-----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, RMa9FZO7e/C3OO8Gvh76Tgm8CVZzWjQN8AOiKQvcV190JMYJR9rbuSSoD2YGQ9ur hNiNKe/7vak1HdctVi1qlg== 0001209191-04-030380.txt : 20040608 0001209191-04-030380.hdr.sgml : 20040608 20040608210127 ACCESSION NUMBER: 0001209191-04-030380 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20040604 FILED AS OF DATE: 20040608 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: ROSENTHAL DAVID CENTRAL INDEX KEY: 0001227482 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-01100 FILM NUMBER: 04854800 BUSINESS ADDRESS: STREET 1: HAWTHORNE SAVINGS STREET 2: 2381 ROSECRANS AVE. CITY: EL SEGUNDO STATE: CA ZIP: 90245 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HAWTHORNE FINANCIAL CORP CENTRAL INDEX KEY: 0000046267 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 952085671 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 2381 ROSECRANS AVE CITY: EL SEGUNDO STATE: CA ZIP: 90245 BUSINESS PHONE: 3107255000 MAIL ADDRESS: STREET 1: 2381 ROSECRANS AVE CITY: EL SEGUNDO STATE: CA ZIP: 90245 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2004-06-04 1 0000046267 HAWTHORNE FINANCIAL CORP HTHR 0001227482 ROSENTHAL DAVID 2381 ROSECRANS AVE. EL SEGUNDO CA 90245 0 1 0 0 EVP & Chief Financial Officer Common Stock, par value $0.01 2004-06-04 4 D 0 60000.0000 16.8160 D 0 D Common Stock, par value $0.01 2004-06-04 4 D 0 7500.0000 24.2570 D 0 D Common Stock Options 16.8160 2004-06-04 4 J 0 12000.0000 16.1860 D common stock 12000.0000 0 D Common Stock Options 16.8160 2004-06-04 4 J 0 48000.0000 16.8160 D common stock 48000.0000 0 D Common Stock Options 24.3570 2004-06-04 4 J 0 7500.0000 24.3570 D common stock 7500.0000 0 D This stock option which is currently vested and exercisable, was assumed by CCBI pursuant to a merger agreement between Issuer and CCBI, and replaced with stock options to purchase 23,199 shares of CCBI Common Stock for $8.70 per share. This option provided for vesting in five equal annual installments beginning on 9/27/04, were accelerated pursuant to the merger agreement between Issuer and Commercial Capital Bancorp, Inc.("CCBI"). The options were exercised and converted to 92,798 shares of CCBI Common Stock having a market value of $18.10 per share on the effective date of the merger. This option provided for vesting in five equal annual installments beginning on 7/22/04, were accelerated pursuant to the merger agreement between Issuer and Commercial Capital Bancorp, Inc.("CCBI"). The options were exercised and converted to 14,499 shares of CCBI Common Stock having a market value of $18.10 per share on the effective date of the merger. David Rosenthal, by Marlyn Braceros, his attorney-in-fact 2004-06-04 EX-24.4_45265 2 poa.txt POA DOCUMENT LIMITED POWER OF ATTORNEY FOR SECTION 16 REPORTING OBLIGATIONS Know all by these presents, that the undersigned's hereby makes, constitutes and appoints Marlyn Braceros or Eileen Lyon as the undersigned's true and lawful attorney-in-fact, with full power and authority as hereinafter described on behalf of and in the name, place and stead of the undersigned to: (1) prepare, execute, acknowledge, deliver and file Forms 3, 4, and 5 (including any amendments thereto) with respect to the securities of Hawthorne Financial Corporation, a Delaware corporation (the "Company"), with the United States Securities and Exchange Commission, any national securities exchanges and the Company, as considered necessary or advisable under Section 16(a) of the Securities Exchange Act of 1934 and the rules and regulations promulgated thereunder, as amended from time to time (the "Exchange Act"); (2) seek or obtain, as the undersigned's representative and on the undersigned's behalf, information on transactions in the Company's securities from any third party, including brokers, employee benefit plan administrators and trustees, and the undersigned hereby authorizes any such person to release any such information to the undersigned and approves and ratifies any such release of information; and (3) perform any and all other acts which in the discretion of such attorney-in-fact are necessary or desirable for and on behalf of the undersigned in connection with the foregoing. The undersigned acknowledges that: (1) this Power of Attorney authorizes, but does not require, such attorney-in-fact to act in their discretion on information provided to such attorney-in-fact without independent verification of such information; (2) any documents prepared and/or executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney will be in such form and will contain such information and disclosure as such attorney-in-fact, in his or her discretion, deems necessary or desirable; (3) neither the Company nor such attorney-in-fact assumes (i) any liability for the undersigned's responsibility to comply with the requirement of the Exchange Act, (ii) any liability of the undersigned for any failure to comply with such requirements, or (iii) any obligation or liability of the undersigned for profit disgorgement under Section 16(b) of the Exchange Act; and (4) this Power of Attorney does not relieve the undersigned from responsibility for compliance with the undersigned's obligations under the Exchange Act, including without limitation the reporting requirements under Section 16 of the Exchange Act. The undersigned hereby gives and grants the foregoing attorney-in-fact full power and authority to do and perform all and every act and thing whatsoever requisite, necessary or appropriate to be done in and about the foregoing matters as fully to all intents and purposes as the undersigned might or could do if present, hereby ratifying all that such attorney-in-fact of, for an on behalf of he undersigned, shall lawfully do or cause to be done by virtue of this Limited Power of Attorney. This Power of Attorney shall remain in full force and effect until revoked by the undersigned in a signed writing delivered to such attorney-in-fact. IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 22nd day of July, 2003. David Rosenthal Signature David Rosenthal Print Name STATE OF CALIFORNIA COUNTY OF LOS ANGELES On this 22nd day of July, 2003, DAVID ROSENTHAL personally appeared before me, and acknowledged that s/he executed the foregoing instrument for the purposes therein contained. IN WITNESS WHEREOF, I have hereunto set my hand and official seal. Loreena Yollin Notary Public _________________________________ My Commission Expires:4/30/06 -----END PRIVACY-ENHANCED MESSAGE-----