organization · Reporting owner
NEWCASTLE CAPITAL MANAGEMENT LP
Disclosed activity across 2 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| HALLMARK FINANCIAL SERVICES INCHALL · Entity 121391 | 10% owner | May 31, 2022 | June 02, 2022 |
| RAVE RESTAURANT GROUP, INC.RAVE · Entity 7274 | 10% owner | June 27, 2022 | June 27, 2022 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
HALLMARK FINANCIAL SERVICES INC
Report date May 31, 2022 · Filed June 02, 2022 · Amendment
Jointly reported with SCHWARZ MARK E, NEWCASTLE PARTNERS L P, NEWCASTLE CAPITAL GROUP LLC, NCM SERVICES, INC., Schwarz 2012 Family Trust
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectShares directly owned by Newcastle Partners, L.P. | 3,730,432 |
Reported balance
After 2022-05-31 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 2022-05-31 · Purchase · Acquired 0 · Balance 3,730,432 F1: 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. |
| Common StockSEC Table I · non-derivative | Direct | 202,580 |
Reported balance
Holding disclosure · report date 2022-05-31 · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · Balance 202,580 |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
RAVE RESTAURANT GROUP, INC.
Report date June 27, 2022 · Filed June 27, 2022
Jointly reported with SCHWARZ MARK E, NEWCASTLE PARTNERS L P, NEWCASTLE CAPITAL GROUP LLC, NCM SERVICES, INC., Schwarz 2012 Family Trust
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $1.06 · Expires 2032-06-27 | Direct | 40,000 |
Reported balance
After 2022-06-27 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2022-06-27 · Grant · Acquired 40,000 · Balance 40,000 F2: Granted as director stock options. |
| Director Stock Option (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $3.95 · Expires 2026-06-27 | Direct | 40,000 |
Reported balance
Holding disclosure · report date 2022-06-27 · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · Balance 40,000 |
| Common StockSEC Table I · non-derivative | Direct | 140,691 |
Reported balance
Holding disclosure · report date 2022-06-27 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 140,691 |
| Common StockSEC Table I · non-derivative | IndirectShares directly owned by Newcastle Partners, L.P. | 3,092,125 |
Reported balance
Holding disclosure · report date 2022-06-27 · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · Balance 3,092,125 F1: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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.
F2: Granted as director stock options.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| June 27, 2022 Filed Jun 27, 2022 16:42 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | GrantDirector Stock Option (right to buy) · Derivative | 40,000 | $0.00 Strike: $1.06 | $0.00 |
DisclosureSEC source: 0001181580-22-000018 · primary_doc.xml · derivative · entry 3 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,000 Underlying: Common Stock · 40,000 shares Expires 2032-06-27 F2 · price: Granted as director stock options. Read SEC document |
| June 08, 2022 Filed Jun 9, 2022 19:15 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 12,252 | $0.98 | $12,006.96 |
DisclosureSEC source: 0001914789-22-000002 · primary_doc.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Shares directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,092,125 F1 · ownership.nature: 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 to beneficially own all shares held by any of the Trust, NCMS, NCG, NCM or NP. Read SEC document |
| May 31, 2022 Filed Jun 2, 2022 21:36 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 1,179 | $0.89 | $1,049.31 |
DisclosureSEC source: 0001181580-22-000014 · primary_doc.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Shares directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,079,873 F1 · ownership.nature: 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 to beneficially own all shares held by any of the Trust, NCMS, NCG, NCM or NP. Read SEC document |
