Form 144

 

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UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM 144

NOTICE OF PROPOSED SALE OF SECURITIES

PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933

 

ATTENTION:   Transmit for filing 3 copies of this form concurrently with either placing an order with a broker to execute sale or executing a sale directly with a market maker.

 

1(a) NAME OF ISSUER (Please type or print)

        WESTWOOD HOLDINGS GROUP, INC.

  

(b) IRS IDENT. NO.

        75-2969997

  

(c) S.E.C. FILE NO.

        001-31234

    
1(d) ADDRESS OF ISSUER    STREET   

CITY                

   STATE              ZIP CODE       (e) TELEPHONE NO.
                 AREA CODE     NUMBER
        200 CRESCENT COURT, SUITE 1200                           DALLAS     TX      75201           214            756-6900

2(a) NAME OF PERSON FOR WHOSE ACCOUNT
        THE SECURITIES ARE TO BE SOLD

 

        BRIAN O. CASEY(1)

         

(b) RELATIONSHIP TO         ISSUER

CHIEF EXECUTIVE OFFICER

  

(c) ADDRESS        STREET        CITY         STATE

 

200 CRESCENT COURT, SUITE 1200 DALLAS TX

     

ZIP CODE

 

75201

 

(1) The shares being reported herein are held by trust accounts in favor of Mr. Casey’s children.

INSTRUCTION: The person filing this notice should contact the issuer to obtain the I.R.S. Identification Number and the S.E.C. File Number.

 

3(a)                

    (b)         SEC USE ONLY    (c)    (d)   (e)                                 (f)                               (g)

Title of the

Class of

Securities

To Be Sold

   

Name and Address of Each Broker

Through Whom the Securities are

to be Offered or Each Market

Maker who is Acquiring

the Securities

   

Broker-Dealer

File Number

   

Number of Shares

or Other Units

To Be Sold

(See Instr. 3(c))

   

Aggregate

Market Value

(See Instr. 3(d))

  

Number of Shares

or Other Units

Outstanding

(See Instr. 3(e))

   

Approximate

Date of Sale

(See Instr. 3(f))

(MO. DAY YR.)

   

Name of Each

Securities

Exchange

(See Instr. 3(g))

               
COMMON STOCK   

Pulse Trading

2 Liberty Square

2nd Floor

Boston, MA 02109

         3,900   

$141,843

(December 1, 2010)

  

7,462,917

(October 19, 2010)

    December 2, 2010    NYSE
               
                                   
               
                                   

 

INSTRUCTIONS:

1.

   (a)   Name of issuer
  (b)   Issuer’s I.R.S. Identification Number
  (c)   Issuer’s S.E.C. file number, if any
 

(d)

(e)

  

Issuer’s address, including zip code

Issuer’s telephone number, including area code

2.

   (a)   Name of person for whose account the securities are to be sold
  (b)   Such person’s relationship to the issuer (e.g., officer, director, 10% stockholder, or member of immediate family of any of the foregoing)
  (c)   Such person’s address, including zip code
3.   (a)   Title of the class of securities to be sold
  (b)   Name and address of each broker through whom the securities are intended to be sold
  (c)   Number of shares or other units to be sold (if debt securities, give the aggregate face amount)
  (d)   Aggregate market value of the securities to be sold as of a specified date within 10 days prior to the filing of this notice
  (e)  

Number of shares or other units of the class outstanding, or if debt securities the face amount thereof outstanding, as shown by the most recent report or statement published by the issuer

Approximate date on which the securities are to be sold

  (f)  
  (g)   Name of each securities exchange, if any, on which the securities are intended to be sold

TABLE I—SECURITIES TO BE SOLD

Furnish the following information with respect to the acquisition of the securities to be sold

and with respect to the payment of all or any part of the purchase price or other consideration therefor:

 

Title of

  the Class  

   

Date you  

Acquired  

    Nature of Acquisition Transaction   

Name of Person from Whom Acquired

(If gift, also give date donor acquired)

    Amount of
Securities Acquired		   

Date of  

Payment  

    Nature of Payment
Common Stock    12/14/01    Purchase    SWS Group, Inc.    3,900    12/14/01    Promissory Note(2)
INSTRUCTIONS:    If the securities were purchased and full payment therefor was not made in cash at the time of purchase, explain in the table or in a note thereto the nature of the consideration given. If the consideration consisted of any note or other obligation, or if payment was made in installments describe the arrangement and state when the note or other obligation was discharged in full or the last installment paid.   

(2)    Mr. Casey acquired the shares being reported herein from SWS Group, Inc. (Westwood Holdings Group, Inc.’s former parent company) pursuant to the terms of a Stock Purchase Agreement. The consideration for these shares was in the form of a promissory note that was fully discharged by Mr. Casey on August 26, 2003.

 

 

TABLE II—SECURITIES SOLD DURING THE PAST 3 MONTHS

 

Furnish the following information as to all securities of the issuer sold during the past 3 months by the person for whose account the securities are to be sold.

 

Name and Address of Seller   Title of Securities Sold   Date of Sale       Amount of    
Securities Sold     		   Gross Proceeds    
         
                 

REMARKS:

 

INSTRUCTIONS:

See the definition of “person” in paragraph (a) of Rule 144. Information is to be given not only as to the person for whose account the securities are to be sold but also as to all other persons included in that definition. In addition, information shall be given as to sales by all persons whose sales are required by paragraph (e) of Rule 144 to be aggregated with sales for the account of the person filing this notice.

  

ATTENTION:

The person for whose account the securities to which this notice relates are to be sold hereby represents by signing this notice that he does not know any material adverse information in regard to the current and prospective operations of the Issuer of the securities to be sold which has not been publicly disclosed.

December 2, 2010

DATE OF NOTICE

  

/s/ Brian O. Casey

(SIGNATURE)

 

DATE OF PLAN ADOPTION OR GIVING OF INSTRUCTION,

IF RELYING ON RULE 10B5-1

  

The notice shall be signed by the person for whose account the securities are to be sold. At least one copy of the notice shall be manually signed.

Any copies not manually signed shall bear typed or printed signatures.