-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KeAQCf48RtsUqLHUBJ/qjCzIH3L9MNOjpzQUqhSc3cwIqZIBbuBCkoPbICKKOGB+ NViSrhpTE23yWC8Kyyx2jw== 0000909143-98-000030.txt : 19980317 0000909143-98-000030.hdr.sgml : 19980317 ACCESSION NUMBER: 0000909143-98-000030 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980316 SROS: NASD GROUP MEMBERS: HUNT FINANCIAL PARTNERS, L.P. GROUP MEMBERS: JOHN A. (PETE) BRICKER GROUP MEMBERS: MARK SCHWARZ GROUP MEMBERS: NEWCASTLE PARTNERS, L.P. GROUP MEMBERS: SANDERA CAPITAL MANAGEMENT, L.P. GROUP MEMBERS: SANDERA CAPITAL, L.L.C. GROUP MEMBERS: SANDERA PARTNERS L P GROUP MEMBERS: SANDERA PARTNERS, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMERICA SERVICE GROUP INC /DE CENTRAL INDEX KEY: 0000877476 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-MISC HEALTH & ALLIED SERVICES, NEC [8090] IRS NUMBER: 510332317 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-42037 FILM NUMBER: 98566688 BUSINESS ADDRESS: STREET 1: 105 WESTPARK DR STREET 2: STE 300 CITY: BRENTWOOD STATE: TN ZIP: 37027 BUSINESS PHONE: 6153733100 MAIL ADDRESS: STREET 1: 105 WESTPARK DR STREET 2: STE 300 CITY: BRENTWOOD STATE: TN ZIP: 37027 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SANDERA PARTNERS L P CENTRAL INDEX KEY: 0001057508 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1601 ELM STREET 4000 THANKSGIVING TOWER CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147201608 SC 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. _______)* AMERICA SERVICE GROUP INC. (Name of Issuer) Common Stock, par value $0.01 per share (Title of Class of Securities) 02364 L 109 (CUSIP Number) March 4, 1998 (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 the 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, as amended (the "Exchange Act"), or otherwise subject to the liabilities of that section of the Exchange Act but shall be subject to all other provisions of the Exchange Act (however, see the Notes). CUSIP NO. 02364 L 109 13G (1) Name of Reporting Person Sandera Partners, L.P. I.R.S. Identification No. of Above Person N/A - ----------------------------------------------------------------- (2) Check the Appropriate Box if a (a) [ X ] Member of a Group* (b) [ X ] - ----------------------------------------------------------------- (3) SEC Use Only - ----------------------------------------------------------------- (4) Citizenship or Place of Organization Texas - ----------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With: (5) Sole Voting Power 0 - ----------------------------------------------------------------- (6) Shared Voting Power 177,700 - ----------------------------------------------------------------- (7) Sole Dispositive Power 0 - ----------------------------------------------------------------- (8) Shared Dispositive Power 177,700 - ----------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned 177,700 by Each Reporting Person - ----------------------------------------------------------------- (10) Check Box if the Aggregate Amount in [ X ] Row (9) Excludes Certain Shares* - ----------------------------------------------------------------- (11) Percent of Class Represented by 5.0% Amount in Row (9) - ----------------------------------------------------------------- (12) Type of Reporting Person* PN - ----------------------------------------------------------------- * SEE INSTRUCTIONS CUSIP NO. 02364 L 109 13G (1) Name of Reporting Person Sandera Capital Management, L.P. I.R.S. Identification No. of Above Person N/A - ----------------------------------------------------------------- (2) Check the Appropriate Box if a (a) [ X ] Member of a Group* (b) [ X ] - ----------------------------------------------------------------- (3) SEC Use Only - ----------------------------------------------------------------- (4) Citizenship or Place of Organization Texas - ----------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With: (5) Sole Voting Power 0 - ----------------------------------------------------------------- (6) Shared Voting Power 177,700 - ----------------------------------------------------------------- (7) Sole Dispositive Power 0 - ----------------------------------------------------------------- (8) Shared Dispositive Power 177,700 - ----------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned 177,700 by Each Reporting Person - ----------------------------------------------------------------- (10) Check Box if the Aggregate Amount in [ X ] Row (9) Excludes Certain Shares* - ----------------------------------------------------------------- (11) Percent of Class Represented by 5.0% Amount in Row (9) - ----------------------------------------------------------------- (12) Type of Reporting Person* PN - ----------------------------------------------------------------- * SEE INSTRUCTIONS CUSIP NO. 02364 L 109 13G (1) Name of Reporting Person Sandera Capital, L.L.C. I.R.S. Identification