0001437749-13-001557.txt : 20130214 0001437749-13-001557.hdr.sgml : 20130214 20130214151702 ACCESSION NUMBER: 0001437749-13-001557 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BUSSE KEITH E CENTRAL INDEX KEY: 0001195948 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 7575 W. JEFFERSON BLVD. CITY: FORT WAYNE STATE: IN ZIP: 46804 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TOWER FINANCIAL CORP CENTRAL INDEX KEY: 0001072847 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 352051170 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78476 FILM NUMBER: 13612719 BUSINESS ADDRESS: STREET 1: 116 E BERRY ST STREET 2: N/A CITY: FORT WAYNE STATE: IN ZIP: 46802 BUSINESS PHONE: 260-427-7000 MAIL ADDRESS: STREET 1: 116 E BERRY ST STREET 2: N/A CITY: FORT WAYNE STATE: IN ZIP: 46802 SC 13G/A 1 busse_sc13ga4-021413.htm SCHEDULE 13G AMENDMENT NO. 4 busse_sc13ga4-021413.htm
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549

SCHEDULE 13G
(Rule 13d-102)

INFORMATION TO BE INCLUDED IN THE STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b)

(Amendment No. 4)*

TOWER FINANCIAL CORPORATION
(Name of Issuer)

Common Stock, No Par Value
(Title of Class of Securities)

891769101
(CUSIP Number)

      December 31, 2012     
(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)
*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).
 
 
 
 

1
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only)
Keith E. Busse
 
2
 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a)o
(b)o
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
State of Indiana, United States of America
 
NUMBER OF
 
 SHARES
 
 BENEFICIALLY
 
 OWNED BY EACH
 
REPORTING
 
 PERSON WITH
5
SOLE VOTING POWER
600,000
 
6
SHARED VOTING POWER
0
 
7
SOLE DISPOSITIVE POWER
600,000
 
8
SHARED DISPOSITIVE POWER
0
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
600,000
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES o
 
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
12.67%
 
12
TYPE OF REPORTING PERSON
Individual
 
 
 
 
 
 
Item 1(a).
Name of Issuer:
Tower Financial Corporation
 
Item 1(b).
Address of Issuer's Principal Executive Offices:
116 East Berry Street
Fort Wayne, IN 46802

Item 2(a).
Name of Persons Filing
 
Keith E. Busse

Item 2(b).
Address of Principal Business Office
 
2730 Eggeman Road
 
Fort Wayne, IN 46814

Item 2(c).
Citizenship
United States of America

Item 2(d).
Title of Class of Securities:
Common Stock, No Par Value

Item 2(e).
CUSIP Number:
 
891769101

Item 3.
If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b), check whether the person filing is a:

 
(a)
o Broker or Dealer registered under Section 15 of the Act

 
(b)
o Bank as defined in section 3(a)(6) of the Act

 
(c)
o Insurance Company as defined in section 3(a)(19) of the Act

 
(d)
o Investment Company registered under section 8 of the Investment Company Act

 
(e)
o Investment Adviser registered under section 203 of the Investment Advisers Act of 1940

 
(f)
o Employee Benefit Plan or endowment Fund in accordance with Rule 13d-1(b)(1)(ii)(F);

 
(g)
o Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G);

 
(h)
o A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act;

 
(i)
o 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;

 
(j)
o Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

 
 
 
 
Item 4.
Ownership.

 
(a)
Amount beneficially owned:
600,000

 
(b)
Percent of class:
 
12.67%

 
c)
Number of shares to which such person has:

 
(i)
Sole power to vote or direct the vote:  600,000

 
(ii)
Shared power to vote or direct the vote:  600,000

 
(iii)
Sole power to dispose or to direct the disposition of:  0

 
(iv)
Shared power to dispose of or direct the disposition of:  0
 
Item 5.
Ownership of Five Percent or Less of a Class.
 
 
Item 6.
Ownership of More than Five Percent on Behalf of Another Person.
 
 
Item 7.
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported By the Parent Holding Company.
 
 
Item 8.
Identification and Classification of Members of the Group.
 
 
Item 9.
Notice of Dissolution of a Group.
 
 
Item 10.
Certification.

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.
 
 
 
 
 
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.

Dated:
February 14, 2013
 
   
     
 
By:
/s/ Keith E. Busse.
   
Keith E. Busse