-----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, Stx9mohdwpUpyMdVMA7KHylL4XOHeHyStQUXcU0xlWkMmJCdCydALiJujvi6zZCV zcwYM8pqclSipd8MyQlf8Q== 0001005477-99-004961.txt : 19991105 0001005477-99-004961.hdr.sgml : 19991105 ACCESSION NUMBER: 0001005477-99-004961 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991104 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SURETY CAPITAL CORP /DE/ CENTRAL INDEX KEY: 0000784932 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 752065607 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-40438 FILM NUMBER: 99741271 BUSINESS ADDRESS: STREET 1: 1845 PRECINCT LINE RD STE 100 CITY: HURST STATE: TX ZIP: 76054 BUSINESS PHONE: 8174982749 MAIL ADDRESS: STREET 1: 1845 PRECINCT LINE RD STE 100 CITY: HURST STATE: TX ZIP: 76054 FORMER COMPANY: FORMER CONFORMED NAME: K CAPITAL INC DATE OF NAME CHANGE: 19870407 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ABRAMS RICHARD N CENTRAL INDEX KEY: 0001095076 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 480 CENTRAL AVE CITY: NORTHFIELD STATE: IL ZIP: 60093 BUSINESS PHONE: 8474416500 MAIL ADDRESS: STREET 1: 480 CENTRAL AVE CITY: NORTHFIELD STATE: IL ZIP: 60093 SC 13D 1 SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Rule 13d-101 Under the Securities Exchange Act of 1934 (Amendment No. __)* SURETY CAPITAL CORP - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 868666207 - -------------------------------------------------------------------------------- (CUSIP Number) RICHARD N. ABRAMS 480 CENTRAL AVENUE NORTHFIELD, ILLINOIS 60093 847-441-6500 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) SEPTEMBER 2, 1999 - -------------------------------------------------------------------------------- (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 ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. |_| NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 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). Page 1 of 4 Pages CUSIP No. 868666207 - -------------------------------------------------------------------------------- (1) Names and I.R.S. Identification Nos.(entities only) of reporting persons. RICHARD N. & RODNEY A. ABRAMS & JODI ABRAMS ENGFER ###-##-#### - -------------------------------------------------------------------------------- (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). PF - -------------------------------------------------------------------------------- (5) Check if disclosure of legal proceedings is required pursuant to Items |_| 2(d) or 2(e). - -------------------------------------------------------------------------------- (6) Citizenship or place of organization. USA - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (7) Sole voting power: 516,800 (8) Shared voting power: 0 (9) Sole dispositive power: 516,800 (10) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (11) Aggregate amount beneficially owned by each reporting person. 516,800 - -------------------------------------------------------------------------------- (12) Check if the aggregate amount in Row (11) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (13) Percent of class represented by amount in Row (11). 9.0% - -------------------------------------------------------------------------------- (14) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- Page 2 of 4 Pages Item 1. Security and Issuer. COMMON STOCK SURETY CAPITAL CORPORATION Item 2. Identity and Background. (a) RICHARD N. & RODNEY A. ABRAMS & JODI ABRAMS ENGFER (b) 480 CENTRAL AVENUE NORTHFIELD, ILLINOIS 60093 (c) RICHARD - EXECUTIVE, FUNERAL FINANCIAL SYSTEMS, LTD., 480 CENTRAL AVENUE, NORTHFIELD, IL 60093 RODNEY - MARKET MAKER C.B.O.E., 480 CENTRAL AVENUE, NORTHFIELD, IL 60093 JODI - TEACHER, 480 CENTRAL AVENUE, NORTHFIELD, IL 60093 (d) NOT APPLICABLE (e) NOT APPLICABLE (f) U.S.A Item 3. Source and Amount of Funds or Other Consideration. PERSONAL FUNDS $531,317.50 Item 4. Purpose of Transaction. N/A Item 5. Interest in Securities of the Issuer. (a) 516,800 SHARES OF COMMON STOCK 9.0% (b) RICHARD N. ABRAMS HAS 100% OF THE POWER TO VOTE, DISPOSE OF OR DIRECT THE DISPOSITION OF 516,800 SHARES. IF HE IS UNABLE TO ACT THAN RODNEY A. ABRAMS HAS 100% OF THE POWER TO VOTE, DISPOSE OF OR DIRECT THE DISPOSITION OF 516,800 SHARES. IF HE IS UNABLE TO ACT THAN JODI ABRAMS ENGFER HAS 100% OF THE POWER TO VOTE, DISPOSE OF OR DIRECT THE DISPOSITION OF 516,800 SHARES (c) RODNEY A. ABRAMS DATE QUANITY PRICE EFFECTED 04/20/99 5,500 1 5/16 PURCHASE 04/20/99 4,500 1 1/4 " 04/21/99 500 1 7/16 " 04/21/99 2,000 1 1/2 " 04/22/99 2,000 1 5/8 " 05/10/99 2,000 1 3/8 " 05/11/99 300 1 5/16 " 05/17/99 2,000 1 1/4 " 05/18/99 2,000 1 1/4 " 05/19/99 1,000 1 5/16 " 06/07/99 2,000 1 3/8 " 08/12/99 2,000 1 1/4 " 09/03/99 50,000 1 " RICHARD N. ABRAMS 04/20/99 10,000 1 1/4 " 05/12/99 10,000 1 1/4 " 08/13/99 10,000 1 1/8 " 08/27/99 110,000 1 " 09/02/99 200,000 1 " 09/03/99 100,000 1 " (d) NOT APPLICABLE (e) NOT APPLICABLE Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. NOT APPLICABLE Item 7. Material to be Filed as Exhibits. NONE Page 3 of 4 Pages 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: 9/15/99 Signature /s/ RICHARD N. ABRAMS ------------------------------------------ Name: RICHARD N. ABRAMS Title: Date: 9/15/99 Signature /s/ RODNEY A. ABRAMS ------------------------------------------ Name: RODNEY A. ABRAMS Title: Date: 9/15/99 Signature /s/ JODI ABRAMS ENGFER ------------------------------------------ Name: JODI ABRAMS ENGFER Title: The original statement shall be signed by each person on whose behalf the statement is filed or his authorized representative. If the statement is signed on behalf of a person by his authorized representative (other than an executive officer or general partner of the filing person), evidence of the representative's authority to sign on behalf of such person shall be filed with the statement: Provided, however, That a power of attorney for this purpose which is already on file with the Commission may be incorporated by reference. The name and any title of each person who signs the statement shall be typed or printed beneath his signature. ATTENTION--Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001). (Secs. 13(d), 13(g), 14(d), 23, 48 Stat. 894, 895, 901; sec. 8, 49 Stat. 1379; sec. 203(a), 49 Stat. 704; sec. 10, 78 Stat. 88a; Secs. 2, 3, 82 Stat. 454, 455; secs. 1, 2, 3-5, 84 Stat. 1497; sec. 18, 89 Stat. 155; secs. 202, 203, 91 Stat. 1494, 1498, 1499; 15 U.S.C. 78m(d), 78m(g), 78n(d), 78w) [44 FR 2145, Jan. 9, 1979; 44 FR 11751, Mar. 2, 1979; 44 FR 70340, Dec. 6, 1979; 47 FR 11466, Mar. 16, 1982; 61 FR 49959, Sept. 24, 1996; 62 FR 35340, July 1, 1997; 63 FR 2867, Jan. 16, 1998; 63 FR 15287, Mar. 31, 1998] Page 4 of 4 Pages -----END PRIVACY-ENHANCED MESSAGE-----