| May 31, 2022 Filed Jun 2, 2022 17:14 UTC Amendment | HALLMARK FINANCIAL SERVICES INC HALL · Entity 121391 | PurchaseCommon Stock | 0 | $0.00 | $0.00 |
DisclosureSEC source: 0001181580-22-000013 · primary_doc.xml · nonDerivative · entry 1 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman & CEO · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Shares directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,730,432 F1 · ownership.nature: 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. Read SEC document |
| May 31, 2022 Filed Jun 2, 2022 16:48 UTC | HALLMARK FINANCIAL SERVICES INC HALL · Entity 121391 | PurchaseCommon Stock | 1,179 | $0.89 | $1,049.31 |
DisclosureSEC source: 0001181580-22-000012 · primary_doc.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman & CEO · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,079,873 F1 · ownership.nature: 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. Read SEC document |
| May 26, 2022 Filed May 26, 2022 20:36 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 10,986 | $0.88 | $9,667.68 |
DisclosureSEC source: 0001181580-22-000011 · primary_doc.xml · nonDerivative · entry 4 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,078,694 F1 · ownership.nature: 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. Read SEC document |
| May 25, 2022 Filed May 26, 2022 20:36 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 3,000 | $0.87 | $2,610.00 |
DisclosureSEC source: 0001181580-22-000011 · primary_doc.xml · nonDerivative · entry 3 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,067,708 F1 · ownership.nature: 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. Read SEC document |
| May 24, 2022 Filed May 26, 2022 20:36 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 990 | $0.87 | $861.30 |
DisclosureSEC source: 0001181580-22-000011 · primary_doc.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,064,708 F1 · ownership.nature: 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. Read SEC document |
| May 23, 2022 Filed May 23, 2022 20:43 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 14,126 | $0.87 | $12,289.62 |
DisclosureSEC source: 0001181580-22-000010 · primary_doc.xml · nonDerivative · entry 4 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,063,718 F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2021 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"). Read SEC document |
| May 20, 2022 Filed May 23, 2022 20:43 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 10,452 | $0.88 | $9,197.76 |
DisclosureSEC source: 0001181580-22-000010 · primary_doc.xml · nonDerivative · entry 3 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,049,592 F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2021 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"). Read SEC document |
| May 19, 2022 Filed May 23, 2022 20:43 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 11,266 | $0.89 | $10,026.74 |
DisclosureSEC source: 0001181580-22-000010 · primary_doc.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners, L.P. Disclosed balance after: 3,039,140 F1 · ownership.nature: Mr. Schwarz is the sole trustee of the Schwarz 2021 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"). Read SEC document |
| May 18, 2022 Filed May 19, 2022 00:05 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 9,843 | $0.90 | $8,858.70 |
DisclosureSEC source: 0001181580-22-000009 · edgar.xml · nonDerivative · entry 4 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by by Newcastle Partners, L.P. Disclosed balance after: 3,027,874 F1 · ownership.nature: 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. Read SEC document |
| May 17, 2022 Filed May 19, 2022 00:05 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 7,600 | $0.90 | $6,840.00 |
DisclosureSEC source: 0001181580-22-000009 · edgar.xml · nonDerivative · entry 3 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by by Newcastle Partners, L.P. Disclosed balance after: 3,018,031 F1 · ownership.nature: 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. Read SEC document |
