0001181580-13-000015.txt : 20130916
0001181580-13-000015.hdr.sgml : 20130916
20130916142459
ACCESSION NUMBER: 0001181580-13-000015
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130911
FILED AS OF DATE: 20130916
DATE AS OF CHANGE: 20130916
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: HALLMARK FINANCIAL SERVICES INC
CENTRAL INDEX KEY: 0000819913
STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE CARRIERS, NEC [6399]
IRS NUMBER: 870447375
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 777 MAIN STREET, SUITE 1000
CITY: FORT WORTH
STATE: TX
ZIP: 76102
BUSINESS PHONE: 8173481600
MAIL ADDRESS:
STREET 1: 777 MAIN STREET
STREET 2: STE 1000
CITY: FORT WORTH
STATE: TX
ZIP: 76102
FORMER COMPANY:
FORMER CONFORMED NAME: ACOI INC
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: AMERICAN CREDIT OPTICAL INC /DE/
DATE OF NAME CHANGE: 19910611
FORMER COMPANY:
FORMER CONFORMED NAME: PYRAMID GROWTH INC
DATE OF NAME CHANGE: 19890124
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NEWCASTLE PARTNERS L P
CENTRAL INDEX KEY: 0000932334
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11252
FILM NUMBER: 131098494
BUSINESS ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: STE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-661-7474
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: STE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NEWCASTLE CAPITAL MANAGEMENT LP
CENTRAL INDEX KEY: 0001251296
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11252
FILM NUMBER: 131098495
BUSINESS ADDRESS:
STREET 1: C/O NEWCASTLE CAPITAL MANAGEMENT LP
STREET 2: 200 CRESCENT COURT STE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-661-7474
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: STE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NCM SERVICES, INC.
CENTRAL INDEX KEY: 0001586784
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11252
FILM NUMBER: 131098497
BUSINESS ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-661-7474
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Schwarz 2012 Family Trust
CENTRAL INDEX KEY: 0001586760
STATE OF INCORPORATION: TX
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11252
FILM NUMBER: 131098498
BUSINESS ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-661-7474
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: SUITE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: SCHWARZ MARK E
CENTRAL INDEX KEY: 0001208889
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11252
FILM NUMBER: 131098499
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: STE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: NEWCASTLE CAPITAL GROUP LLC
CENTRAL INDEX KEY: 0001251293
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-11252
FILM NUMBER: 131098496
BUSINESS ADDRESS:
STREET 1: C/O NEWCASTLE CAPITAL MANAGEMENT LP
STREET 2: 200 CRESCENT COURT STE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
BUSINESS PHONE: 214-661-7474
MAIL ADDRESS:
STREET 1: 200 CRESCENT COURT
STREET 2: STE 1400
CITY: DALLAS
STATE: TX
ZIP: 75201
4
1
edgar.xml
PRIMARY DOCUMENT
X0306
4
2013-09-11
0000819913
HALLMARK FINANCIAL SERVICES INC
HALL
0001208889
SCHWARZ MARK E
200 CRESCENT COURT
SUITE 1400
DALLAS
TX
75201
1
1
1
0
Executive Chairman
0001586760
Schwarz 2012 Family Trust
200 CRESCENT COURT
SUITE 1400
DALLAS
TX
75201
0
0
1
0
0001586784
NCM SERVICES, INC.
200 CRESCENT COURT
SUITE 1400
DALLAS
TX
75201
0
0
1
0
0001251293
NEWCASTLE CAPITAL GROUP LLC
200 CRESCENT COURT
SUITE 1400
DALLAS
TX
75201
0
0
1
0
0001251296
NEWCASTLE CAPITAL MANAGEMENT LP
200 CRESCENT COURT
SUITE 1400
DALLAS
TX
75201
0
0
1
0
0000932334
NEWCASTLE PARTNERS L P
200 CRESCENT COURT
SUITE 1400
DALLAS
TX
75201
0
0
1
0
Common Stock
130805
D
Common Stock
2013-09-11
4
P
0
7490
8.35
A
911729
I
Shares directly owned by NCM Services, Inc.
Common Stock
2013-09-12
4
P
0
7665
8.52
A
919394
I
Shares directly owned by NCM Services, Inc.
Common Stock
134376
I
Shares directly owned by Newcastle Capital Management, L.P.
Common Stock
3730432
I
Shares directly owned by Newcastle Partners, L.P.
Director Stock Option (right to buy)
12.52
2017-05-24
Common Stock
10000
10000
D
Director Stock Option (right to buy)
11.46
2018-05-22
Common Stock
5000
5000
D
Director Stock Option (right to buy)
6.61
2019-04-01
Common Stock
200000
200000
D
Director Stock Option (right to buy)
6.99
2021-12-31
Common Stock
14157
14157
D
Shares owned directly by Mr. Schwarz.
Represents the weighted average purchase price of transactions effected at prices ranging from $8.32 per share to $8.35 per share. Upon written request by the SEC, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price.
Represents the weighted average purchase price of transactions effected at prices ranging from $8.49 per share to $8.55 per share. Upon written request by the SEC, the Issuer or a security holder of the Issuer, the Reporting Person will provide full information regarding the number of shares purchased at each separate price.
Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP, and each of these entities may be deemed the beneficial owner of all shares held by the entities which they directly or indirectly own or control.
Options are presently fully exercisable.
Options owned directly by Mr. Schwarz.
Options vest in seven equal annual installments commencing April 1, 2010.
Steven D. Davidson as Attorney-In-Fact for each Reporting Person
2013-09-16