-----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, DNVLr9xDo2N30WpgtHq3qk+KZIG/H946qfeRV1SXRguNzLQ4TJQG1QeTL2L385kj N5tlJxgwkhSF8CrQlmFiBQ== 0000950123-10-011303.txt : 20100211 0000950123-10-011303.hdr.sgml : 20100211 20100211094947 ACCESSION NUMBER: 0000950123-10-011303 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100211 DATE AS OF CHANGE: 20100211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Legacy Bancorp, Inc. CENTRAL INDEX KEY: 0001332199 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 203135053 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81117 FILM NUMBER: 10589869 BUSINESS ADDRESS: STREET 1: 99 NORTH STREET CITY: PITTSFIELD STATE: MA ZIP: 01202 BUSINESS PHONE: 413-443-4421 MAIL ADDRESS: STREET 1: 99 NORTH STREET CITY: PITTSFIELD STATE: MA ZIP: 01202 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Legacy Banks Employee Stock Ownership Plan CENTRAL INDEX KEY: 0001350301 IRS NUMBER: 000000000 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: P. O. BOX 1148 CITY: PITTSFIELD STATE: MA ZIP: 01202-1148 BUSINESS PHONE: 413-443-4421 MAIL ADDRESS: STREET 1: P. O. BOX 1148 CITY: PITTSFIELD STATE: MA ZIP: 01202-1148 SC 13G/A 1 b79416bsc13gza.htm SC 13G/A sc13gza
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1)*
LEGACY BANCORP, INC.
(Name of Issuer)
Common Stock, par value $.01 per share
(Title of Class of Securities)
52463G 10 5
(CUSIP Number)
December 31, 2009
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
  þ   Rule 13d-1(b)
 
  o   Rule 13d-1(c)
 
  o   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).
Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
 
 

 


 

                     
CUSIP No.
 
 
 

 

           
1   NAMES OF REPORTING PERSONS.

I.R.S. Identification Nos. of above persons (entities only).

The Legacy Banks Employee Stock Ownership Plan
04-1180020
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS).

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE ORGANIZATION
   
  Commonwealth of Massachusetts
       
  5   SOLE VOTING POWER
     
NUMBER OF   549,793
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   245,167
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   794,960
       
WITH 8   SHARED DISPOSITIVE POWER
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  794,960
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  9.1% of 8,734,712 shares of Common Stock outstanding as of December 31, 2009.
     
12   TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
   
  EP


 

Item 1(a). Name of Issuer
     Legacy Bancorp, Inc.
Item 1(b). Address of Issuer’s Principal Executive Offices
99 North Street
Pittsfield, MA 01201
Item 2(a). Name of Person Filing
     The Legacy Banks Employee Stock Ownership Plan
Item 2(b). Address of Principal Business Office or, if none, Residence
99 North Street
Pittsfield, MA 01201
Item 2(c). Citizenship
     Commonwealth of Massachusetts
Item 2(d). Title of Class of Securities
     Common Stock, par value $0.01 per share
Item 2(e). CUSIP Number
     52463G 10 5
 
Item 3.   IF THIS STATEMENT IS FILED PURSUANT TO SS.SS.240.13D-1(B) OR 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS:
(f) þ An employee benefit plan or endowment fund in accordance with Section 240.13d- 1(b)(1)(ii)(F).
Item 4. Ownership
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
  (a)   Amount beneficially owned:
 
      794,960
 
  (b)   Percent of class:
 
      9.1% of 8,734,712 shares of Common Stock outstanding as of December 31, 2009.
 
  (c)   Number of shares as to which the person has:
  (i)   Sole power to vote or to direct the vote:

 


 

      549,793
  (ii)   Shared power to vote or to direct the vote:
      245,167
  (iii)   Sole power to dispose or to direct the disposition of:
      794,960
  (iv)   Shared power to dispose or to direct the disposition of:
      0
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 or Control Person:
     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 and are held 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.
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.
         
 
  February 11 , 2010
 
Date
   

 


 

         
 
  /s/ Linda Shultz
 
   
 
  Signature    
 
       
 
  Linda Shultz    
 
       
 
  First Bankers Trust Services, Inc. Trustee    

 

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