May 5, 2003.
 
   (b)    The Reporting Person has the sole power to vote and to dispose of the 426,541 shares owned or controlled by him. As a director and executive officer of Financial Stocks, Inc., the Reporting Person has shared power to vote and dispose of the 58,619 shares held by Financial Stocks, Inc.
 
   (c)    The Reporting Person sold shares of Common Stock as set forth on Schedule I attached hereto through a broker in open market transactions on Nasdaq National Market.
 
   (d)    Not Applicable.
 
   (e)    Not Applicable.

Item 6. Contracts, Arrangements, Understandings, or Relationships with Respect to the Securities of the Issuer

      Steven N. Stein, John M. Stein, Alexander D. Warm and Stanley L. Vigran are the directors and shareholders of Financial Stocks, Inc. Financial Stocks, Inc. owns 58,619 shares of Superior Financial Corp. common stock. Steven N. Stein owns or controls 426,541 shares of common stock of Superior Financial Corp. John M. Stein is a director of Superior Financial Corp. and owns or controls 160,800 shares of its common stock. Steven N. Stein and John M. Stein are brothers. Alexander D. Warm owns or controls 469,500 shares of common stock of Superior Financial Corp. Stanley L. Vigran owns or controls 30,000 shares of common stock of Superior Financial Corp.
 
      Steven N. Stein disclaims any beneficial ownership of the stock owned or controlled by any of John M. Stein, Alexander D. Warm and Stanley L. Vigran. John M. Stein disclaims any beneficial ownership of the stock owned or controlled by any of Steven N. Stein, Alexander D. Warm and Stanley L. Vigran. Alexander D. Warm disclaims any beneficial ownership of the stock owned or controlled by any of Steven N. Stein, John M. Stein or Stanley L. Vigran. Stanley L. Vigran disclaims any beneficial ownership of the stock owned or controlled by any of Steven N. Stein, John M. Stein or Alexander D. Warm.

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CUSIP No. 868161 10 0

 

Signatures

     After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

  May 29, 2003

  /s/ Steven N. Stein
 
Steven N. Stein
 

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CUSIP No. 868161 10 0

 

Schedule I

                 
Date   Number of Securities Sold   Price Per Share
 
 
5/21/03     49,275     $ 23.49  
5/27/03     32,606       23.50  
5/27/03     5,000       23.51  
5/28/03     15,049       23.49  
5/29/03     17,600       23.48  

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