| May 16, 2022 Filed May 19, 2022 00:05 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 18,777 | $0.88 | $16,523.76 |
DisclosureSEC source: 0001181580-22-000009 · edgar.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by by Newcastle Partners, L.P. Disclosed balance after: 3,010,431 F1 · ownership.nature: 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. Read SEC document |
| May 12, 2022 Filed May 12, 2022 21:00 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 2,201 | $0.87 | $1,914.21 |
DisclosureSEC source: 0001181580-22-000008 · edgar.xml · nonDerivative · entry 4 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by by Newcastle Partners, L.P. Disclosed balance after: 2,991,654 F1 · ownership.nature: 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. Read SEC document |
| May 12, 2022 Filed May 12, 2022 21:00 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 10,700 | $0.87 | $9,305.79 |
DisclosureSEC source: 0001181580-22-000008 · edgar.xml · nonDerivative · entry 3 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 140,691 Read SEC document |
| May 11, 2022 Filed May 12, 2022 21:00 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 18,000 | $0.86 | $15,435.00 |
DisclosureSEC source: 0001181580-22-000008 · edgar.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 129,991 Read SEC document |
| May 10, 2022 Filed May 12, 2022 21:00 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | PurchaseCommon Stock | 11,300 | $0.87 | $9,869.42 |
DisclosureSEC source: 0001181580-22-000008 · edgar.xml · nonDerivative · entry 1 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 111,991 Read SEC document |
| April 03, 2022 Filed Apr 5, 2022 11:47 UTC | HALLMARK FINANCIAL SERVICES INC HALL · Entity 121391 | GrantRestricted Stock Units · Derivative | 123,968 | $0.00 | $0.00 |
DisclosureSEC source: 0001181580-22-000005 · edgar.xml · derivative · entry 6 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman & CEO · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 123,968 Underlying: Common Stock · Not disclosed shares Expires 2027-03-31 F4 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. Up to 50% of the shares may become issuable as of March 31, 2025, a cumulative of 80% of the shares may become issuable as of March 31, 2026, and a cumulative of 100% of the shares may become issuable as of March 31, 2027. The performance criteria for 61,984 of the restricted stock units is based on the gross 2022 accident year combined ratio ("2022 AYCR%") for the period from from January 1, 2022 to the December 31 preceding each vesting date, and earns a percentage of a share of common stock per restricted stock unit, as follows: (a) 95.4% or greater 2022 AYCR% earns 0%; (b) 94.6% 2022 AYCR% earns 20%; (c) 93.8% 2022 AYCR% earns 40%; (d) 93.0% 2022 AYCR% earns 60%; (e) 92.2% 2022 AYCR% earns 80%; (f) 91.4% 2022 AYCR% earns 100%; (g) 90.6% 2022 AYCR% earns 110%; (h) 89.8% 2022 AYCR% earns 120%; (i) 89.0% 2022 AYCR% earns 130%; (j) 88.2% 2022 AYCR% earns 140%; and (k) 87.4% or less 2022 AYCR% earns 150%. The performance criteria for 61,984 of the restricted stock units is based on the compound average annual growth rate ("CAAGR") in book value per share from January 1, 2022 to the December 31 preceding each vesting date and earns a percentage of a share of common stock per restricted stock unit, as follows: (i) 1.0% or less CAAGR earns 0%; (ii) 1.8% CAAGR earns 20%; (iii) 2.6% CAAGR earns 40%; (iv) 3.4% CAAGR earns 60%; (v) 4.2% CAAGR earns 80%; (vi) 5.0% CAAGR earns 100%; (vii) 5.8% CAAGR earns 110%; (viii) 6.6% CAAGR earns 120%; (ix) 7.4% CAAGR earns 130%; (xi) 8.2% CAAGR earns 140%; and (xii) 10.0% or greater CAAGR earns 150%. F4 · derivative.exercise_date: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. Up to 50% of the shares may become issuable as of March 31, 2025, a cumulative of 80% of the