No. of Above Person N/A - ----------------------------------------------------------------- (2) Check the Appropriate Box if a (a) [ X ] Member of a Group* (b) [ X ] - ----------------------------------------------------------------- (3) SEC Use Only - ----------------------------------------------------------------- (4) Citizenship or Place of Organization Texas - ----------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With: (5) Sole Voting Power 0 - ----------------------------------------------------------------- (6) Shared Voting Power 177,700 - ----------------------------------------------------------------- (7) Sole Dispositive Power 0 - ----------------------------------------------------------------- (8) Shared Dispositive Power 177,700 - ----------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned 177,700 by Each Reporting Person - ----------------------------------------------------------------- (10) Check Box if the Aggregate Amount in [ X ] Row (9) Excludes Certain Shares* - ----------------------------------------------------------------- (11) Percent of Class Represented by 5.0% Amount in Row (9) - ----------------------------------------------------------------- (12) Type of Reporting Person* OO - ----------------------------------------------------------------- * SEE INSTRUCTIONS CUSIP NO. 02364 L 109 13G (1) Name of Reporting Person John A. (Pete) Bricker, Jr. I.R.S. Identification No. of Above Person N/A - ----------------------------------------------------------------- (2) Check the Appropriate Box if a (a) [ X ] Member of a Group* (b) [ X ] - ----------------------------------------------------------------- (3) SEC Use Only - ----------------------------------------------------------------- (4) Citizenship or Place of Organization U.S. citizenship - ----------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With: (5) Sole Voting Power 0 - ----------------------------------------------------------------- (6) Shared Voting Power 177,700 - ----------------------------------------------------------------- (7) Sole Dispositive Power 0 - ----------------------------------------------------------------- (8) Shared Dispositive Power 177,700 - ----------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned 177,700 by Each Reporting Person - ----------------------------------------------------------------- (10) Check Box if the Aggregate Amount in [ X ] Row (9) Excludes Certain Shares* - ----------------------------------------------------------------- (11) Percent of Class Represented by 5.0% Amount in Row (9) - ----------------------------------------------------------------- (12) Type of Reporting Person* IN - ----------------------------------------------------------------- * SEE INSTRUCTIONS CUSIP NO. 02364 L 109 13G (1) Name of Reporting Person Hunt Financial Partners, L.P. I.R.S. Identification No. of Above Person N/A - ----------------------------------------------------------------- (2) Check the Appropriate Box if a (a) [ X ] Member of a Group* (b) [ X ] - ----------------------------------------------------------------- (3) SEC Use Only - ----------------------------------------------------------------- (4) Citizenship or Place of Organization Texas - ----------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With: (5) Sole Voting Power 0 - ----------------------------------------------------------------- (6) Shared Voting Power 177,700 - ----------------------------------------------------------------- (7) Sole Dispositive Power 0 - ----------------------------------------------------------------- (8) Shared Dispositive Power 177,700 - ----------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned 177,700 by Each Reporting Person - ----------------------------------------------------------------- (10) Check Box if the Aggregate Amount in [ X ] Row (9) Excludes Certain Shares* - ----------------------------------------------------------------- (11) Percent of Class Represented by 5.0% Amount in Row (9) - ----------------------------------------------------------------- (12) Type of Reporting Person* PN - ----------------------------------------------------------------- * SEE INSTRUCTIONS CUSIP NO. 02364 L 109 13G (1) Name of Reporting Person Newcastle Partners, L.P. I.R.S. Identification No. of Above Person N/A - ----------------------------------------------------------------- (2) Check the Appropriate Box if a (a) [ X ] Member of a Group* (b) [ X ] - ----------------------------------------------------------------- (3) SEC Use Only - ----------------------------------------------------------------- (4) Citizenship or Place of Organization Texas - ----------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With: (5) Sole Voting Power 0 - ----------------------------------------------------------------- (6) Shared Voting Power 4,000 - ----------------------------------------------------------------- (7) Sole