0000950129-01-503473.txt : 20011019 0000950129-01-503473.hdr.sgml : 20011019 ACCESSION NUMBER: 0000950129-01-503473 CONFORMED SUBMISSION TYPE: 144 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011015 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HCC INSURANCE HOLDINGS INC/DE/ CENTRAL INDEX KEY: 0000888919 STANDARD INDUSTRIAL CLASSIFICATION: FIRE, MARINE & CASUALTY INSURANCE [6331] IRS NUMBER: 760336636 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 144 SEC ACT: 1933 Act SEC FILE NUMBER: 001-13790 FILM NUMBER: 1758662 BUSINESS ADDRESS: STREET 1: 13403 NORTHWEST FRWY CITY: HOUSTON STATE: TX ZIP: 77040-6094 BUSINESS PHONE: 7136907300 COMPANY DATA: COMPANY CONFORMED NAME: LOCKWOOD STEVEN J CENTRAL INDEX KEY: 0001015601 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 144 BUSINESS ADDRESS: STREET 1: 401 EDGEWATER PL STREET 2: STE 400 CITY: WAKEFIELD STATE: MA ZIP: 01880 BUSINESS PHONE: 6172454559 MAIL ADDRESS: STREET 1: 401 EDGEWATER PL STREET 2: STE 400 CITY: WAKEFIELD STATE: MA ZIP: 01880 144 1 h91320e144.txt STEPHEN J. LOCKWOOD FOR HCC INSURANCE HOLDINGS INC ------------------------------------------------------------------------------------------------------------------------------------ SEC 1147 POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION (9-0) CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. ------------------------------------------------------------------------------------------------------------------------------------ UNITED STATES ----------------------------- SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL WASHINGTON, D.C. 20549 ----------------------------- OMB Number. 3235-0101 ----------------------------- Expires: August 31, 2003 ----------------------------- Estimated average burden FORM 144 Hours per response.......2.0 ----------------------------- ----------------------------- NOTICE OF PROPOSED SALE OF SECURITIES SEC USE ONLY PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 ----------------------------- DOCUMENT SEQUENCE NO. ----------------------------- ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a CUSIP NUMBER broker to execute sale or executing a sale directly with a market maker. ----------------------------- WORK LOCATION ----------------------------- ------------------------------------------------------------------------------------------------------------------------------------ 1(a) NAME OF ISSUER (Please type or print) (b) IRS IDENT. NO. (c) S.E.C. FILE NO. HCC Insurance Holdings, Inc. 76-0336636 0-20766 ------------------------------------------------------------------------------------------------------------------------------------ 1(d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE --------------------------- AREA CODE NUMBERS 13403 Northwest Freeway Houston Texas 77040 713 690-7300 ------------------------------------------------------------------------------------------------------------------------------------ 2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES (b) IRS IDENT. NOT. (c) RELATIONSHIP (d) ADDRESS STREET CITY STATE ZIP CODE ARE TO BE SOLD TO ISSUER Stephen J. Lockwood Director 27 Congress Street, Suite 108, Salem, MA 01970 ------------------------------------------------------------------------------------------------------------------------------------ INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number. ------------------------------------------------------------------------------------------------------------------------------------ 3(a) (b) SEC USE (c) (d) (e) (f) (g) Title Of The Name And Address Of Each Broker Through Whom ONLY Number Of Aggregate Number Of Approximate Name Of Each Class Of The Securities Are To Be Offered Or Each ------- Shares Or Market Value Shares Or Date Of Sale Securities Securities Market Maker Who Is Acquiring The Securities Broker- Other Units (See Instr. Other Units (See Instr. Exchange To Be Sold Dealer To Be Sold 3(d)) Outstanding 3(f)) (See Instr. File (See Instr. (See Instr. (MO. DAY YR.) 3(g)) Number 3(c)) 3(e)) ------------------------------------------------------------------------------------------------------------------------------------ Common Raymond James & Associates Stock 880 Carillon Parkway 250,000 $7,000,000 59,026,563 10/12/01 NYSE St. Petersburg, FL 33716 (Note 1) (Note 2) ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------
INSTRUCTIONS: 1. (a) Name of issuer (b) Issuer's I.R.S. Identification Number (c) Issuer's S.E.C. file number, if any (d) Issuer's address, including zip code (e) Issuer's telephone number, including area code 2. (a) Name of person for whose account the securities are to be sold (b) Such person's I.R.S. identification number, if such person is an entity (c) Such person's relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing) (d) Such person's address, including zip code 3. (a) Title of the class of securities to be sold (b) Name and address of each broker through whom the securities are intended to be sold (c) Number of shares or other units to be sold (if debt securities, give the aggregate face amount) (d) Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice (e) Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer (f) Approximate date on which the securities are to be sold (g) Name of each securities exchange, if any, on which the securities are intended to be sold TABLE I--SECURITIES TO BE SOLD Furnish the following information with respect to the acquisition of the securities to be sold and with respect to the payment of all or any part of the purchase price or other consideration therefor:
------------------------------------------------------------------------------------------------------------------------------------ Name Of Person From Whom Acquired Amount Of Title O f Date you Nature of Acquisition (If gift, also give Securities Date Of The Class Acquired Transaction date donor acquired) Acquired Payment Nature of Payment ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 05/24/96 Acquisition of LDG HHC HCC Insurance Holdings, Inc. 3,941,565 05/24/96 Exchange of Management Company, Inc. private company stock pursuant to merger ------------------------------------------------------------------------------------------------------------------------------------
INSTRUCTIONS: 1. If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid. 2. If within two years after the acquisition of the securities the person for whose account they are to be sold had any short positions, put or other option to dispose of securities referred to in paragraph (d)(3) of Rule 144, furnish full information with respect thereto. -------------------------------------------------------------------------------- TABLE II--SECURITIES SOLD DURING THE PAST 3 MONTHS Furnish the following information as to all securities of the issuer sold during the past three months by the person for whose account the securities are to be sold.
------------------------------------------------------------------------------------------------------------------------------------ Name and Address of Seller Title of Securities Sold Date of Sale Amount of Gross Proceeds Securities Sold ------------------------------------------------------------------------------------------------------------------------------------ N/A ------------------------------------------------------------------------------------------------------------------------------------
REMARKS: Note 1: Based upon NYSE Closing Price on October 11, 2001 of $28.00. Note 2: Shares outstanding as of August 6, 2001. INSTRUCTIONS: See the definition of "person" in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice. October 12, 2001 ---------------------------------------- Date of Notice ATTENTION: The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed. /s/ Stephen L. Lockwood ---------------------------------------- (Signature) The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed. Any copies not manually signed shall bear typed or printed signatures. -------------------------------------------------------------------------------- ATTENTION: INTERNATIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001). --------------------------------------------------------------------------------