-----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, BouhVh1P5zseEMNJrddW0uQYhLL/DjMkwkuDXDtKK9YxsGLwg4H8o9QW3JZTD9mN wO/YjgzXTpj97FLgZJPBQA== 0000898432-02-000104.txt : 20020414 0000898432-02-000104.hdr.sgml : 20020414 ACCESSION NUMBER: 0000898432-02-000104 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HAWTHORNE FINANCIAL CORP CENTRAL INDEX KEY: 0000046267 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 952085671 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-08281 FILM NUMBER: 02537138 BUSINESS ADDRESS: STREET 1: 2381 ROSECRANS AVE CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 3107255000 MAIL ADDRESS: STREET 1: 2381 ROSECRANS AVE CITY: EL SEGUNDO STATE: CA ZIP: 90245 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST FINANCIAL FUND INC CENTRAL INDEX KEY: 0000790202 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133341573 STATE OF INCORPORATION: MD FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: GATEWAY ENTER THREE 100 MULBERRY ST CITY: NEWARK STATE: NJ ZIP: 07102-4077 BUSINESS PHONE: 2013677530 MAIL ADDRESS: STREET 1: GATEWAY CENTER THREE 100 MULBERRY STREET CITY: NEWARK STATE: NJ ZIP: 07102-4077 FORMER COMPANY: FORMER CONFORMED NAME: FIRST SAVINGS & BANKING INSTITUTIONS FUND INC DATE OF NAME CHANGE: 19860402 SC 13G 1 ff488715.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 Hawthorne Financial Corporation ------------------------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 420542102 --------- (CUSIP Number) December 31, 2001 ----------------- (Date of Event Which Requires Filing of this Statement) This Schedule is filed pursuant to Rule 13d-1(b). 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). [Continued on the following pages] Page 1 of 4 Pages Page 2 of 4 Pages CUSIP #: 420542102 --------- - -------------------------------------------------------------------------------- 1. Name of Reporting Person: (I.R.S. Identification No. of above person): First Financial Fund, Inc. 13-3341573 - -------------------------------------------------------------------------------- 2. Check the appropriate box if a member of a group: (a) ( ) (b) ( ) - -------------------------------------------------------------------------------- 3. SEC use only: - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization: Maryland - -------------------------------------------------------------------------------- 5. Sole Voting Power 291,400 ---------------------------------------- Number of shares 6. Shared Voting Power beneficially owned by 0 ---------------------------------------- 7. Sole Dispositive Power each Reporting Person with 0 ---------------------------------------- 8. Shared Dispositive Power 291,400 - -------------------------------------------------------------------------------- 9. Aggregate amount beneficially owned by each reporting person: 291,400 - -------------------------------------------------------------------------------- 10. Check if the aggregate amount in row (9) excludes certain shares: - -------------------------------------------------------------------------------- 11. Percent of class represented by amount in row (9): 5.44% - -------------------------------------------------------------------------------- 12. Type of Reporting Person: IV Page 3 of 4 Pages CUSIP #: 420542102 --------- - -------------------------------------------------------------------------------- SCHEDULE 13G ------------ Item 1(a): Name of Issuer: - --------------------------- Hawthorne Financial Corporation Item 1(b): Address of Issuer's Principal Executive Offices: - ------------------------------------------------------------ 2381 Rosecrans Avenue El Segundo, California 90245 Item 2(a): Name of Person Filing: - ---------------------------------- First Financial Fund, Inc. Item 2(b): Address of Principal Business Office: - ------------------------------------------------- Gateway Center Three 100 Mulberry Street, 9th Floor Newark, New Jersey 07102-7503 Item 2(c): Citizenship: - ------------------------ Maryland Item 2(d): Title of Class of Securities: - ----------------------------------------- Common Stock Item 2(e): CUSIP Number: - ------------------------- 320228109 Item 3: Type of Reporting Person: - ---------------------------------- IV Item 4: Ownership: - ------------------- (a) AMOUNT BENEFICIALLY OWNED: First Financial Fund, Inc., a registered closed-end investment company, may be deemed the beneficial owner of 291,400 shares of common stock of the Issuer. (b) PERCENT OF CLASS: 5.44% (c) VOTING AND DISPOTIVE POWER: First Financial Fund, Inc. has sole power to vote or to direct the vote and shared power to dispose or to direct the disposition of 291,400 shares of common stock of the Issuer. First Financial Fund, Inc. has shared power to vote or to direct the vote and sole power to dispose or to direct the disposition of 0 shares of common stock of the Issuer. Page 4 of 4 Pages CUSIP #: 420542102 --------- - -------------------------------------------------------------------------------- SCHEDULE 13G ------------ Item 5: Ownership of Five Percent or Less of a Class: - ------------------------------------------------------ Not Applicable 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: --------------------------------------------------------- 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: - ------------------------ By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. Date: February 11, 2002 Signature: /s/Arthur J. Brown ------------------ Name/Title: Arthur J. Brown Secretary -----END PRIVACY-ENHANCED MESSAGE-----