shares may become issuable as of March 31, 2026, and a cumulative of 100% of the shares may become issuable as of March 31, 2027. The performance criteria for 61,984 of the restricted stock units is based on the gross 2022 accident year combined ratio ("2022 AYCR%") for the period from from January 1, 2022 to the December 31 preceding each vesting date, and earns a percentage of a share of common stock per restricted stock unit, as follows: (a) 95.4% or greater 2022 AYCR% earns 0%; (b) 94.6% 2022 AYCR% earns 20%; (c) 93.8% 2022 AYCR% earns 40%; (d) 93.0% 2022 AYCR% earns 60%; (e) 92.2% 2022 AYCR% earns 80%; (f) 91.4% 2022 AYCR% earns 100%; (g) 90.6% 2022 AYCR% earns 110%; (h) 89.8% 2022 AYCR% earns 120%; (i) 89.0% 2022 AYCR% earns 130%; (j) 88.2% 2022 AYCR% earns 140%; and (k) 87.4% or less 2022 AYCR% earns 150%. The performance criteria for 61,984 of the restricted stock units is based on the compound average annual growth rate ("CAAGR") in book value per share from January 1, 2022 to the December 31 preceding each vesting date and earns a percentage of a share of common stock per restricted stock unit, as follows: (i) 1.0% or less CAAGR earns 0%; (ii) 1.8% CAAGR earns 20%; (iii) 2.6% CAAGR earns 40%; (iv) 3.4% CAAGR earns 60%; (v) 4.2% CAAGR earns 80%; (vi) 5.0% CAAGR earns 100%; (vii) 5.8% CAAGR earns 110%; (viii) 6.6% CAAGR earns 120%; (ix) 7.4% CAAGR earns 130%; (xi) 8.2% CAAGR earns 140%; and (xii) 10.0% or greater CAAGR earns 150%. F4 · derivative.underlying_shares: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. Up to 50% of the shares may become issuable as of March 31, 2025, a cumulative of 80% of the shares may become issuable as of March 31, 2026, and a cumulative of 100% of the shares may become issuable as of March 31, 2027. The performance criteria for 61,984 of the restricted stock units is based on the gross 2022 accident year combined ratio ("2022 AYCR%") for the period from from January 1, 2022 to the December 31 preceding each vesting date, and earns a percentage of a share of common stock per restricted stock unit, as follows: (a) 95.4% or greater 2022 AYCR% earns 0%; (b) 94.6% 2022 AYCR% earns 20%; (c) 93.8% 2022 AYCR% earns 40%; (d) 93.0% 2022 AYCR% earns 60%; (e) 92.2% 2022 AYCR% earns 80%; (f) 91.4% 2022 AYCR% earns 100%; (g) 90.6% 2022 AYCR% earns 110%; (h) 89.8% 2022 AYCR% earns 120%; (i) 89.0% 2022 AYCR% earns 130%; (j) 88.2% 2022 AYCR% earns 140%; and (k) 87.4% or less 2022 AYCR% earns 150%. The performance criteria for 61,984 of the restricted stock units is based on the compound average annual growth rate ("CAAGR") in book value per share from January 1, 2022 to the December 31 preceding each vesting date and earns a percentage of a share of common stock per restricted stock unit, as follows: (i) 1.0% or less CAAGR earns 0%; (ii) 1.8% CAAGR earns 20%; (iii) 2.6% CAAGR earns 40%; (iv) 3.4% CAAGR earns 60%; (v) 4.2% CAAGR earns 80%; (vi) 5.0% CAAGR earns 100%; (vii) 5.8% CAAGR earns 110%; (viii) 6.6% CAAGR earns 120%; (ix) 7.4% CAAGR earns 130%; (xi) 8.2% CAAGR earns 140%; and (xii) 10.0% or greater CAAGR earns 150%. F1 · ownership.direct: Direct ownership by Mr. Schwarz. Read SEC document |
| December 21, 2021 Filed Dec 22, 2021 10:47 UTC | HALLMARK FINANCIAL SERVICES INC HALL · Entity 121391 | GrantRestricted Stock Units · Derivative | 127,374 | $0.00 | $0.00 |
DisclosureSEC source: 0001181580-21-000006 · edgar.xml · derivative · entry 5 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman & CEO · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,374 Underlying: Common Stock · Not disclosed shares Expires 2026-03-31 F3 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. Up to 50% of the shares may become issuable as of March 31, 2024, a cumulative of 80% of the shares may become issuable as of March 31, 2025, and a cumulative of 100% of the shares may become issuable as of March 31, 2026. The performance criteria for 63,687 of the restricted stock units is based on the gross 2021 accident year