-----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, HcUMcufLOeVu9Wi13U0n+PIpToS18uLDBv3wXb5ERk9b7VjU4LJpYLMFiqx2RXNO ld5h/dGlcKQBvLbc+x7MRQ== 0000950152-01-500977.txt : 20010424 0000950152-01-500977.hdr.sgml : 20010424 ACCESSION NUMBER: 0000950152-01-500977 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010423 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 13D/A SEC ACT: SEC FILE NUMBER: 005-08281 FILM NUMBER: 1608382 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: FINANCIAL STOCKS INC CENTRAL INDEX KEY: 0001041241 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 311437546 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 507 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132416166 MAIL ADDRESS: STREET 1: 5070 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 SC 13D/A 1 l87838asc13da.txt FINANCIAL STOCKS/HAWTHORNE FINANCIAL CORP-SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.1)* Hawthorne Financial Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 420542102 - -------------------------------------------------------------------------------- (CUSIP Number) John M. Stein 507 Carew Tower 441 Vine Street Cincinnati, Ohio 45202 (513) 241-6166 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 19, 2001 - -------------------------------------------------------------------------------- (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. *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). Page 1 of 4 Pages 2 CUSIP No. 4250542102 13D 1)Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Financial Stocks, Inc. 85-0366665 2)Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] 3)SEC Use Only 4)Source of Funds (See Instructions) 5) Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] 6)Citizenship or Place of Organization
======================================= =========================================================================== NUMBER OF SHARES BENEFICIALLY OWNED 7) Sole Voting Power 223,354 BY EACH REPORTING PERSON WITH ======================================= =========================================================================== 8) Shared Voting Power -0- ======================================= =========================================================================== 9) Sole Dispositive Power 223,354 ======================================= =========================================================================== 10) Shared Dispositive Power -0- ======================================= ===========================================================================
11)Aggregate Amount Beneficially Owned by Each Reporting Person 223,354 12)Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13)Percent of Class Represented by Amount in Row (11) 4.3% 14)Type of Reporting Person (See Instructions) Page 2 of 4 Pages 3 This statement relates to the Common Stock ("Common Stock"), of Hawthorne Financial Corporation (the "Issuer"). The name and address of the principal executive offices of the Issuer are as follows: Hawthorne Financial Corporation 2381 Rosecrans Avenue El Segundo, CA 90245 The person filing this statement is Financial Stocks, Inc., an Ohio corporation ("FSI"). FSI's business address is 507 Carew Tower, 441 Vine Street, Cincinnati, Ohio 45202. FSI is a registered investment advisor and acts as general partner of Financial Stocks Limited Partnership ("FSLP") and certain other investment partnerships. This filing amends the Schedule 13D previously filed by FSI with respect to the Issuer. Item 5 of such 13D is hereby amended as follows: Item 5. Interest in Securities of the Issuer. ------------------------------------ The following table sets forth information with respect to the shares of Common Stock of which FSI has or shares beneficial ownership: Percent of Record Owner Number of Shares Outstanding - ------------ ---------------- ----------- FSLP 223,354 (1) 4.3 (1)As general partner of FSLP, FSI has sole voting power and dispositive power with respect to these shares. The following table sets forth information with respect to all transactions with respect to the Common Stock in which FSI has engaged in the last 60 days. Date Shares Sold Price Per Share - ---- ----------- --------------- 4/19/01 33,000 $16.21 All of such shares of Common Stock were sold in open market transactions. Page 3 of 4 Pages 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. FINANCIAL STOCKS, INC. April 20 2001 By: /s/ John M. Stein - ------------- --------------------- Date John Stein, President Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----