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SEC 1147 POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION
(9-0) CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM
DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
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UNITED STATES -----------------------------
SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
WASHINGTON, D.C. 20549 -----------------------------
OMB Number. 3235-0101
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Expires: August 31, 2003
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Estimated average burden
FORM 144 Hours per response.......2.0
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NOTICE OF PROPOSED SALE OF SECURITIES SEC USE ONLY
PURSUANT TO RULE 144 UNDER THE SECURITIES ACT OF 1933 -----------------------------
DOCUMENT SEQUENCE NO.
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ATTENTION: Transmit for filing 3 copies of this form concurrently with either placing an order with a CUSIP NUMBER
broker to execute sale or executing a sale directly with a market maker.
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WORK LOCATION
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1(a) NAME OF ISSUER (Please type or print) (b) IRS IDENT. NO. (c) S.E.C. FILE NO.
HCC Insurance Holdings, Inc. 76-0336636 0-20766
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1(d) ADDRESS OF ISSUER STREET CITY STATE ZIP CODE (e) TELEPHONE
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AREA CODE NUMBERS
13403 Northwest Freeway Houston Texas 77040 713 690-7300
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2(a) NAME OF PERSON FOR WHOSE ACCOUNT THE SECURITIES (b) IRS IDENT. NOT. (c) RELATIONSHIP (d) ADDRESS STREET CITY STATE ZIP CODE
ARE TO BE SOLD TO ISSUER
Stephen J. Lockwood Director 27 Congress Street, Suite 108, Salem,
MA 01970
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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.
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3(a) (b) SEC USE (c) (d) (e) (f) (g)
Title Of The Name And Address Of Each Broker Through Whom ONLY Number Of Aggregate Number Of Approximate Name Of Each
Class Of The Securities Are To Be Offered Or Each ------- Shares Or Market Value Shares Or Date Of Sale Securities
Securities Market Maker Who Is Acquiring The Securities Broker- Other Units (See Instr. Other Units (See Instr. Exchange
To Be Sold Dealer To Be Sold 3(d)) Outstanding 3(f)) (See Instr.
File (See Instr. (See Instr. (MO. DAY YR.) 3(g))
Number 3(c)) 3(e))
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Common Raymond James & Associates
Stock 880 Carillon Parkway 250,000 $7,000,000 59,026,563 10/12/01 NYSE
St. Petersburg, FL 33716 (Note 1) (Note 2)
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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) Issuer's address, including zip code
(e) 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 I.R.S. identification number, if such person is an entity
(c) Such person's relationship to the issuer (e.g., officer, director, 10%
stockholder, or member of immediate family of any of the foregoing)
(d) 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
(f) Approximate date on which the securities are to be sold
(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:
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Name Of Person From
Whom Acquired Amount Of
Title O f Date you Nature of Acquisition (If gift, also give Securities Date Of
The Class Acquired Transaction date donor acquired) Acquired Payment Nature of Payment
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Common Stock 05/24/96 Acquisition of LDG HHC HCC Insurance Holdings, Inc. 3,941,565 05/24/96 Exchange of
Management Company, Inc. private company
stock pursuant to
merger
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INSTRUCTIONS:
1. 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. If within two years after the acquisition of the securities the person for
whose account they are to be sold had any short positions, put or other
option to dispose of securities referred to in paragraph (d)(3) of Rule 144,
furnish full information with respect thereto.
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TABLE II--SECURITIES SOLD DURING THE PAST 3 MONTHS
Furnish the following information as to all securities of the issuer
sold during the past three months by the person for whose
account the securities are to be sold.
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Name and Address of Seller Title of Securities Sold Date of Sale Amount of Gross Proceeds
Securities
Sold
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N/A
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REMARKS: Note 1: Based upon NYSE Closing Price on October 11, 2001 of $28.00.
Note 2: Shares outstanding as of August 6, 2001.
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.
October 12, 2001
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Date of 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.
/s/ Stephen L. Lockwood
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(Signature)
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.
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ATTENTION: INTERNATIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL
CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001).
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