-----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, Qtbmflx56IFOmtbeXoFaqgY4aNuZcInJdb1ZhB0SzDnKd7KSTKBjmx0UOot1S2Qg xY/o2p4zHewRyIgDusgb+A== 0000930661-00-000692.txt : 20000328 0000930661-00-000692.hdr.sgml : 20000328 ACCESSION NUMBER: 0000930661-00-000692 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000327 GROUP MEMBERS: FLOYD STEPHEN ALLEN GROUP MEMBERS: FRANCES ANNETTE SCOTT REVOCABLE TRUST GROUP MEMBERS: RICHARD L & F ANNETTE SCOTT FAMILY LTD PARTNERSHIP GROUP MEMBERS: RICHARD L. SCOTT REVOCABLE TRUST SUBJECT COMPANY: 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 SEC ACT: SEC FILE NUMBER: 005-41940 FILM NUMBER: 579538 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RICHARD L & F ANNETTE SCOTT FAMILY LTD PARTNERSHIP CENTRAL INDEX KEY: 0001105640 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 611272598 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 100 FIRST STAMFORD PLACE SUITE 625 CITY: STAMFORD STATE: CT ZIP: 06902 BUSINESS PHONE: 2036022290 MAIL ADDRESS: STREET 1: 100 FIRST STAMFORD PLACE SUITE 625 CITY: STAMFORD STATE: CT ZIP: 06902 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___________) SOUTHWEST SECURITIES GROUP, INC. (Name of Issuer) Common Stock, $.10 par value (Title of Class of Securities) 845224104 (CUSIP Number) March 16, 2000 (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 in 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. SCHEDULE 13G CUSIP No. 845224104 1. Names of Reporting Persons: Richard L. and F. Annette Scott Family Limited Partnership. IRS Identification No.: 61-127-2598 2. Check the Appropriate Box if a Member of a Group (a) [ x ] (b) [ ] 3. SEC USE ONLY 4. Citizenship or Place of Organization: Kentucky NUMBER OF SHARES 5. Sole Voting Power: 251,050 BENEFICIALLY OWNED 6. Shared Voting Power: -0- BY EACH REPORTING 7. Sole Dispositive Power: 251,050 PERSON WITH 8. Shared Dispositive Power: -0- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 251,050 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares: [ ] 11. Percent of Class Represented by Amount in Row (9): 2.1% 12. Type of Reporting Person: PN -2- SCHEDULE 13G CUSIP No. 845224104 1. Names of Reporting Persons: Frances Annette Scott Revocable Trust. IRS Identification No.: _____________ 2. Check the Appropriate Box if a Member of a Group (a) [ x ] (b) [ ] 3. SEC USE ONLY 4. Citizenship or Place of Organization: United States NUMBER OF SHARES 5. Sole Voting Power: 233,500 BENEFICIALLY OWNED 6. Shared Voting Power: -0- BY EACH REPORTING 7. Sole Dispositive Power: 233,500 PERSON WITH 8. Shared Dispositive Power: -0- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 233,500 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares: [ ] 11. Percent of Class Represented by Amount in Row (9): 2.0% 12. Type of Reporting Person: OO (Revocable Grantor Trust) -3- SCHEDULE 13G CUSIP No. 845224104 1. Names of Reporting Persons: Richard L. Scott Revocable Trust. IRS Identification No.: _____________ 2. Check the Appropriate Box if a Member of a Group (a) [ x ] (b) [ ] 3. SEC USE ONLY 4. Citizenship or Place of Organization: United States NUMBER OF SHARES 5. Sole Voting Power: 35,050 BENEFICIALLY OWNED 6. Shared Voting Power: -0- BY EACH REPORTING 7. Sole Dispositive Power: 35,050 PERSON WITH 8. Shared Dispositive Power: -0- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 35,050 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares: [ ] 11. Percent of Class Represented by Amount in Row (9): .3% 12. Type of Reporting Person: OO (Revocable Grantor Trust) -4- SCHEDULE 13G CUSIP No. 845224104 1. Names of Reporting Persons: Floyd Stephen Allen. IRS Identification No.: _________________________ 2. Check the Appropriate Box if a Member of a Group (a) [ x ] (b) [ ] 3. SEC USE ONLY 4. Citizenship or Place of Organization: United States NUMBER OF SHARES 5. Sole Voting Power: 73,200 (see Item 4) BENEFICIALLY OWNED 6. Shared Voting Power: -0- BY EACH REPORTING 7. Sole Dispositive Power: 73,200 (see Item 4) PERSON WITH 8. Shared Dispositive Power: -0- 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 73,200 (see Item 4) 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares: [ ] 11. Percent of Class Represented by Amount in Row (9): .6% 12. Type of Reporting Person: IN -5- Item 1(a). Name of Issuer. Southwest Securities Group, Inc. ("Issuer"). Item 1(b). Address of Issuer's Principal Executive Offices. 