-----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, ScVL3etr8eZa6DoSRM7RUEyTSsdtg0EOqqAV3APeGOIT3sVdlf6A4/Vb3LKhlziE 3BckuDGIVsYhJDJMjQKKFg== 0000909654-07-000351.txt : 20070214 0000909654-07-000351.hdr.sgml : 20070214 20070214153828 ACCESSION NUMBER: 0000909654-07-000351 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 GROUP MEMBERS: MICHAEL L. MIDDLETON GROUP MEMBERS: SARA MIDDLETON FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MIDDLETON MICHAEL L CENTRAL INDEX KEY: 0001166812 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3035 LEONARDTOWN RD CITY: WALDORF STATE: MD ZIP: 20604 BUSINESS PHONE: 3018430854 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRI COUNTY FINANCIAL CORP /MD/ CENTRAL INDEX KEY: 0000855874 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 521652138 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50051 FILM NUMBER: 07619712 BUSINESS ADDRESS: STREET 1: 3035 LEONARDTOWN RD STREET 2: P O BOX 38 CITY: WALDORF STATE: MD ZIP: 20601 BUSINESS PHONE: 3016455601 MAIL ADDRESS: STREET 1: 3035 LEONARDTOWN ROAD CITY: WALDORF STATE: MD ZIP: 20601 SC 13G/A 1 tricounty13gamiddlfeb-07.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC (20549) SCHEDULE 13G/A UNDER THE SECURITIES ACT OF (1934) (AMENDMENT NO. 5) (1) TRI-COUNTY FINANCIAL CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.01 PAR VALUE - -------------------------------------------------------------------------------- (Title of Class of Securities) 89546L 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) DECEMBER 31, 2006 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /_/ Rule 13d-1(b) /X/ Rule 13d-1(c) /_/ Rule 13d-1(d) - --------------- (1) 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). Page 1 of 6 pages - -------------------------------------------------------------------------------- CUSIP NO. 89546L 10 7 13G/A PAGE 2 OF 6 PAGES - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS: MICHAEL L. MIDDLETON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) /_/ (b) /X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 106,794 (NOT INCLUDING 77,739 NUMBER OF SHARES SUBJECT TO OPTIONS) SHARES ----------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 53,445 (1) OWNED BY EACH ----------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER 106,794 (2) PERSON WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 53,445 (1) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 237,978 (INCLUDES 77,739 SHARES SUBJECT TO OPTIONS) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /_/ - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.7% (3) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- (1) Consists of shares held in joint tenancy by the reporting person and his spouse. (2) Does not include 77,739 shares subject to options or 38,635 shares allocated to the reporting person's account under the Community Bank of Tri-County Employee Stock Ownership Plan. (3) Based on 2,650,308 shares outstanding as of December 31, 2006, plus 77,739 shares that the reporting person may acquire within 60 days by exercising stock options. - -------------------------------------------------------------------------------- CUSIP NO. 89546L 10 7 13G/A PAGE 3 OF 6 PAGES - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS: SARA MIDDLETON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) /_/ (b) /X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 73,563 NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 53,445 (1) OWNED BY EACH ----------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER 73,563 PERSON WITH ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 53,445 (1) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 127,008 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES /_/ - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.8% (2) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- (1) Consists of shares held in joint tenancy by the reporting person and her spouse. (2) Based on 2,650,308 shares outstanding as of December 31, 2006. ------------------------------ PAGE 4 OF 6 PAGES ------------------------------ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ITEM 1 (a). NAME OF ISSUER: Tri-County Financial Corporation (b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 3035 Leonardtown Road, Waldorf, Maryland 20604 ITEM 2 (a). NAMES OF PERSONS FILING: Michael L. and Sara Middleton (b). ADDRESS OF PRINCIPAL BUSINESS OFFICE: 3035 Leonardtown Road, Waldorf, Maryland 20604 (c). CITIZENSHIP: United States of America (d). TITLE OF CLASS OF SECURITIES: Common Stock, $.01 par value. (e). CUSIP NUMBER: 89546L 10 7 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: Not applicable. This Statement is being filed pursuant to Rule 13d-1(c). ITEM 4. OWNERSHIP. (a) AMOUNT BENEFICIALLY OWNED: See Row 9 of the second part of ------------------------- the cover page for each reporting person. (b) PERCENT OF CLASS: See Row 11 of the second part of the ---------------- cover page for each reporting person. (c) NUMBER OF SHARES AS TO WHICH THE PERSON HAS: See Rows 5, ------------------------------------------- 6, 7, and 8 of the second part of the cover page for each reporting person. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: /_/ ------------------------------ PAGE 5 OF 6 PAGES ------------------------------ 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. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. See Exhibit A ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATIONS. By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above 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 6 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. /s/ Michael L. Middleton February 14, 2007 ----------------------------- Michael L. Middleton /s/ Sara Middleton February 14, 2007 ----------------------------- Sara Middleton EXHIBIT A --------- Members of the group: Michael L. Middleton Sara Middleton EXHIBIT 99 ---------- AGREEMENT RELATING TO FILING OF ------------------------------- JOINT STATEMENT PURSUANT TO --------------------------- RULE 13d-1(k) UNDER ------------------- THE SECURITIES EXCHANGE ACT OF 1934 ----------------------------------- The Undersigned agree that this Amendment No. 5 to the Statement of Schedule 13G to which this Agreement is attached is filed on behalf of each of them. Date: February 14, 2007 By: /s/ Michael L. Middleton -------------------------------- Michael L. Middleton By: /s/ Sara Middleton -------------------------------- Sara Middleton -----END PRIVACY-ENHANCED MESSAGE-----