-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, AJDsnWqnq0fusInd4gahiSxKoU3TFCm++DSTfc06GMr9hT4gX+rXbXEi6YFdh691 hLbea+fvCY/v0l7ZKUma3A== 0000916641-01-000221.txt : 20010226 0000916641-01-000221.hdr.sgml : 20010226 ACCESSION NUMBER: 0000916641-01-000221 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010223 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CODDLE CREEK FINANCIAL CORP CENTRAL INDEX KEY: 0001045944 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 562045998 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-53135 FILM NUMBER: 1552545 BUSINESS ADDRESS: STREET 1: PO BOX 117 STREET 2: 347 NORTH MAIN STREET CITY: MOORESVILLE STATE: NC ZIP: 28115 BUSINESS PHONE: 7046644888 MAIL ADDRESS: STREET 1: PO BOX 117 347 NORTH MAIN STREET STREET 2: PO BOX 117 347 NORTH MAIN STREET CITY: MOORESVILLE STATE: NC ZIP: 28115 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EMLOYEE STOCK OWNERSHIP PLAN & TR OF MOORESVILLE SAVINGS BK CENTRAL INDEX KEY: 0001069364 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 562062324 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: P O BOX 1117 28115-1117 STREET 2: 347 NORTH MAIN ST CITY: MOORESVILLE STATE: NC ZIP: 28115-2453 BUSINESS PHONE: 7046644888 MAIL ADDRESS: STREET 1: EMPLOYEE STOCK OWNERSHIP PLAN STREET 2: P O BOX 1117 28115-1117 CITY: MOORESVILLE STATE: NC ZIP: 28115-2453 SC 13G 1 0001.txt SCHEDULE 13 G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13 G Under the Securities Exchange Act of 1934 (Amendment No. 1) CODDLE CREEK FINANCIAL CORP. ------------------------------------------ (Name of Issuer) Common Stock, no par value ---------------------------------------- (Title of Class of Securities) 191891 10 0 ----------------------------------- (CUSIP Number) December 31, 1998 and 2000; September 17, 1999 ------------------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [_] Rule 13d-1(c) [_] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages) Page 1 of 6 Pages - ------------------------- CUSIP No. 143874 10 5 - ------------------------- - ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only), Employee Stock Ownership Plan and Trust of Mooresville Savings Bank, Inc., SSB 56-2062324 - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) 2. (a) [_] (b) [_] - ------------------------------------------------------------------------------ SEC USE ONLY 3. - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4. North Carolina - ------------------------------------------------------------------------------ SOLE VOTING POWER 5. NUMBER OF 57,956 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6. OWNED BY 17,247 ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7. REPORTING 57,956 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH: 8. 17,247 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9. 75,198 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10. (See Instructions) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11. 10.8% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (See Instructions) 12. EP - ------------------------------------------------------------------------------ Item 1(a). Name of Issuer: - --------- ---------------------------- Coddle Creek Financial Corp. Item 1(b). Address of Issuer's Principal Executive Offices: - --------- ----------------------------------------------- 347 North Main Street Post Office Box 1117 (28115-1117) Mooresville, North Carolina 28115-2453 Item 2(a). Name of Person Filing: - --------- --------------------- Employee Stock Ownership Plan and Trust of Mooresville Savings Bank, Inc., SSB Item 2(b). Address of Principal Business Office: - --------- ------------------------------------ 347 North Main Street Post Office Box 1117 (28115-1117) Mooresville, North Carolina 28115-2453 Item 2(c). Citizenship: - --------- ----------- Not Applicable Item 2(d). Title of Class of Securities: - --------- ---------------------------- Common Stock, no par value Item 2(e). CUSIP Number: - --------- ------------ 191891 10 0 Item 3. If this statement is filed pursuant to (S)(S)240.13d-1(b) or - ------ ------------------------------------------------------------ 240.13d-2(b) or (c), check whether the person filing is a: ---------------------------------------------------------- (a) [_] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [_] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [_] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [_] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). Page 3 of 6 Pages (e) [_] An investment advisor in accordance with (S)240.13d- 1(b)(1)(ii)(E); (f) [X] An employee benefit plan or endowment fund in accordance with (S)240.13d-1(b)(1)(ii)(F); (g) [_] A parent holding company or control person in accordance with (S)240.13d-1(b)(1)(ii)(G); (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [_] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [_] Group, in accordance with (S)240.13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(e), check this box. [_] Item 4. Ownership: - ------ --------- (a) Amount Beneficially Owned: 75,198 shares (b) Percent of Class: 10.8% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 57,956 (ii) shared power to vote or to direct the vote: 17,247 (iii) sole power to dispose or to direct the disposition of: 57,956 (iv) shared power to dispose or to direct the disposition of: 17,247 Item 5. Ownership of Five Percent or Less of a Class: - ------ -------------------------------------------- Not applicable Item 6. Ownership of More Than Five Percent on Behalf of Another Person: - ------ --------------------------------------------------------------- Not applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the - ------ ---------------------------------------------------------------------- Security Being Reported on By the Parent Holding Company: -------------------------------------------------------- Page 4 of 6 Pages Not applicable Item 8. Identification and Classification of Members of the Group: - ------ --------------------------------------------------------- Not applicable Item 9. Notice of Dissolution of Group: - ------ ------------------------------ Not applicable Item 10. Certification: - ------- ------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 5 of 6 Pages SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Date: February 22, 2001 /s/ Donald R. Belk ------------------------------------------- Donald R. Belk, not individually but solely as trustee under that certain Mooresville Savings Bank, Inc., SSB Employee Stock Ownership Trust effective as of December 5, 1997 by and between the above signed and Mooresville Savings Bank, Inc., SSB /s/ ------------------------------------------- Jack G. Lawler, not individually but solely as trustee under that certain Mooresville Savings Bank, Inc., SSB Employee Stock Ownership Trust effective as of December 5, 1997 by and between the above signed and Mooresville Savings Bank, Inc., SSB /s/ Don E. Mills, Jr. ------------------------------------------- Don E. Mills, Jr., not individually but solely as trustee under that certain Mooresville Savings Bank, Inc., SSB Employee Stock Ownership Trust effective as of December 5, 1997 by and between the above signed and Mooresville Savings Bank, Inc., SSB /s/ Claude U. Voils, Jr. ------------------------------------------- Claude U. Voils, Jr., not individually but solely as trustee under that certain Mooresville Savings Bank, Inc., SSB Employee Stock Ownership Trust effective as of December 5, 1997 by and between the above signed and Mooresville Savings Bank, Inc., SSB Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----