Dispositive Power 0 - ----------------------------------------------------------------- (8) Shared Dispositive Power 4,000 - ----------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned 4,000 by Each Reporting Person - ----------------------------------------------------------------- (10) Check Box if the Aggregate Amount in [ X ] Row (9) Excludes Certain Shares* - ----------------------------------------------------------------- (11) Percent of Class Represented by .1% Amount in Row (9) - ----------------------------------------------------------------- (12) Type of Reporting Person* PN - ----------------------------------------------------------------- * SEE INSTRUCTIONS CUSIP NO. 02364 L 109 13G (1) Name of Reporting Person Mark Schwarz I.R.S. Identification No. of Above Person N/A - ----------------------------------------------------------------- (2) Check the Appropriate Box if a (a) [ X ] Member of a Group* (b) [ X ] - ----------------------------------------------------------------- (3) SEC Use Only - ----------------------------------------------------------------- (4) Citizenship or Place of Organization U.S. Citizenship - ----------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With: (5) Sole Voting Power 0 - ----------------------------------------------------------------- (6) Shared Voting Power 181,700 - ----------------------------------------------------------------- (7) Sole Dispositive Power 0 - ----------------------------------------------------------------- (8) Shared Dispositive Power 181,700 - ----------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned 181,700 by Each Reporting Person - ----------------------------------------------------------------- (10) Check Box if the Aggregate Amount in [ ] Row (9) Excludes Certain Shares* - ----------------------------------------------------------------- (11) Percent of Class Represented by 5.2% Amount in Row (9) - ----------------------------------------------------------------- (12) Type of Reporting Person* IN - ----------------------------------------------------------------- * SEE INSTRUCTIONS CUSIP NO. 02364 L 109 13G Item 1(a) Name of Issuer: America Service Group Inc. (the "Issuer") Item 1(b) Address of Issuer's Principal Executive Offices: 105 Westpark Drive, Suite 300, Brentwood, Tennessee 37027 Item 2(a) Name of Person Filing: Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), this Statement on Schedule 13G is filed jointly by Sandera Partners, L.P. ("Sandera"), Sandera Capital Management, L.P. ("SCM"), Sandera Capital, L.L.C. ("Capital"), John A. (Pete) Bricker, Jr. ("Bricker"), and Hunt Financial Partners, L.P. ("Hunt Financial") (Sandera, SCM, Capital, Bricker and Hunt Financial collectively, the "Sandera Group"). In addition, although it specifically disclaims the beneficial ownership of the shares held thereby, the Sandera Group has permitted Newcastle Partners, L.P. ("Newcastle") and Mark Schwarz ("Schwarz") (Newcastle and Schwarz collectively, the "Newcastle Group") to join in this Statement on Schedule 13G due to the fact that Schwarz may be deemed to beneficially own certain of the shares of Common Stock held by the Sandera Group. The Sandera Group and the Newcastle Group are collectively referred to herein as the Reporting Persons. The Reporting Persons have included as Appendix A to this Statement an agreement in writing that this Statement is filed on behalf of each of them. Item 2(b) Address of Principal Business Office or, if none, Residence: The address of the principal business office of each member of the Sandera Group is 1601 Elm Street, Suite 4000, Dallas, Texas 75201. The address of the principal business office of each of the members of the Newcastle Group is 4650 Cole Avenue, Suite 331, Dallas, Texas 75205. Item 2(c) Citizenship: Sandera is a Texas limited partnership. SCM is a Texas limited partnership. Capital is a Texas limited liability company. Mr. Bricker is a U.S. citizen, resident of the State of Texas. Hunt Financial is a Texas limited partnership. Newcastle is a Texas limited CUSIP NO. 02364 L 109 13G partnership. Mr. Schwarz is a U.S. citizen, resident of the State of Texas. Item 2(d) Title of Class of Securities: Common Stock of the Issuer. Item 2(e) CUSIP Number: 02364 L 109 Item 3. This statement is filed pursuant to Rule 13d-1(c). Item 4. Ownership: The Sandera Group ----------------- (a) Amount Beneficially Owned: 177,700. (b) Percent of Class: 5.0% (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 177,700 (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 177,700 177,700 shares of Common Stock reported hereby (the "Sandera Securities") are held directly by Sandera. Sandera advises that it is managed by its sole general partner, SCM and that SCM is managed by its sole general partner, Capital, 75% of the equity interests of which are held by Hunt Financial. The