0001181580-22-000012.txt : 20220602 0001181580-22-000012.hdr.sgml : 20220602 20220602164828 ACCESSION NUMBER: 0001181580-22-000012 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20220531 FILED AS OF DATE: 20220602 DATE AS OF CHANGE: 20220602 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEWCASTLE CAPITAL GROUP LLC CENTRAL INDEX KEY: 0001251293 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11252 FILM NUMBER: 22991547 BUSINESS ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: STE 1400 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 214-661-7477 MAIL ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: STE 1400 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEWCASTLE PARTNERS L P CENTRAL INDEX KEY: 0000932334 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11252 FILM NUMBER: 22991549 BUSINESS ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 214-661-7477 MAIL ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SCHWARZ MARK E CENTRAL INDEX KEY: 0001208889 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11252 FILM NUMBER: 22991550 MAIL ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NCM SERVICES, INC. CENTRAL INDEX KEY: 0001586784 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11252 FILM NUMBER: 22991546 BUSINESS ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 214-661-7474 MAIL ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NEWCASTLE CAPITAL MANAGEMENT LP CENTRAL INDEX KEY: 0001251296 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11252 FILM NUMBER: 22991548 BUSINESS ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 214-661-7477 MAIL ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75240 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Schwarz 2012 Family Trust CENTRAL INDEX KEY: 0001586760 STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-11252 FILM NUMBER: 22991545 BUSINESS ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75240 BUSINESS PHONE: 214-661-7477 MAIL ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: SUITE 1100 CITY: DALLAS STATE: TX ZIP: 75240 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HALLMARK FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0000819913 STANDARD INDUSTRIAL CLASSIFICATION: INSURANCE CARRIERS, NEC [6399] IRS NUMBER: 870447375 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 777 MAIN STREET, SUITE 1000 CITY: FORT WORTH STATE: TX ZIP: 76102 BUSINESS PHONE: 8173481600 MAIL ADDRESS: STREET 1: 5420 LYNDON B. JOHNSON FREEWAY STREET 2: STE 1100 CITY: DALLAS STATE: TX ZIP: 75240 FORMER COMPANY: FORMER CONFORMED NAME: ACOI INC DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: AMERICAN CREDIT OPTICAL INC /DE/ DATE OF NAME CHANGE: 19910611 FORMER COMPANY: FORMER CONFORMED NAME: PYRAMID GROWTH INC DATE OF NAME CHANGE: 19890124 4 1 primary_doc.xml PRIMARY DOCUMENT X0306 4 2022-05-31 0 0000819913 HALLMARK FINANCIAL SERVICES INC HALL 0001208889 SCHWARZ MARK E 5420 LYNDON B. JOHNSON FREEWAY SUITE 1100 DALLAS TX 75240 1 1 1 0 Chairman & CEO 0000932334 NEWCASTLE PARTNERS L P 5420 LYNDON B. JOHNSON FREEWAY SUITE 1100 DALLAS TX 75240 0 0 1 0 0001251296 NEWCASTLE CAPITAL MANAGEMENT LP 5420 LYNDON B. JOHNSON FREEWAY SUITE 1100 DALLAS TX 75240 0 0 1 0 0001251293 NEWCASTLE CAPITAL GROUP LLC 5420 LYNDON B. JOHNSON FREEWAY STE 1400 DALLAS TX 75240 0 0 1 0 0001586784 NCM SERVICES, INC. 5420 LYNDON B. JOHNSON FREEWAY SUITE 1100 DALLAS TX 75240 0 0 1 0 0001586760 Schwarz 2012 Family Trust 5420 LYNDON B. JOHNSON FREEWAY SUITE 1100 DALLAS TX 75240 0 0 1 0 Common Stock 140691 D Common Stock 2022-05-31 4 P 0 1179 0.89 A 3079873 I Directly owned by Newcastle Partners, L.P. Director Stock Option (right to buy) 3.95 2017-06-27 2026-06-27 Common Stock 40000 40000 D Director Stock Option (right to buy) 3.11 2013-06-25 2022-06-25 Common Stock 15000 15000 D Mr. Schwarz is the sole trustee of the Schwarz 2012 Family Trust (the "Trust") and a director and officer of NCM Services, Inc. ("NCMS"). The Trust is the sole shareholder of NCMS, which is the sole member of Newcastle Capital Group, L.L.C. ("NCG"), which is the general partner of Newcastle Capital Management, L.P. ("NCM"), which is the general partner of Newcastle Partners, L.P. ("NP"). Accordingly, Mr. Schwarz may be deemed the beneficial owner of all shares held by any of the Trust, NCMS, NCG, NCM or NP. Steven D. Davidson as Attorney-in-Fact for each Reporting Person 2022-06-02