8-K

WESTWOOD HOLDINGS GROUP, INC.

Date: April 30, 2014

/s/ Brian O. Casey

Brian O. Casey,

President & Chief Executive Officer

0001193125-14-172880.txt : 20140430 0001193125-14-172880.hdr.sgml : 20140430 20140430171652 ACCESSION NUMBER: 0001193125-14-172880 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20140428 ITEM INFORMATION: Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers: Compensatory Arrangements of Certain Officers FILED AS OF DATE: 20140430 DATE AS OF CHANGE: 20140430 FILER: COMPANY DATA: COMPANY CONFORMED NAME: WESTWOOD HOLDINGS GROUP INC CENTRAL INDEX KEY: 0001165002 STANDARD INDUSTRIAL CLASSIFICATION: INVESTMENT ADVICE [6282] IRS NUMBER: 752969997 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-31234 FILM NUMBER: 14800367 BUSINESS ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 BUSINESS PHONE: 2147566900 MAIL ADDRESS: STREET 1: 200 CRESCENT COURT STREET 2: SUITE 1200 CITY: DALLAS STATE: TX ZIP: 75201 8-K 1 d720367d8k.htm 8-K 8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 8-K

CURRENT REPORT

Pursuant to Section 13 or 15(d)

of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): April 30, 2014 (April 28, 2014)

WESTWOOD HOLDINGS GROUP, INC.

(Exact Name of Registrant as Specified in its Charter)

Delaware

001-31234

75-2969997

(State or Other Jurisdiction

of Incorporation)

(Commission

File Number)

(I.R.S. Employer

Identification Number)

200 Crescent Court, Suite 1200

Dallas, Texas 75201

(Address of principal executive offices, including zip code)

(214) 756-6900

(Registrant’s telephone number, including area code)

Not applicable

(Former name or former address, if changed since last report)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligations of the registrant under any of the following provisions:

¨	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

¨	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

¨	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

¨	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Item 5.02.

Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.

On April 30, 2014, Westwood Holdings Group, Inc. (the “Company”) announced that Mark A. Wallace, the Company’s Chief Financial Officer and Treasurer, resigned from the Company on April 28, 2014 to pursue other opportunities. Mr. Wallace’s departure is not related to any disagreement with the Company regarding any financial, accounting, or other matters.

On April 30, 2014, the Board of Directors of the Company appointed William R. Hardcastle, Jr., the Company’s former Chief Financial Officer, to serve as interim Chief Financial Officer and principal financial officer of the Company until such time as the Company appoints a permanent replacement for Mr. Wallace. Mr. Hardcastle, age 46, joined the Company in December 2001. He has served as Vice President of Business Development and Strategic Initiatives of the Company since November 2012, Chief Financial Officer of the Company from July 2005 until November 2012, Treasurer of the Company from July 2002 to July 2005 and Assistant to the President of the Company from December 2001 to July 2002.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.