combined ratio ("2021 AYCR%") for the period from from January 1, 2021 to the December 31 preceding each vesting date, and earns a percentage of a share of common stock per restricted stock unit, as follows: (a) 100.0% or greater 2021 AYCR% earns 0%; (b) 99.2% 2021AYCR% earns 20%; (c) 98.4% 2021 AYCR% earns 40%; (d) 97.6% 2021 AYCR% earns 60%; (e) 96.8% 2021 AYCR% earns 80%; (f) 96.0% 2021 AYCR% earns 100%; (g) 95,2% 2021 AYCR% earns 110%; (h) 94.4% 2021 AYCR% earns 120%; (i) 93.6% 2021 AYCR% earns 130%; (j) 92.8% 2021 AYCR% earns 140%; and (k) 92.0% or less 2021 AYCR% earns 150%. The performance criteria for 63,687 of the restricted stock units is based on the compound average annual growth rate ("CAAGR") in book value per share from January 1, 2021 to the December 31 preceding each vesting date and earns a percentage of a share of common stock per restricted stock unit, as follows: (i) 1.0% or less CAAGR earns 0%; (ii) 1.8% CAAGR earns 20%; (iii) 2.6% CAAGR earns 40%; (iv) 3.4% CAAGR earns 60%; (v) 4.2% CAAGR earns 80%; (vi) 5.0% CAAGR earns 100% shares; (vii) 5.8% CAAGR earns 110%; (viii) 6.6% CAAGR earns 120%; (ix) 7.4% CAAGR earns 130%; (xi) 8.2% CAAGR earns 140%; and (xii) 10.0% or greater CAAGR earns 150%. F3 · derivative.exercise_date: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. Up to 50% of the shares may become issuable as of March 31, 2024, a cumulative of 80% of the shares may become issuable as of March 31, 2025, and a cumulative of 100% of the shares may become issuable as of March 31, 2026. The performance criteria for 63,687 of the restricted stock units is based on the gross 2021 accident year combined ratio ("2021 AYCR%") for the period from from January 1, 2021 to the December 31 preceding each vesting date, and earns a percentage of a share of common stock per restricted stock unit, as follows: (a) 100.0% or greater 2021 AYCR% earns 0%; (b) 99.2% 2021AYCR% earns 20%; (c) 98.4% 2021 AYCR% earns 40%; (d) 97.6% 2021 AYCR% earns 60%; (e) 96.8% 2021 AYCR% earns 80%; (f) 96.0% 2021 AYCR% earns 100%; (g) 95,2% 2021 AYCR% earns 110%; (h) 94.4% 2021 AYCR% earns 120%; (i) 93.6% 2021 AYCR% earns 130%; (j) 92.8% 2021 AYCR% earns 140%; and (k) 92.0% or less 2021 AYCR% earns 150%. The performance criteria for 63,687 of the restricted stock units is based on the compound average annual growth rate ("CAAGR") in book value per share from January 1, 2021 to the December 31 preceding each vesting date and earns a percentage of a share of common stock per restricted stock unit, as follows: (i) 1.0% or less CAAGR earns 0%; (ii) 1.8% CAAGR earns 20%; (iii) 2.6% CAAGR earns 40%; (iv) 3.4% CAAGR earns 60%; (v) 4.2% CAAGR earns 80%; (vi) 5.0% CAAGR earns 100% shares; (vii) 5.8% CAAGR earns 110%; (viii) 6.6% CAAGR earns 120%; (ix) 7.4% CAAGR earns 130%; (xi) 8.2% CAAGR earns 140%; and (xii) 10.0% or greater CAAGR earns 150%. F3 · derivative.underlying_shares: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. Up to 50% of the shares may become issuable as of March 31, 2024, a cumulative of 80% of the shares may become issuable as of March 31, 2025, and a cumulative of 100% of the shares may become issuable as of March 31, 2026. The performance criteria for 63,687 of the restricted stock units is based on the gross 2021 accident year combined ratio ("2021 AYCR%") for the period from from January 1, 2021 to the December 31 preceding each vesting date, and earns a percentage of a share of common stock per restricted stock unit, as follows: (a) 100.0% or greater 2021 AYCR% earns 0%; (b) 99.2% 2021AYCR% earns 20%; (c) 98.4% 2021 AYCR% earns 40%; (d) 97.6% 2021 AYCR% earns 60%; (e) 96.8% 2021 AYCR% earns 80%; (f) 96.0% 2021 AYCR% earns 100%; (g) 95,2% 2021 AYCR% earns 110%; (h) 94.4% 2021 AYCR% earns 120%; (i) 93.6% 2021 AYCR% earns 130%; (j) 92.8% 2021 AYCR% earns 140%; and (k) 92.0% or less 2021 AYCR% earns 150%. The performance criteria for 63,687 of the restricted stock units is based on the compound average annual growth rate ("CAAGR") in book value per share from January 1, 2021 to the December 31 preceding each vesting date and earns a percentage of a share of common stock per restricted stock unit, as follows: (i) 1.0% or less CAAGR earns 0%; (ii) 1.8% CAAGR earns 20%; (iii) 2.6% CAAGR earns 40%; (iv) 3.4% CAAGR earns 60%; (v) 4.2% CAAGR earns 80%; (vi) 5.0% CAAGR earns 100% shares; (vii) 5.8% CAAGR earns 110%; (viii) 6.6% CAAGR earns 120%; (ix) 7.4% CAAGR earns 130%; (xi) 8.2% CAAGR earns 140%; and (xii) 10.0% or greater CAAGR earns 150%. F1 · ownership.direct: Direct ownership by Mr. Schwarz. Read SEC document |
