-----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, GHAGyFJTmgf4hLb9+oT3lX8OyisgDyaSnw+O4Jc2PYk+HxGDi4e7NODJvpJUekEX /BKz/QFbUlTz1OhXCrKNeg== 0000950124-98-000637.txt : 19980212 0000950124-98-000637.hdr.sgml : 19980212 ACCESSION NUMBER: 0000950124-98-000637 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980211 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STATE FINANCIAL SERVICES CORP CENTRAL INDEX KEY: 0000745614 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 391489983 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-41023 FILM NUMBER: 98530299 BUSINESS ADDRESS: STREET 1: 10708 W JANESVILLE RD CITY: HALES CORNERS STATE: WI ZIP: 53130 BUSINESS PHONE: 4144251600 MAIL ADDRESS: STREET 1: 10708 W. JANESVILLE ROAD CITY: HALES CORNERS STATE: WI ZIP: 53130 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STATE FINANCIAL SERVICES CORP CENTRAL INDEX KEY: 0000745614 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 391489983 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 10708 W JANESVILLE RD CITY: HALES CORNERS STATE: WI ZIP: 53130 BUSINESS PHONE: 4144251600 MAIL ADDRESS: STREET 1: 10708 W. JANESVILLE ROAD CITY: HALES CORNERS STATE: WI ZIP: 53130 SC 13G 1 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 INITIAL SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* STATE FINANCIAL SERVICES CORPORATION ----------------------------------------------------------- (Name of Issuer) Common Stock, $0.10 par value ---------------------------------------------- (Title of Class of Securities) 856855 10 1 ---------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) * 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 purposes 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 Notes). (Continued on the following page(s)) Page 1 of 4 Pages 2 CUSIP NO. 856855 10 1 13G PAGE 2 OF 4 PAGES - -------------------------------------------------------------------------------- 1) Name of Reporting Person and S.S. or I.R.S. Identification No. of Above Person STATE FINANCIAL SERVICES CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN 39-1489983 / PN 003 - -------------------------------------------------------------------------------- 2) Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3) SEC Use Only - -------------------------------------------------------------------------------- 4) Citizenship or Place of Organization: State Financial Services Corporation - Hales Corners, Wisconsin, USA - -------------------------------------------------------------------------------- Number of Shares 5) Sole Voting Power 92,462 ----------------- ------- Beneficially 6) Shared Voting Power 179,444 ------------------- ------- Owned by Each 7) Sole Dispositive Power 92,462 ---------------------- ------- Reporting Person With: 8) Shared Dispositive Power -0- ------------------------ ------- - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 179,444 - -------------------------------------------------------------------------------- 10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 5.6% - -------------------------------------------------------------------------------- 12) Type of Reporting Person (See Instructions) State Financial Services Corporation Employee Stock Ownership Plan (EP) - -------------------------------------------------------------------------------- 3 CUSIP NO. 856855 10 1 13G PAGE 3 OF 4 PAGES - -------------------------------------------------------------------------------- ITEM 1(A). NAME OF ISSUER: State Financial Services Corporation ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 10708 W. Janesville Road Hales Corners, WI 53130 ITEM 2(A). NAME OF PERSON FILING: State Financial Services Corporation Employee Stock Ownership Plan ITEM 2(B). ADDRESS OF PRINCIPAL OFFICE: 10708 W. Janesville Road Hales Corners, WI 53130 ITEM 2(C). CITIZENSHIP: State Financial Services Corporation - Hales Corners, Wisconsin, USA ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(E). CUSIP NUMBER: 856855 10 1 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: (f)[X] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974, or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F)
ITEM 4. OWNERSHIP: (a) Amount Beneficially Owned: 179,444 (b) Percent of Class 5.6% (c) Number of shares as to which such person has: (I) Sole power to vote or to direct the vote 92,462 -------- (ii) Shared power to vote or to direct the vote 179,444 ------- (iii) Sole power to dispose or to direct the disposition of 92,462 -------- (iv) Shared power to dispose or to direct the disposition of --------
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 4 CUSIP NO. 856855 10 1 13G PAGE 4 OF 4 PAGES - -------------------------------------------------------------------------------- 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: 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 for the purpose of and do not have the effect of changing or influencing the control of the issue of such securities and were not acquired in connection with or as a participant in any transaction having such purposes 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. STATE FINANCIAL SERVICES CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN February 9, 1998 - ------------------------- Date /s/ Michael A. Reindl - ------------------------- Signature Michael A. Reindl, Senior Vice President, Controller and Chief Financial Officer STATE FINANCIAL SERVICES CORPORATION -----END PRIVACY-ENHANCED MESSAGE-----