0000950134-01-507875.txt : 20011107 0000950134-01-507875.hdr.sgml : 20011107 ACCESSION NUMBER: 0000950134-01-507875 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011102 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RUSHMORE FINANCIAL GROUP INC CENTRAL INDEX KEY: 0000884892 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE AGENTS BROKERS & SERVICES [6411] IRS NUMBER: 752375969 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-53961 FILM NUMBER: 1773950 BUSINESS ADDRESS: STREET 1: 13355 NOEL RD STREET 2: STE 650 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 9724506000 MAIL ADDRESS: STREET 1: 13355 NOEL RD STREET 2: STE 650 CITY: DALLAS STATE: TX ZIP: 75240 FORMER COMPANY: FORMER CONFORMED NAME: RUSHMORE CAPITAL CORP DATE OF NAME CHANGE: 19971209 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MOORE D M JR CENTRAL INDEX KEY: 0001060881 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 13355 NOEL RD STREET 2: STE 650 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 9724506000 MAIL ADDRESS: STREET 1: 13355 NOEL RD STREET 2: STE 650 CITY: DALLAS STATE: TX ZIP: 75240 SC 13D/A 1 d91802a1sc13da.txt AMENDMENT NO. 1 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* RUSHMORE FINANCIAL GROUP, INC. -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $0.01 -------------------------------------------------------------------------------- (Title of Class of Securities) 782055 10 7 -------------------------------------------------------------------------------- (CUSIP Number) DEWEY MALONE (RUSTY) MOORE, JR., 13355 NOEL ROAD, SUITE 300, DALLAS, TEXAS 75240 -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) OCTOBER 15, 2001 -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Settlement) 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). SCHEDULE 13D CUSIP NO. 782055 10 7 PAGE 2 OF 4 PAGES --------------------- --------------------------------- -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Dewey Malone (Rusty) Moore, Jr. -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] -------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* PF -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 966,141 BENEFICIALLY ------------------------------------------------------ OWNED BY 8 SHARED VOTING POWER EACH REPORTING -0- PERSON ------------------------------------------------------ WITH 9 SOLE DISPOSITIVE POWER 966,141 ------------------------------------------------------ 10 SHARED DISPOSITIVE POWER -0- -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 966,141 -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.3% -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN -------------------------------------------------------------------------------- ITEM 1. SECURITY AND ISSUER. This statement relates to shares of Common Stock, par value $0.01 per share, of Rushmore Financial Group, Inc., a Texas corporation (the "Issuer"), with principal executive offices at 13355 Noel Road, Suite 300, Dallas, Texas 75240. ITEM 2. IDENTITY AND BACKGROUND. This statement is filed with respect to the ownership of 966,141 shares of the Issuer's Common Stock, all of which are owned of record by him and his family. The following information is provided regarding the owner: (a) Name: Dewey Malone (Rusty) Moore, Jr. (b) Business Address: 13355 Noel Road, Suite 300 Dallas, Texas 75240 (c) Principal Occupation: Chief Executive Officer, Rushmore Financial Group, Inc. (d) Registrant has not, during the past five years, been convicted in any criminal proceeding (excluding traffic violations and similar misdemeanors). (e) Registrant has not, during the past five years, been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction or been subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) Registrant is a citizen of the United States of America. ITEM 3. SOURCE AND AMOUNT OF FUNDS, OR OTHER CONSIDERATION. Personal funds ITEM 4. PURPOSE OF TRANSACTION. On October 15, 2001, Registrant concluded a settlement of a claim by a shareholder by agreeing to purchase from said shareholder 428,200 restricted shares of common stock for a purchase price of $75,000. The purpose of the transactions in such shares has been to acquire a proprietary stake in and assist in the financing of a growing company that can compete in the market for financial services. Registrant takes an active role in the management of the Issuer and is Chairman and Chief Executive Officer. Registrant has no present plan or proposal which would relate to or result in: (a) the acquisition of additional securities of the Issuer; (b) any extraordinary corporate transaction involving the Issuer; (c) a sale or transfer of a material amount of assets of the Issuer or its subsidiaries; (d) any change in the Board of Directors of the Issuer; (e) any material change in the Issuer's capitalization or dividend policy; (f) any other material change in the Issuer's business or corporate structure; (g) any change in the Issuer's Articles of Incorporation or Bylaws which may impede the acquisition of control of the Issuer; (h) cause any securities of the Issuer to be delisted from the NASDAQ; (i) any class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities act of 1933; or (j) any action similar to those enumerated above. ITEM 5. INTERESTS IN SECURITIES OF THE ISSUER. (a) 966,141 shares (14.3% of shares outstanding) all of which is owned of record by Mr. Moore and his family. (b) Dewey Malone (Rusty) Moore, Jr. - sole power to vote and dispose. (c) See Item 4. (d) None. (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. None. SIGNATURE After reasonable inquiry and to the best of my information and belief, I certify that the information set forth in this statement is true, complete, and correct. October 31, 2001 /s/ Dewey Malone Moore, Jr. -------------------------- ---------------------------------- Date Dewey Malone Moore, Jr.