| December 21, 2021 Filed Apr 5, 2022 11:47 UTC | HALLMARK FINANCIAL SERVICES INC HALL · Entity 121391 | GrantRestricted Stock Units · Derivative | 127,374 | $0.00 | $0.00 |
DisclosureSEC source: 0001181580-22-000005 · edgar.xml · derivative · entry 5 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman & CEO · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 127,374 Underlying: Common Stock · Not disclosed shares Expires 2026-03-31 F3 · derivative.exercise_price: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. Up to 50% of the shares may become issuable as of March 31, 2024, a cumulative of 80% of the shares may become issuable as of March 31, 2025, and a cumulative of 100% of the shares may become issuable as of March 31, 2026. The performance criteria for 63,687 of the restricted stock units is based on the gross 2021 accident year combined ratio ("2021 AYCR%") for the period from from January 1, 2021 to the December 31 preceding each vesting date, and earns a percentage of a share of common stock per restricted stock unit, as follows: (a) 100.0% or greater 2021 AYCR% earns 0%; (b) 99.2% 2021AYCR% earns 20%; (c) 98.4% 2021 AYCR% earns 40%; (d) 97.6% 2021 AYCR% earns 60%; (e) 96.8% 2021 AYCR% earns 80%; (f) 96.0% 2021 AYCR% earns 100%; (g) 95,2% 2021 AYCR% earns 110%; (h) 94.4% 2021 AYCR% earns 120%; (i) 93.6% 2021 AYCR% earns 130%; (j) 92.8% 2021 AYCR% earns 140%; and (k) 92.0% or less 2021 AYCR% earns 150%. The performance criteria for 63,687 of the restricted stock units is based on the compound average annual growth rate ("CAAGR") in book value per share from January 1, 2021 to the December 31 preceding each vesting date and earns a percentage of a share of common stock per restricted stock unit, as follows: (i) 1.0% or less CAAGR earns 0%; (ii) 1.8% CAAGR earns 20%; (iii) 2.6% CAAGR earns 40%; (iv) 3.4% CAAGR earns 60%; (v) 4.2% CAAGR earns 80%; (vi) 5.0% CAAGR earns 100%; (vii) 5.8% CAAGR earns 110%; (viii) 6.6% CAAGR earns 120%; (ix) 7.4% CAAGR earns 130%; (xi) 8.2% CAAGR earns 140%; and (xii) 10.0% or greater CAAGR earns 150%. F3 · derivative.exercise_date: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. Up to 50% of the shares may become issuable as of March 31, 2024, a cumulative of 80% of the shares may become issuable as of March 31, 2025, and a cumulative of 100% of the shares may become issuable as of March 31, 2026. The performance criteria for 63,687 of the restricted stock units is based on the gross 2021 accident year combined ratio ("2021 AYCR%") for the period from from January 1, 2021 to the December 31 preceding each vesting date, and earns a percentage of a share of common stock per restricted stock unit, as follows: (a) 100.0% or greater 2021 AYCR% earns 0%; (b) 99.2% 2021AYCR% earns 20%; (c) 98.4% 2021 AYCR% earns 40%; (d) 97.6% 2021 AYCR% earns 60%; (e) 96.8% 2021 AYCR% earns 80%; (f) 96.0% 2021 AYCR% earns 100%; (g) 95,2% 2021 AYCR% earns 110%; (h) 94.4% 2021 AYCR% earns 120%; (i) 93.6% 2021 AYCR% earns 130%; (j) 92.8% 2021 AYCR% earns 140%; and (k) 92.0% or less 2021 AYCR% earns 150%. The performance criteria for 63,687 of the restricted stock units is based on the compound average annual growth rate ("CAAGR") in book value per share from January 1, 2021 to the December 31 preceding each vesting date and earns a percentage of a share of common stock per restricted stock unit, as follows: (i) 1.0% or less CAAGR