Filing Details

Accession Number:
0001516774-11-000003
Form Type:
4
Zero Holdings:
No
Publication Time:
2011-09-01 16:47:38
Reporting Period:
2011-08-31
Filing Date:
2011-09-01
Accepted Time:
2011-09-01 16:47:38
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
819913 Hallmark Financial Services Inc HALL Insurance Carriers, Nec (6399) 870447375
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
932334 P L Partners Newcastle 200 Crescent Court
Ste 1400
Dallas TX 75201
No No No Yes
1208889 E Mark Schwarz 200 Crescent Court
Ste 1400
Dallas TX 75201
Chairman Yes Yes Yes Yes
1251293 Newcastle Capital Group Llc 200 Crescent Court
Ste 1400
Dallas TX 75201
No No No Yes
1251296 Newcastle Capital Management Lp 200 Crescent Court
Ste 1400
Dallas TX 75201
No No No Yes
1382543 Newcastle Focus Fund Ii Lp 200 Crescent Court
Suite 1400
Dallas TX 75201
No No No Yes
1461218 Dsc Services, Inc. 200 Crescent Court
Suite 1400
Dallas TX 75201
No No No Yes
1461220 Detroit Stoker Co 1510 E. First St.
Monroe MI 48161
No No No Yes
1461757 Newcastle Special Opportunity Fund I, L.p. 200 Crescent Court
Suite 1400
Dallas TX 75201
No No No Yes
1461758 Newcastle Special Opportunity Fund Ii, L.p. 200 Crescent Court
Suite 1400
Dallas TX 75201
No No No Yes
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2011-08-31 2,000 $6.75 7,864,186 No 4 P Direct
Common Stock Acquisiton 2011-09-01 2,000 $6.77 7,866,186 No 4 P Direct
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Direct
No 4 P Direct
Footnotes
  1. The Reporting Persons are members of a "group" for purposes of Section 13(d)(3) of the Securities Exchange Act of 1934, as amended and accordingly may be deemed to beneficially own Shares of the Issuer's Common Stock owned in the aggregate by the other members of the Section 13(d) group. The Section 13(d) group consists of Newcastle Partners, L.P. ("NP"), Newcastle Capital Management, L.P. ("NCM"), Newcastle Capital Group, L.L.C. ("NCG"), Newcastle Special Opportunity Fund I, L.P. ("NSOF I"), Newcastle Special Opportunity Fund II, L.P. ("NSOF II"), Newcastle Focus Fund II, L.P. ("NFF"), DSC Services Inc. ("DSC"), the Detroit Stoker Company ("Detroit Stoker") and Mark E. Schwarz ("Schwarz"). Each Reporting Person disclaims beneficial ownership of the shares of the Issuer's Common Stock owned by the other members of the Section 13(d) group except to the extent of its pecuniary interest therein.
  2. NCM is the general partner of each of NP, NSOFI, NSOFII and NFF. NCG is the general partner of NCM, and Schwarz is the managing member of NCG. Accordingly, each of NCM, NCG and Schwarz may be deemed to beneficially own the shares directly owned by any of NP, NSOFI, NSOFII and NFF. In addition, DSC is the parent company of Detroit Stoker, and Schwarz and NCG together own all of the outstanding shares of DSC. Accordingly, each of Schwarz and DSC may be deemed to beneficially own the shares directly owned by Detroit Stoker.
  3. Mark Schwarz owns 86,326 shares of common stock and 72,142 options exercisable into shares of common stock.