Filing Details

Accession Number:
0001181580-13-000021
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-09-19 14:55:48
Reporting Period:
2013-09-17
Filing Date:
2013-09-19
Accepted Time:
2013-09-19 14:55:48
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
819913 Hallmark Financial Services Inc HALL Insurance Carriers, Nec (6399) 870447375
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
932334 P L Partners Newcastle 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes No
1208889 E Mark Schwarz 200 Crescent Court
Suite 1400
Dallas TX 75201
Executive Chairman Yes Yes Yes No
1251293 Newcastle Capital Group Llc 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes No
1251296 Newcastle Capital Management Lp 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes No
1586760 Trust Family 2012 Schwarz 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes No
1586784 Ncm Services, Inc. 200 Crescent Court
Suite 1400
Dallas TX 75201
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-09-17 25,000 $8.80 949,702 No 4 P Indirect Shares directly owned by NCM Services, Inc.
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect Shares directly owned by NCM Services, Inc.
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 130,805 Direct
Common Stock 134,376 Indirect Shares directly owned by Newcastle Capital Management, L.P.
Common Stock 3,730,432 Indirect Shares directly owned by Newcastle Partners, L.P.
Reported Derivative Holdings
Sec. Name Sec. Type Price Date Expiration Date Amount Remaning Holdings Nature of Ownership
Common Stock Director Stock Option (right to buy) $12.52 2017-05-24 10,000 10,000 Direct
Common Stock Director Stock Option (right to buy) $11.46 2018-05-22 5,000 5,000 Direct
Common Stock Director Stock Option (right to buy) $6.61 2019-04-01 200,000 200,000 Direct
Common Stock Director Stock Option (right to buy) $6.99 2021-12-31 14,157 14,157 Direct
Expiration Date Amount Remaning Holdings Nature of Ownership
2017-05-24 10,000 10,000 Direct
2018-05-22 5,000 5,000 Direct
2019-04-01 200,000 200,000 Direct
2021-12-31 14,157 14,157 Direct
Footnotes
  1. Shares owned directly by Mr. Schwarz.
  2. Represents the weighted average purchase price of transactions effected at prices ranging from $8.75 per share to $8.80 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.
  3. 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.
  4. Options are presently fully exercisable.
  5. Options directly owned by Mr. Schwarz.
  6. Options vest in seven equal annual installments commencing April 1, 2010.