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
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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
--------------------------------------