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UNITED STATES
SECURITIES AND EXCHANGE
COMMISSION
Washington, DC 20549
FORM 4
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934,
Section 17(a) of the Public Utility Holding
Company Act of 1935
or Section 30(h) of the Investment Company Act of
1940
| o | Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
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| 1. | Name and Address of
Reporting Person* (Last, First, Middle) |
2. | Issuer Name and Ticker or Trading Symbol | 5. | Relationship of Reporting
Person(s) to Issuer (Check All Applicable) | ||||||||
| Moore, Jim, W.
|
FirstCity Financial Corporation (FCFC)
|
o
Director o 10% Owner |
x
Officer (give title below) x Other (specify below) | ||||||||||
| 6400 Imperial Drive
(Street) |
3. | Date of Earliest
Transaction (MM/DD/YYYY) |
Officer: Chief Operating Officer Other:
Executive Vice President
| ||||||||||
| 11/14/2008
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6. | Individual or Joint/Group
Filing (Check Applicable Line) | |||||||||||
| Waco, TX 76712
(City)
(State)
(Zip) |
4. | If Amendment, Date Original
Filed (MM/DD/YYYY) |
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| Reminder: | Report on a separate line for each class of securities beneficially owned directly or indirectly. | |
| * | If the form is filed by more than one reporting person, see instruction 4(b)(v). | |
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| Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||||||||||||||||||
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| 1. | Title of Security (Instr. 3) |
2. | Transaction Date (MM/DD/YYYY) |
2a. | Deemed Execution Date, if any. (MM/DD/YYYY) |
3. | Transaction Code (Instr. 8) |
4. | Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
5. | Amount of Securities Beneficially Owned Following Reported Transactions(s) (Instr. 3 and 4) |
6. | Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
7. | Nature
of Indirect Beneficial Ownership (Instr. 4) | |||||||||||
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| Code | V | Equity Swap | Amount | (A) or (D) |
Price | |||||||||||||||||||||
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| Common Stock | 11/14/2008 | P | No | 10000 | A | $2.20 | 28000 | D | ||||||||||||||||||
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Page 2 Page 3 Explanation of Responses:
Remarks:
Page 4
Table II - Derivative
Securities Acquired, Disposed of, or Beneficially
Owned
(e.g., puts, calls, warrants, options,
convertible securities)
1.
Title of
Derivative
Security
(Instr. 3)2.
Conversion or Exercise
Price of
Derivative
Security
3.
Transaction
Date
(MM/DD/YYYY)3a.
Deemed Execution
Date, if
any
(MM/DD/YYYY)4.
Transaction
Code
(Instr.
8)5.
Number of
Derivative
Securities
Acquired (A)
or
Disposed of (D)
(Instr. 3, 4
and 5)
Code
V
Equity
Swap
Amount
(A)/(D)
Table II - Derivative
Securities Acquired, Disposed of, or Beneficially Owned -
Continued
(e.g., puts, calls, warrants, options, convertible
securities)
6.
Date Exercisable and
Expiration
Date
(MM/DD/YYYY)7.
Title and Amount
of Underlying
Securities
(Instr. 3 and 4)8.
Price of
Derivative
Security
(Instr. 5)9.
Number of Derivative
Securities
Beneficially Owned
Following Reported Transaction(s)
(Instr.
4)10.
Ownership Form of
Derivative
Security:
Direct (D) or Indirect (I)
(Instr. 4)11.
Nature
of
Indirect
Beneficial
Ownership
(Instr.
4)
Date
ExercisableExpiration
Date
Title
Amount or
Number
of
Shares
Jim W. Moore
11/17/2008
**Signature of Reporting Person
Date
**
Intentional misstatements or omissions of facts
constitute Federal Criminal Violations. See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).