-----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, P5wOtZND0ibwMNoGe205Ch8Ak98e9J3hXLQKarcQOIYufKjbiBkDD9s73PDU1HA1 FJv5nFNYYrmEbfxpa4XpXA== 0000950134-06-023797.txt : 20061229 0000950134-06-023797.hdr.sgml : 20061229 20061229111558 ACCESSION NUMBER: 0000950134-06-023797 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20061229 DATE AS OF CHANGE: 20061229 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HAWKINS JAMES R CENTRAL INDEX KEY: 0001286644 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: BUSINESS PHONE: 2547511750 MAIL ADDRESS: STREET 1: 6400 IMPERIAL DRIVE CITY: WACO STATE: TX ZIP: 76712 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRSTCITY FINANCIAL CORP CENTRAL INDEX KEY: 0000828678 STANDARD INDUSTRIAL CLASSIFICATION: SHORT-TERM BUSINESS CREDIT INSTITUTIONS [6153] IRS NUMBER: 760243729 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-40461 FILM NUMBER: 061304421 BUSINESS ADDRESS: STREET 1: 6400 IMPERIAL DRIVE CITY: WACO STATE: TX ZIP: 76712 BUSINESS PHONE: 2547511750 MAIL ADDRESS: STREET 1: 6400 IMPERIAL DRIVE CITY: WACO STATE: TX ZIP: 76712 FORMER COMPANY: FORMER CONFORMED NAME: FIRST CITY BANCORPORATION OF TEXAS INC/ DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: FIRST CITY ACQUISITION CORP DATE OF NAME CHANGE: 19880523 SC 13D/A 1 d42385sc13dza.htm AMENDMENT TO SCHEDULE 13D sc13dza
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. 1 )*

FirstCity Financial Corporation
(Name of Issuer)
Common Stock, par value $0.01 per share
(Title of Class of Securities)
33761X107
(CUSIP Number)
James R. Hawkins
P.O. Box 21446
Waco, Texas 76702
(254) 399-8405
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
December 29, 2006
(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

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7(b) for other parties to whom copies are to be sent.

* 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 disclosures provided in a prior cover page.

The information required on 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).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 
 

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CUSIP No.
  
33761X107 
   Page  
2 
   of   
5 

 

           
1   NAMES OF REPORTING PERSONS:

James R. Hawkins
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS):
  (a)   o 
  (b)   o 
     
3   SEC USE ONLY:
   
   
     
4   SOURCE OF FUNDS (SEE INSTRUCTIONS):
   
  OO
     
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 of America
       
  7   SOLE VOTING POWER:
     
NUMBER OF   554,892
       
SHARES 8   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 9   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   554,892
       
WITH 10   SHARED DISPOSITIVE POWER:
     
    0
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  554,892
     
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):
   
  4.9%
     
14   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS):
   
  IN

 

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Item 5. Interest in Securities of the Issuer
SIGNATURE

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     This Amendment No. 1 to Schedule 13D relates to the common stock, par value $0.01 per share (“Common Stock”), of FirstCity Financial Corporation, Inc., a Delaware corporation (the “Issuer”), and is being filed on behalf of the Reporting Person to amend the Schedule 13D that was originally filed with the Securities and Exchange Commission (the “Commission”) on September 19, 2006, to reflect the change in beneficial ownership of the Reporting Person and to report that the Reporting Person ceased to be the holder of more than five percent of the Issuer’s Common Stock as of December 29, 2006. Except as set forth below, all previous Items are unchanged. Capitalized terms used herein which are not defined herein have the meanings given to them in the Schedule 13D previously filed with the Commission.
Item 5. Interest in Securities of the Issuer.
     Item 5 is hereby amended and restated as follows:
     (a) As of December 29, 2006, the Reporting Person was the beneficial owner of 554,892 shares of Common Stock (which represents approximately 4.9% of the Issuer’s outstanding Common Stock as of November 9, 2006, as disclosed in the Issuer’s Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2006). 97,279 of such shares are owned indirectly by the Reporting Person through J-Hawk I, Ltd., a Texas limited partnership, the sole general partner of which is Combined Funding, Inc. The Reporting Person may be deemed to beneficially own such shares as a result of his ownership of 50% of the common stock of Combined Funding, Inc.
     (b)
                                 
    Sole   Shared   Sole   Shared
    Voting   Voting   Dispositive   Dispositive
    Power   Power   Power   Power
James R. Hawkins
     457,613       0       457,613       0  
J-Hawk I, Ltd.
     97,279       0       97,279       0  
     (c) Except as set forth below, there have been no transactions in the Common Stock by the Reporting Person during the past sixty days.
     The Reporting Person made a bona fide gift of 100,000 shares of the Issuer’s Common Stock on December 29, 2006. During the past sixty days, the Reporting Person also effected the following sales of shares of Common Stock in open market transactions:
                 
    Date   Price   Number of Shares
12/18/06
   $ 11.0264       10,000  
12/19/06
   $ 11.06       500  
12/20/06
   $ 11.05       5,000  
12/21/06
   $ 11.0359       5,000  
     In addition, during the past sixty days, the Reporting Person effected the following sales of shares of Common Stock owned by J-Hawk I, Ltd. in open market transactions:

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    Date   Price   Number of Shares
11/06/06
  $ 10.60       5,000  
11/06/06
  $ 10.65       4,284  
11/08/06
  $ 10.65       716  
11/09/06
  $ 10.70       1,800  
11/20/06
  $ 10.50       1,380  
12/06/06
  $ 10.50       3,620  
12/07/06
  $ 10.52       5,000  
12/11/06
  $ 10.70       8,200  
12/11/06
  $ 10.65       5,000  
12/12/06
  $ 10.73       5,000  
12/18/06
  $ 10.85       5,000  
12/18/06
  $ 10.90       5,000  
12/20/06
  $ 11.05       5,000  
     (d) Not applicable.
     (e) The Reporting Person ceased to be the beneficial owner of more than five percent of the Issuer’s Common Stock as of December 29, 2006.

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SIGNATURE
     After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this Schedule 13D is true, complete and correct.
Date: December 29, 2006
         
     
  By:   /s/ James R. Hawkins    
    James R. Hawkins   
       
 

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