0001104659-13-042833.txt : 20130517
0001104659-13-042833.hdr.sgml : 20130517
20130517160649
ACCESSION NUMBER: 0001104659-13-042833
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20130517
FILED AS OF DATE: 20130517
DATE AS OF CHANGE: 20130517
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: GARRISON ROBERT E II
CENTRAL INDEX KEY: 0001013961
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 033-19694
FILM NUMBER: 13855145
MAIL ADDRESS:
STREET 1: C/O PINNACLE GLOBAL GROUP
STREET 2: 5599 SAN FELIPE #301
CITY: HOUSTON
STATE: TX
ZIP: 77056
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRSTCITY FINANCIAL CORP
CENTRAL INDEX KEY: 0000828678
STANDARD INDUSTRIAL CLASSIFICATION: SHORT-TERM BUSINESS CREDIT INSTITUTIONS [6153]
IRS NUMBER: 760243729
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 6400 IMPERIAL DRIVE
CITY: WACO
STATE: TX
ZIP: 76712
BUSINESS PHONE: 2547511750
MAIL ADDRESS:
STREET 1: 6400 IMPERIAL DRIVE
CITY: WACO
STATE: TX
ZIP: 76712
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST CITY BANCORPORATION OF TEXAS INC/
DATE OF NAME CHANGE: 19920703
FORMER COMPANY:
FORMER CONFORMED NAME: FIRST CITY ACQUISITION CORP
DATE OF NAME CHANGE: 19880523
4
1
a4.xml
4
X0306
4
2013-05-17
1
0000828678
FIRSTCITY FINANCIAL CORP
FCFC
0001013961
GARRISON ROBERT E II
600 TRAVIS, SUITE 5800
HOUSTON
TX
77002
1
0
0
0
Common Stock
2013-05-17
4
D
0
130809
D
0
D
Common Stock
2013-05-17
4
D
0
4500
D
0
I
By Gulf & Western Company, Inc.
Common Stock
2013-05-17
4
D
0
8200
D
0
I
By Spouse
Stock option (right to buy)
9.84
2013-05-17
4
D
0
5000
D
2016-08-03
Common Stock
5000
0
D
Stock option (right to buy)
8.04
2013-05-17
4
D
0
5000
D
2017-11-12
Common Stock
5000
0
D
Stock option (right to buy)
6.93
2013-05-17
4
D
0
5000
D
2019-08-13
Common Stock
5000
0
D
Pursuant to the terms of the Agreement and Plan of Merger, dated as of December 20, 2012 (the "Merger Agreement"), by and among FirstCity Financial Corporation (the "Issuer"), Hotspurs Holdings LLC and Hotspurs Acquisition Corporation, each share of the Issuer's common stock that was issued and outstanding immediately prior to the Effective Time (as defined in the Merger Agreement) of the Merger (as defined in the Merger Agreement), subject to certain exceptions, was cancelled and converted into the right to receive $10.00 in cash, without interest (the "Merger Consideration").
The reporting person disclaims beneficial ownership of these shares, except to the extent of his pecuniary interest therein. The reporting person states that neither the filing of this statement nor anything herein shall be deemed an admission that the reporting person was, for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or otherwise, the beneficial owner of these shares.
This stock option was granted on August 3, 2006 and originally provided for vesting in four equal quarterly installments beginning on the date of grant.
At the Effective Time of the Merger, pursuant to the terms of the Merger Agreement, this stock option was cancelled and converted into the right to receive an amount in cash, without interest, equal to (i) the excess of the Merger Consideration over the per share exercise price of such stock option multiplied by (ii) the aggregate number of shares of common stock into which such stock option was exercisable immediately prior to the Effective Time of the Merger.
This stock option was granted on November 12, 2007 and originally provided for vesting in four equal quarterly installments beginning on the date of grant.
This stock option was granted on August 13, 2009 and vested immediately.
/s/ J. Bryan Baker, Attorney-in-fact for Robert E. Garrison, II
2013-05-17