-----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, FhnQa3Gsju3wa+DMtN9OAFPxhnNwAby07No7mnb8hQw3t2sjQdf1WAsC+LwB90R9 9xq1AhA79bxiZLYwi3G4Mg== 0001157523-03-000304.txt : 20030212 0001157523-03-000304.hdr.sgml : 20030212 20030211184537 ACCESSION NUMBER: 0001157523-03-000304 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030212 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BYRNE SUSAN M CENTRAL INDEX KEY: 0001171441 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: STE 1300 CITY: DALLAS STATE: TX ZIP: 75201 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WESTWOOD HOLDINGS GROUP INC CENTRAL INDEX KEY: 0001165002 STANDARD INDUSTRIAL CLASSIFICATION: FINANCE SERVICES [6199] IRS NUMBER: 752969997 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78424 FILM NUMBER: 03551202 BUSINESS ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1300 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147566900 MAIL ADDRESS: STREET 1: 300 CRESCENT COURT STREET 2: SUITE 1300 CITY: DALLAS STATE: TX ZIP: 75201 SC 13G 1 a4337075.txt WESTWOOD HOLDINGS SC 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. _____)* Westwood Holdings Group, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 961765 10 4 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2002 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: / / Rule 13d-1(b) / / Rule 13d-1(c) /X / Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 1 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Susan M. Byrne - -------------------------------------------------------------------------------- 2. Check the appropriate box if a member of a group (see instructions) (a)____________________________________________ (b)____________________________________________ 3. SEC use only _______________________________________________________________________ 4. Citizenship or place of organization: USA ________________________________________________________________________________ Number of 5. Sole voting power: 786,305 shares ----------------------------------------------------------- beneficially owned by 6. Shared voting power: 0 each reporting ---------------------------------------------------------- person with: 7. Sole dispositive power: 786,305 ---------------------------------------------------------- 8. Shared dispositive power: 0 9. Aggregate amount beneficially owned by each reporting person: 786,305 ________________________________________________________________________________ 10. Check box if the aggregate amount in Row (9) excludes certain shares (see instructions). [ ] ________________________________________________________________________________ 11. Percent of class represented by amount in Row (9): 14.6% ________________________________________________________________________________ 12. Type of reporting person (see instructions): IN ________________________________________________________________________________ 2 ITEM 1. (a) Name of Issuer: Westwood Holdings Group, Inc. (b) Address of Issuer's Principal Executive Offices: 300 Crescent Court, Suite 1300, Dallas, Texas 75201 ITEM 2. (a) Name of Person Filing: Susan M. Byrne (b) Address of Principal Business Office or, if none, Residence: c/o Westwood Holdings Group, Inc., 300 Crescent Court, Suite 1300, Dallas, Texas 75201 (c) Citizenship: USA (d) Title of Class of Securities: Common Stock, par value $0.01 per share (e) CUSIP Number: 961765 10 4
ITEM 3. If this statement is filed pursuant to Rule 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ ] An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
ITEM 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. 3 (a) Amount beneficially owned: 786,305 (b) Percent of class: 14.6% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 786,305 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 786,305 (iv) Shared power to dispose or to direct the disposition of:0 ITEM 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following. [ ] ITEM 6. Ownership of More than Five Percent on Behalf of Another Person. Not applicable. ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not applicable. ITEM 8. Identification and Classification of Members of the Group. Not applicable. ITEM 9. Notice of Dissolution of Group. Not applicable. ITEM 10. Certification. Not applicable. 4 Signature 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. February 11, 2003 Date /s/ Susan M. Byrne --------------------------------------------- Signature Susan M. Byrne, Chief Executive Officer Name/Title ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) 5 -----END PRIVACY-ENHANCED MESSAGE-----