remaining 25% of the equity interests in Capital are held by Bricker. Accordingly, each of SCM, Capital, Bricker and Hunt Financial may be deemed to indirectly beneficially own the Sandera Securities and, together with Sandera constitute a "group" under the provisions of Rule 13d-5(b)(1) under the Securities Exchange Act of 1934, as amended (the "Exchange Act"). CUSIP NO. 02364 L 109 13G Further, each member of the Sandera Group may be deemed to share in the power to vote (or direct the vote) and dispose of (or direct the disposition of) the Sandera Securities. Hunt Financial has advised that its general partner is Hunt Financial Group, L.L.C., a Delaware limited liability company, whose Board of Managers consists of J. R. Holland, Jr., Clark K. Hunt and Lamar Hunt, each individual residents of the State of Texas. Newcastle --------- (a) Amount Beneficially Owned: 4,000 (b) Percent of Class: .1% (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 4,000 (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 4,000 Schwarz ------- (a) Amount Beneficially Owned: 181,700 (b) Percent of Class: 5.2% (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 181,700 (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 181,700 CUSIP NO. 02364 L 109 13G The Sandera Group has been advised by Schwarz, an officer and investment manager of Sandera's assets, that Newcastle, an entity in which Mr. Schwarz is the sole general partner, owns 4,000 shares of Common Stock of the Issuer. As a result, Schwarz may be deemed to indirectly beneficially own such 4,000 shares and the Sandera Securities. The Sandera Group hereby expressly disclaims beneficial ownership of the shares of Common Stock held by the Newcastle Group pursuant to Rule 13d-4 of the Exchange Act. The Newcastle Group hereby expressly disclaims beneficial ownership of the Sandera Securities held by the Sandera Group pursuant to Rule 13d-4 of the Exchange Act. Item 5. Ownership of 5% or less of a Class: Not Applicable. Item 6. Ownership of More than 5% 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 Group: Not Applicable. Item 10. Certifications: By signing below, each of the Reporting Persons certifies that, to the best of his or its knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the Issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. CUSIP NO. 02364 L 109 13G Date: March 16, 1998 Sandera Partners, L.P. By: Sandera Capital Management, L.P., its general partner By: Sandera Capital, L.L.C., its general partner By: /s/ JOHN A. BRICKER, JR. -------------------------------- Name: John A. (Pete) Bricker, Jr. Title: President Sandera Capital Management, L.P. By: Sandera Capital, L.L.C., its general partner By: /s/ JOHN A. BRICKER, JR. -------------------------------- Name: John A. (Pete) Bricker, Jr. Title: President Sandera Capital, L.L.C. By: /s/ JOHN A. BRICKER, JR. -------------------------------- Name: John A. (Pete) Bricker, Jr. Title: President /s/ JOHN A. BRICKER, JR. --------------------------------------------- John A. (Pete) Bricker, Jr. CUSIP NO. 02364 L 109 13G Hunt Financial Partners, L.P. By: Hunt Financial Group, L.L.C., its general partner By: /s/ CLARK K. HUNT ------------------------------------- Name: Clark K. Hunt Title: President Newcastle Partners, L.P. By: Mark Schwarz, its general partner /s/ MARK SCHWARZ ---------------------------------------- Mark Schwarz Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (see 18 U.S.C. 1001). Appendix A ---------- JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G (including amendments thereto) with respect to the Common Stock of America Service Group Inc. This Joint Filing Agreement shall be included as an exhibit to such filing. In evidence thereof, each of the undersigned, being duly authorized where appropriate, hereby executes this Joint Filing Agreement as of the 16th day of March, 1998. Sandera Partners, L.P. By: Sandera Capital Management, L.P., its general partner By: Sandera Capital, L.L.C., its general partner By: /s/ JOHN A. BRICKER, JR. -------------------------------- Name: John A. (Pete) Bricker, Jr. Title: President Sandera Capital Management, L.P. By: Sandera Capital, L.L.C., its general partner By: /s/ JOHN A. BRICKER, JR. ------------------------------------- Name: John A. (Pete) Bricker, Jr. Title: President Sandera Capital, L.L.C. By: /s/ JOHN A. BRICKER, JR. ------------------------------------------ Name: John A. (Pete) Bricker, Jr. Title: President /s/ JOHN A. BRICKER, JR. --------------------------------------------- John A. (Pete) Bricker, Jr. Hunt Financial Partners, L.P. By: Hunt Financial Group, L.L.C., its general partner By: /s/ CLARK K. HUNT ------------------------------------- Name: Clark K. Hunt Title: President Newcastle Partners, L.P. By: Mark Schwarz, its general partner /s/ MARK SCHWARZ ---------------------------------------- Mark Schwarz -----END PRIVACY-ENHANCED MESSAGE-----