-----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, STFzml8Z6vtyQvPRbt7i2KrLAxE402C9Injx7wLy4mbZfclobPc+bWdUmfueqLO7 066/x44iqH9bLO2KfwFzmg== 0000909518-98-000372.txt : 19980605 0000909518-98-000372.hdr.sgml : 19980605 ACCESSION NUMBER: 0000909518-98-000372 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980604 SROS: NONE GROUP MEMBERS: BERNICE GILLEN GROUP MEMBERS: GILLEN RICHARD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRSTCITY FINANCIAL CORP CENTRAL INDEX KEY: 0000828678 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 760243729 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-40461 FILM NUMBER: 98642378 BUSINESS ADDRESS: STREET 1: P O BOX 8216 CITY: WACO STATE: TX ZIP: 767148216 BUSINESS PHONE: 8177511750 MAIL ADDRESS: STREET 1: P O BOX 8216 CITY: WACO STATE: TX ZIP: 767148216 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GILLEN RICHARD CENTRAL INDEX KEY: 0001058538 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 340 N SAM HOUSTON PARKWAY EAST STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77060 BUSINESS PHONE: 2817741888 MAIL ADDRESS: STREET 1: 340 N SAM HOUSTON PARKWAY EAST STREET 2: SUITE 100 CITY: HOUSTON STATE: TX ZIP: 77060 SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------------ SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1) FIRSTCITY FINANCIAL CORPORATION - -------------------------------------------------------------------------------- (Name of issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of class of securities) 33761X107 - -------------------------------------------------------------------------------- (CUSIP number) JAMES T. SARTAIN FIRSTCITY FINANCIAL CORPORATION 6400 IMPERIAL DRIVE WACO, TEXAS 76712 (254)751-1750 - -------------------------------------------------------------------------------- (Name, address and telephone number of person authorized to receive notices and communications) MAY 8, 1998 - -------------------------------------------------------------------------------- (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 |_|. Check the following box if a fee is being paid with the statement |_|. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). HOFS02...:\92\54892\0004\2166\SCH5138U.300 - --------------------------- ------------------------- CUSIP NO. 33761X107 13D Page 2 of 7 Pages - --------------------------- ------------------------- ============================================================================== 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Richard Gillen (SS# ###-##-####) - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) X (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED VOTING POWER 640,455 SHARES OF COMMON STOCK -------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 640,455 shares of Common Stock - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 640,455 SHARES OF COMMON STOCK - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.5% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IN ============================================================================== *SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------- ------------------------- CUSIP NO. 33761X107 13D Page 3 of 7 Pages - --------------------------- ------------------------- ============================================================================== 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Bernice Gillen (SS# ###-##-####) - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) X (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS* - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e) - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - ------------------------------------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -------------------------------------------------------------- 8 SHARED VOTING POWER 640,455 shares of Common Stock -------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 640,455 SHARES OF COMMON STOCK - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 640,455 SHARES OF COMMON STOCK - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.5% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IN ============================================================================== *SEE INSTRUCTIONS BEFORE FILLING OUT! (PAGE 4 OF 7 PAGES) STATEMENT PURSUANT TO RULE 13d-1 OF THE GENERAL RULES AND REGULATIONS UNDER THE SECURITIES EXCHANGE ACT OF 1934, AS AMENDED ================================================================================ Item 1. Security and Issuer. This Statement on Schedule 13D relates to the Common Stock, par value $.01 per share ("Common Stock"), of FirstCity Financial Corporation, a Delaware corporation ("FirstCity" or the "Issuer"). The principal executive offices of FirstCity are located at 6400 Imperial Drive, Waco, Texas 76712. Item 2. Identity and Background. (a)-(c) This Statement is filed by Richard and Bernice Gillen who are referred to collectively herein as the "Reporting Persons." Richard Gillen's business address is 340 N. Sam Houston Parkway East, Suite 100, Houston, Texas 77060. Mr. Gillen's present principal occupation is serving as Chairman of the Board, Chief Executive Officer and President of Harbor Financial Group, Inc. ("Harbor"), a direct, wholly-owned subsidiary of FirstCity located at the address listed above. Harbor is a holding company that, through its subsidiary, Harbor Financial Mortgage Corporation, is engaged principally in the mortgage banking business to originate, purchase, sell and service mortgage loans. Mr. Gillen is a citizen of the United States of America. Bernice Gillen's business address is 340 N. Sam Houston Parkway East, Suite 100, Houston, Texas 77060. Mrs. Gillen's present principal occupation is serving as Vice President of Human Resources of Harbor. Mrs. Gillen is a citizen of the United States of America. (d)-(e) No Reporting Person has, during the last five years, been convicted in a criminal proceeding (excluding traffic violations and similar misdemeanors) or been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree, or final order enjoining future (PAGE 5 OF 7 PAGES) violations of, or prohibiting or mandating activities subject to, Federal or State securities laws or finding any violation with respect to such laws. Item 3. Source and Amount of Funds or Other Consideration. Not applicable. Item 4. Purpose of Transaction. Not applicable. Item 5. Interest in Securities of the Issuer. (a) Richard and Bernice Gillen each beneficially owns an aggregate of 640,455 shares of Common Stock or 8.5% of the Common Stock outstanding as of May 8, 1998 based on information regarding the number of outstanding shares of Common Stock upon completion of the Company's public offering (the "Offering") of Common Stock which consummated May 8, 1998, as set forth in the Prospectus, dated May 5, 1998, relating to such Offering. (b) The number of shares of Common Stock as to which there is sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or direct the disposition, or shared power to dispose or direct the disposition for each Reporting Person is set forth in the cover pages and such information is incorporated herein by this reference. The shares of Common Stock beneficially owned by the Reporting Persons are owned by them jointly. (c) The Reporting Persons sold an aggregate of 56,204 shares of Common Stock for a price of $30.75 per share in the Offering on May 8, 1998. (d) Not applicable. (e) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. None. Item 7. Material to be Filed as Exhibits. (1) Joint Filing Agreement (PAGE 6 OF 7 PAGES) SIGNATURE After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: May 27, 1998 /s/ Richard Gillen -------------------------------- Richard Gillen /s/ Bernice Gillen -------------------------------- Bernice Gillen (PAGE 7 OF 7 PAGES) EXHIBIT INDEX Exhibit No. Exhibit - ----------- ------- 1 Joint Filing Agreement (incorporated by reference to Exhibit 1 to Schedule 13D filed on behalf of the Reporting Persons on July 1, 1997) -----END PRIVACY-ENHANCED MESSAGE-----