0000930661-01-501970.txt : 20011019 0000930661-01-501970.hdr.sgml : 20011019 ACCESSION NUMBER: 0000930661-01-501970 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20011011 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: US HOME SYSTEMS INC /TX CENTRAL INDEX KEY: 0000844789 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-MISCELLANEOUS RETAIL [5900] IRS NUMBER: 752922239 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-42309 FILM NUMBER: 1756543 BUSINESS ADDRESS: STREET 1: 750 STATE HIGHWAY 121 BYPASS STREET 2: SUITE 170 CITY: LEWISVILLE STATE: TX ZIP: 75067 BUSINESS PHONE: 2144886300 MAIL ADDRESS: STREET 1: 750 STATE HIGHWAY 121 BYPASS STREET 2: STE 170 CITY: LEWISVILLE STATE: TX ZIP: 75067 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHWEST SECURITIES GROUP INC CENTRAL INDEX KEY: 0000878520 STANDARD INDUSTRIAL CLASSIFICATION: SECURITY BROKERS, DEALERS & FLOTATION COMPANIES [6211] IRS NUMBER: 752040825 STATE OF INCORPORATION: DE FISCAL YEAR END: 0625 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 BUSINESS PHONE: 2146511800 MAIL ADDRESS: STREET 1: SUITE 3500 STREET 2: 1201 ELM STREET CITY: DALLAS STATE: TX ZIP: 75270 SC 13G 1 dsc13g.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No._____)* U.S. Home Systems, Inc. -------------------------------------------------------------------------------- (Name of Issuer) Common Stock -------------------------------------------------------------------------------- (Title of Class of Securities) 90335C100 ------------------------------ (CUSIP Number) October 2, 2001 -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) * 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). -------------------- ----------------- CUSIP NO. 90335C100 PAGE 2 OF 5 PAGES -------------------- ----------------- ------------------------------------------------------------------------------ NAME OF REPORTING PERSONS 1. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Southwest Securities Group, Inc. 75-2040825 ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP(See Instructions) 2. (a) [_] (b) [_] ------------------------------------------------------------------------------ SEC USE ONLY 3. ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. Delaware ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 365,725 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY -0- ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 365,725 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8. -0- ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 365,725 ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10. [_] ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11. 7.5% ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON 12. CO ------------------------------------------------------------------------------ -------------------- ----------------- CUSIP NO. 90335C100 PAGE 3 OF 5 PAGES -------------------- ----------------- Item 1. Item 1(a) Name of Issuer: U.S. Home Systems, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 750 State Highway 121, Suite 170 Lewisville, Texas 75067 Item 2. Item 2(a) Name of Person Filing: Southwest Securities Group, Inc. Item 2(b) Address or principal business office or, if none, residence: 1201 Elm Street, Suite 3500 Dallas, Texas 75270 Item 2(c) Citizenship or Place of Organization: Delaware Item 2(d) Title of class of securities: Common Stock Item 2(e) CUSIP No.: 90335C100 Item 3. If this statement is filed pursuant to Rule 13d-1(b) or Rule 13d-2(b) or (c), check whether the person filing is a: (a) [_] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [_] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [_] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [_] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) [_] An investment adviser in accordance with Rule 13d- 1(b)(1)(ii)(E); (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [_] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [_] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] -------------------- ----------------- CUSIP NO. 90335C100 PAGE 4 OF 5 PAGES -------------------- ----------------- Item 4. Ownership. Item 4(a) Amount beneficially owned: 365,725 Item 4(b) Percent of class: 7.5% The calculation of the percentage of beneficial ownership of U.S. Home Systems, Inc. common stock is based upon 4,902,646 shares outstanding on June 30, 2001, as reported in the most recent Quarterly Report on Form 10-Q, filed August 3, 2001. Item 4(c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 365,725 (ii) Shared power to vote or to direct the vote: -0- (iii) Sole power to dispose or to direct the disposition of: 365,725 (iv) Shared power to dispose or to direct the disposition of: -0- Item 5. Ownership of Five Percent or Less of a Class. If this Statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following [_] Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not Applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. Not Applicable. Item 8. Identification and Classification of Members of the Group. Not Applicable. Item 9. Notice of Dissolution of a Group. Not Applicable. Item 10. Certifications. Item 10(a) Not Applicable. Item 10(b) By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. -------------------- ----------------- CUSIP NO. 90335C100 PAGE 5 OF 5 PAGES -------------------- ----------------- Signature --------- After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. October 11, 2001 Southwest Securities Group, Inc. By: /s/ David Glatstein ----------------------------------------- Name: David Glatstein --------------------------------------- Title: President and Chief Executive Officer --------------------------------------