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SEC 1147 POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT
(9-0) REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
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OMB APPROVAL
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UNITED STATES OMB Number. 3235-0101
SECURITIES AND EXCHANGE COMMISSION ---------------------------------------
WASHINGTON, D.C. 20549 Expires: August 31, 2003
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Estimated average burden
Hours per response..................2.0
FORM 144 ---------------------------------------
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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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CUSIP NUMBER
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. 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 (b)IRS IDENT. NO. (c)RELATIONSHIP (d)ADDRESS STREET CITY STATE ZIP CODE
THE SECURITIES 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
Title Of The Name And Address Of Each Broker Through Whom ONLY
Class Of The Securities Are To Be Offered Or Each Market -----------------
Securities Maker Who Is Acquiring The Securities Broker-Dealer
To Be Sold File Number
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Common Raymond James & Associates
Stock 880 Carillon Parkway
St. Petersburg, FL 33716
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(c) (d) (e) (f) (g)
Number Of Aggregate Market Number Of Approximate Name Of Each
Shares Or Value Shares Or Date Of Sale Securities
Other Units To (See Instr. 3(d)) Other Units (See Instr. Exchange
Be Sold Outstanding 3(f)) (See Instr.
(See Instr. (See Instr. (MO. DAY YR.) 3(g))
3(c)) 3(e))
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362,438 $8,857,078.63 49,634,790 11/21/00 NYSE
(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
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TABLE 1 -- 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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Title Of Date You Nature Of Name Of Person Amount of Date Of Nature Of
The Class Acquired Acquisition Transaction From Whom Acquired Securities Acquired Payment Payment
(If gift, also give
date donor acquired)
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Common 05/24/96 Acquisition of LDG HCC Insurance 3,941,565 05/24/96 Exchange of
Stock Management Company, Inc. Holdings, 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 3 months by the person for whose
account the securities are to be sold.
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Amount Of
Name And Address Of Seller Title Of Securities Sold Date Of Sale Securities Sold Gross Proceeds
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N/A
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REMARKS: Note 1: Based upon NYSE Closing Price on 11/20/00 of $24.4375.
Note 2: Shares outstanding as of 11/03/00.
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.
November 21, 2000 /S/ Stephen J. Lockwood
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Date of Notice (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: INTENTIONAL MISSTATEMENTS OR OMISSION OF FACTS CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
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