U.S. 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(f) of the Investment Company Act of 1940
[_] Check 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*
Fraze, Patricia R.
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(Last) (First) (Middle)
300 Crescent Court, Suite 1300
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(Street)
Dallas, Texas 75201
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(City) (State) (Zip)
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2. Issuer Name and Ticker or Trading Symbol
Westwood Holdings Group, Inc. ("WHG")
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3. IRS Identification Number of Reporting Person, if an Entity (Voluntary)
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4. Statement for Month/Year
10/31/02
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5. If Amendment, Date of Original (Month/Year)
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6. Relationship of Reporting Person to Issuer
(Check all applicable)
[_] Director [_] 10% Owner
[X] Officer (give title below) [_] Other (specify below)
Executive Vice President of Westwood Management Corp.
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7. Individual or Joint/Group Filing (Check applicable line)
[X] Form filed by one Reporting Person
[_] Form filed by more than one Reporting Person
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Table I -- Non-Derivative Securities Acquired, Disposed of,
or Beneficially Owned
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6.
4. 5.
Owner-
Securities Acquired (A) or Amount of
ship
3. Disposed of (D) Securities
Form: 7.
Transaction (Instr. 3, 4 and 5)
Beneficially Direct Nature of
2. Code ------------------------------- Owned at
End (D) or Indirect
1. Transaction (Instr. 8) (A) of Month
Indirect Beneficial
Title of Security Date ------------ Amount or Price (Instr. 3
(I) Ownership
(Instr. 3) (mm/dd/yy) Code V (D) and 4)
(Instr.4) (Instr. 4)
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Common Stock 10/31/02 P 3,000 A $13.60 32,147 D
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* If the Form is filed by more than one Reporting Person, see Instruction
4(b)(v).
Reminder: Report on a separate line for each class of securities beneficially
owned directly or indirectly.
(Print or Type Response) (Over)
FORM 4 (continued)
Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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10.
9.
Owner-
Number ship
of
Form
2.
Deriv- of
Conver- 5. 7.
ative Deriv- 11.
sion Number of Title and Amount
Secur- ative Nature
or Derivative 6. of Underlying 8.
ities Secur- of
Exer- 4. Securities Date Securities Price
Bene- ity: In-
cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of
ficially Direct direct
Price Trans- action or Disposed Expiration Date ---------------- Deriv-
Owned (D) or Bene-
1. of action Code of(D) (Month/Day/Year) Amount ative at
End In- ficial
Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of
direct Owner-
Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity
Month (I) ship
Security Secur- Day/ ------ ------------ Exer- tion of (Instr.
(Instr. (Instr. (Instr.
(Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4)
4) 4)
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Explanation of Responses:
/s/ William R. Hardcastle, Jr. 11/01/02
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**Signature of Reporting Person Date
as Attorney-in-fact
** Intentional misstatements or omissions of facts constitute Federal
Criminal Violations.
See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed.
If space provided is insufficient, see Instruction 6 for procedure.
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