0001104659-13-042836.txt : 20130517
0001104659-13-042836.hdr.sgml : 20130517
20130517160643
ACCESSION NUMBER: 0001104659-13-042836
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: Holmes James Christopher
CENTRAL INDEX KEY: 0001292139
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 033-19694
FILM NUMBER: 13855139
MAIL ADDRESS:
STREET 1: P. O. BOX 8216
CITY: WACO
STATE: TX
ZIP: 76714
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
0001292139
Holmes James Christopher
P.O. BOX 8216
WACO
TX
76714
0
1
0
0
Senior Vice President
Common Stock
2013-05-17
4
D
0
59198
D
0
D
Common Stock
2013-05-17
4
D
0
50000
D
0
I
By LLC
Stock option (right to buy)
7.25
2013-05-17
4
D
0
15000
D
2014-05-13
Common Stock
15000
0
D
Stock option (right to buy)
9.85
2013-05-17
4
D
0
8000
D
2017-10-11
Common Stock
8000
0
D
Stock option (right to buy)
6.93
2013-05-17
4
D
0
25000
D
2019-08-13
Common Stock
25000
0
D
This amount includes 20,044 shares of restricted common stock of FirstCity Financial Corporation (the "Issuer"). Pursuant to the terms of the Merger Agreement (as defined below), the restricted stock award agreements were amended to provide that such shares became fully vested immediately prior to the Effective Time (as defined in the Merger Agreement) of the Merger (as defined in the Merger Agreement).
Pursuant to the terms of the Agreement and Plan of Merger, dated as of December 20, 2012 (the "Merger Agreement"), by and among 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 of the Merger, subject to certain exceptions, was cancelled and converted into the right to receive $10.00 in cash, without interest (the "Merger Consideration").
Represents shares held by JJCS, L.L.C., an entity owned by the reporting person and his family as follows: James C. Holmes (35%); Cindy Holmes (35%); Spencer Holmes (15%); James Kennedy Holmes (15%). 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 May 13, 2004 and originally provided for vesting in four equal annual installments beginning on the first anniversary of 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 October 11, 2007 and originally provided for vesting in four equal annual installments beginning on the first anniversary of the date of grant.
This stock option was granted on August 13, 2009 and originally provided for vesting in four equal annual installments beginning on the first anniversary of the date of grant. Pursuant to the terms of the Merger Agreement, the stock option agreement was amended to provide that this stock option became fully vested and exercisable immediately prior to the Effective Time of the Merger.
/s/ J. Bryan Baker, Attorney-in-fact for James C. Holmes
2013-05-17