earns 0%; (ii) 1.8% CAAGR earns 20%; (iii) 2.6% CAAGR earns 40%; (iv) 3.4% CAAGR earns 60%; (v) 4.2% CAAGR earns 80%; (vi) 5.0% CAAGR earns 100%; (vii) 5.8% CAAGR earns 110%; (viii) 6.6% CAAGR earns 120%; (ix) 7.4% CAAGR earns 130%; (xi) 8.2% CAAGR earns 140%; and (xii) 10.0% or greater CAAGR earns 150%. F3 · derivative.underlying_shares: Each restricted stock unit represents the right to receive shares of common stock upon satisfaction of vesting requirements and performance criteria. Up to 50% of the shares may become issuable as of March 31, 2024, a cumulative of 80% of the shares may become issuable as of March 31, 2025, and a cumulative of 100% of the shares may become issuable as of March 31, 2026. The performance criteria for 63,687 of the restricted stock units is based on the gross 2021 accident year combined ratio ("2021 AYCR%") for the period from from January 1, 2021 to the December 31 preceding each vesting date, and earns a percentage of a share of common stock per restricted stock unit, as follows: (a) 100.0% or greater 2021 AYCR% earns 0%; (b) 99.2% 2021AYCR% earns 20%; (c) 98.4% 2021 AYCR% earns 40%; (d) 97.6% 2021 AYCR% earns 60%; (e) 96.8% 2021 AYCR% earns 80%; (f) 96.0% 2021 AYCR% earns 100%; (g) 95,2% 2021 AYCR% earns 110%; (h) 94.4% 2021 AYCR% earns 120%; (i) 93.6% 2021 AYCR% earns 130%; (j) 92.8% 2021 AYCR% earns 140%; and (k) 92.0% or less 2021 AYCR% earns 150%. The performance criteria for 63,687 of the restricted stock units is based on the compound average annual growth rate ("CAAGR") in book value per share from January 1, 2021 to the December 31 preceding each vesting date and earns a percentage of a share of common stock per restricted stock unit, as follows: (i) 1.0% or less CAAGR earns 0%; (ii) 1.8% CAAGR earns 20%; (iii) 2.6% CAAGR earns 40%; (iv) 3.4% CAAGR earns 60%; (v) 4.2% CAAGR earns 80%; (vi) 5.0% CAAGR earns 100%; (vii) 5.8% CAAGR earns 110%; (viii) 6.6% CAAGR earns 120%; (ix) 7.4% CAAGR earns 130%; (xi) 8.2% CAAGR earns 140%; and (xii) 10.0% or greater CAAGR earns 150%. F1 · ownership.direct: Direct ownership by Mr. Schwarz. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 11:03 UTC | HALLMARK FINANCIAL SERVICES INC HALL · Entity 121391 | Exercise / conversionDirector Stock Option (right to buy) · Derivative | 200,000 | $0.00 Strike: $6.61 | $0.00 |
DisclosureSEC source: 0001181580-19-000005 · edgar.xml · derivative · entry 6 SCHWARZ MARK E · CIK 0001208889 · Director · Executive Chairman · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 200,000 shares Expires 2019-04-01 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F3 · price: Represents director stock options which vest in seven equal annual installments commencing April 1, 2010. F3 · derivative.exercise_date: Represents director stock options which vest in seven equal annual installments commencing April 1, 2010. F1 · ownership.direct: Direct ownership by Mr. Schwarz. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 11:03 UTC | HALLMARK FINANCIAL SERVICES INC HALL · Entity 121391 | Exercise / conversionCommon Stock | 200,000 | $6.61 | $1,322,000.00 |
DisclosureSEC source: 0001181580-19-000005 · edgar.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Executive Chairman · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 202,580 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.direct: Direct ownership by Mr. Schwarz. Read SEC document |
| March 07, 2019 Filed Mar 11, 2019 11:03 UTC | HALLMARK FINANCIAL SERVICES INC HALL · Entity 121391 | Tax withholdingCommon Stock | 128,225 | $10.31 | $1,321,999.75 |
DisclosureSEC source: 0001181580-19-000005 · edgar.xml · nonDerivative · entry 1 SCHWARZ MARK E · CIK 0001208889 · Director · Executive Chairman · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,580 F1 · ownership.direct: Direct ownership by Mr. Schwarz. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 16:58 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | Conversion4% Convertible Senior Notes due 2022, Par $100 · Derivative | Not disclosed | $0.00 Strike: $2.00 | $300,000.00 |