1201 Elm Street, Suite 3500 Dallas, Texas 75270 Item 2(a). Names of Persons Filing. Richard L. and F. Annette Scott Family Limited Partnership Frances Annette Scott Revocable Trust Richard L. Scott Revocable Trust F. Stephen Allen Item 2(b). Address of Principal Business Office or, if none, Residence. Richard L. and F. Annette Scott Family Limited Partnership 100 First Stamford Place, Suite 625 Stamford, Connecticut 06902. Frances Annette Scott Revocable Trust 100 First Stamford Place, Suite 625 Stamford, Connecticut 06902. Richard L. Scott Revocable Trust 100 First Stamford Place, Suite 625 Stamford, Connecticut 06902. F. Stephen Allen 2100 S. Utica, Suite 305 Tulsa, Oklahoma 74114. Item 2(c). Citizenship. Richard L. and F. Annette Scott Family Limited Partnership is a Kentucky limited partnership. Frances Annette Scott Revocable Trust, Richard L. Scott Revocable Trust and F. Stephen Allen are domiciled in the United States. Item 2(d). Title of Class of Securities. Common Stock, $.10 par value ("Common Stock"). -6- Item 2(e). CUSIP Number. 845224104. Item 3. Status of Reporting Person. If this statement is filed pursuant to Rule 13d-1(c), check this box. [ x ] Item 4. Ownership. (a) Amount Beneficially Owned: Richard L. and F. Annette Scott Family Limited Partnership directly holds 251,050 shares of Common Stock. Frances Annette Scott Revocable Trust directly holds 233,500 shares of Common Stock. Richard L. Scott Revocable Trust directly holds 35,050 shares of Common Stock. F. Stephen Allen directly holds 58,700 shares of Common Stock and holds 14,500 shares of Common Stock through a self-directed retirement plan, as to which shares Mr. Allen has sole voting and investment power. Thus, the Reporting Persons collectively hold 592,800 shares of Common Stock. (b) Percent of Class: 5.02% (c) Number of Shares as to which the person has: (i) sole power to vote or to direct the vote: 592,800 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 592,800 (iv) shared power to dispose or to direct the disposition of: 0 Item 5. Ownership of Five Percent or Less of a Class. Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Not applicable. -7- 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. -8- Item 10. Certification. By signing below, each of the undersigned certifies that, to the best of his or her 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 such securities and were not acquired and are not held in connection with or as a participant in any transaction having such purposes or effect. Signature After reasonable inquiry and to the best of my knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. DATED: March 24, 2000 RICHARD L. AND F. ANNETTE SCOTT FAMILY LIMITED PARTNERSHIP /s/ RICHARD L. SCOTT --------------------------------------- By: Richard L. Scott, General Partner DATED: March 24, 2000 FRANCES ANNETTE SCOTT REVOCABLE TRUST /s/ FRANCES ANNETTE SCOTT --------------------------------------- By: Frances Annette Scott, Trustee DATED: March 24, 2000 RICHARD L. SCOTT REVOCABLE TRUST /s/ RICHARD L. SCOTT --------------------------------------- By: Richard L. Scott, Trustee DATED: March 24, 2000 /s/ F. STEPHEN ALLEN ------------------------------------------ F. Stephen Allen -9- -----END PRIVACY-ENHANCED MESSAGE-----