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.
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(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.