DisclosureSEC source: 0001181580-17-000038 · edgar.xml · derivative · entry 3 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 150,000 shares Expires 2022-02-15 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: 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. Read SEC document |
| December 15, 2017 Filed Dec 19, 2017 16:58 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | ConversionCommon Stock | 150,000 | $2.00 | $300,000.00 |
DisclosureSEC source: 0001181580-17-000038 · edgar.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners L.P. Disclosed balance after: 2,989,453 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F1 · ownership.nature: 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. Read SEC document |
| September 27, 2017 Filed Sep 27, 2017 21:13 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | SaleCommon Stock | 178,540 | $1.40 | $249,956.00 |
DisclosureSEC source: 0001181580-17-000028 · edgar.xml · nonDerivative · entry 4 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners L.P. Disclosed balance after: 2,839,453 F1 · ownership.nature: 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. Read SEC document |
| September 25, 2017 Filed Sep 27, 2017 21:13 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | SaleCommon Stock | 500,000 | $1.40 | $700,000.00 |
DisclosureSEC source: 0001181580-17-000028 · edgar.xml · nonDerivative · entry 3 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners L.P. Disclosed balance after: 3,017,993 F1 · ownership.nature: 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. Read SEC document |
| September 14, 2017 Filed Sep 27, 2017 21:13 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | OtherCommon Stock | 1,788,220 | $1.40 | $2,503,508.00 |
DisclosureSEC source: 0001181580-17-000028 · edgar.xml · nonDerivative · entry 2 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners L.P. Disclosed balance after: 3,517,993 F1 · ownership.nature: 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. Read SEC document |
| March 16, 2017 Filed Mar 16, 2017 18:41 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | Sale4% Convertible Senior Notes due 2022, Par $100 · Derivative | Not disclosed | $219,400.00 Strike: $2.00 | $219,400.00 |
DisclosureSEC source: 0001181580-17-000016 · edgar.xml · derivative · entry 3 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 109,700 shares Expires 2022-02-15 F1 · ownership.direct: 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. Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 16:35 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | Purchase4% Convertible Senior Notes due 2022, Par $100 · Derivative | Not disclosed | $1,304,400.00 Strike: $2.00 | $1,304,400.00 |
DisclosureSEC source: 0001181580-17-000008 · edgar.xml · derivative · entry 4 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · Directly owned by Newcastle Partners L.P. Disclosed balance after: Not disclosed Underlying: Common Stock · 652,200 shares Expires 2022-02-15 F1 · ownership.direct: 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. Read SEC document |
| March 03, 2017 Filed Mar 7, 2017 16:35 UTC | RAVE RESTAURANT GROUP, INC. RAVE · Entity 7274 | Purchase4% Convertible Senior Notes due 2022, Par $100 · Derivative | Not disclosed | $27,800.00 Strike: $2.00 | $27,800.00 |
DisclosureSEC source: 0001181580-17-000008 · edgar.xml · derivative · entry 3 SCHWARZ MARK E · CIK 0001208889 · Director · Chairman · 10% owner NEWCASTLE PARTNERS L P · CIK 0000932334 · 10% owner NEWCASTLE CAPITAL MANAGEMENT LP · CIK 0001251296 · 10% owner NEWCASTLE CAPITAL GROUP LLC · CIK 0001251293 · 10% owner NCM SERVICES, INC. · CIK 0001586784 · 10% owner Schwarz 2012 Family Trust · CIK 0001586760 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: Not disclosed Underlying: Common Stock · 13,900 shares Expires 2022-02-15 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.