0001104659-13-042840.txt : 20130517 0001104659-13-042840.hdr.sgml : 20130517 20130517160703 ACCESSION NUMBER: 0001104659-13-042840 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: Miller F Clayton CENTRAL INDEX KEY: 0001371893 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 033-19694 FILM NUMBER: 13855149 MAIL ADDRESS: STREET 1: ONE FINANCIAL PLAZA STREET 2: 120 SOUTH SIXTH STREET, SUITE 2650 CITY: MINNEAPOLIS STATE: MN ZIP: 55402 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 0001371893 Miller F Clayton 800 NICOLLET MALL, SUITE 1150 MINNEAPOLIS MN 55402 1 0 0 0 Common Stock 2013-05-17 4 D 0 12549 D 0 D 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) 4.69 2013-05-17 4 D 0 5000 D 2018-06-16 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"). 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 June 16, 2008 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 F. Clayton Miller 2013-05-17