-----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, Gvtuj437FXsZRuZD8+m33ZcKF4B4qj827zOInyYofEv1mEXAOLe5ukyfAVrORXJU LIH4RSMIAQxg+rMbNJ2pUQ== 0001046386-97-000030.txt : 20040503 0001046386-97-000030.hdr.sgml : 20040503 19971223144900 ACCESSION NUMBER: 0001046386-97-000030 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971223 DATE AS OF CHANGE: 19980212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEOPLES FINANCIAL CORP CENTRAL INDEX KEY: 0000770460 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 640709834 STATE OF INCORPORATION: MI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-49651 FILM NUMBER: 97743265 BUSINESS ADDRESS: STREET 1: 152 LAMEUSE STREET STREET 2: P O BOX 529 CITY: BILOXI STATE: MS ZIP: 39530 BUSINESS PHONE: 2284355511 MAIL ADDRESS: STREET 1: P O BOX 529 CITY: BILOXI STATE: MS ZIP: 39533-0529 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GUNTEN PAUL VON CENTRAL INDEX KEY: 0001051778 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 211 LINCOLN WAY EAST CITY: MASSILLON STATE: OH ZIP: 44646 BUSINESS PHONE: 3308327441 MAIL ADDRESS: STREET 1: 211 LINCOLN WAY EAST CITY: MASSILLON STATE: OH ZIP: 44646 SC 13D 1 FORM SC 13D SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. _) Peoples Financial Corporation (Name of Issuer) Common Shares (Title of Class of Securities) 71103A 10 4 (CUSIP Number) Cynthia A. Shafer, Vorys, Sater, Seymour and Pease, Suite 2100, Atrium Two, 221 East Fourth Street Cincinnati, Ohio 45202 (513) 723-4009 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) 11/21/97 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box. SCHEDULE 13D CUSIP NO. 71103A 10 4 1. NAME OF REPORTING PERSON SS OR IRS IDENTIFICATION NO. OF REPORTING PERSON: Paul von Gunten 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) (b) 3. SEC USE ONLY: 4. SOURCE OF FUNDS: PF 5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e): 6. CITIZENSHIP OR PLACE OF ORGANIZATION: United States NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: 7. SOLE VOTING POWER: 64,997 8. SHARED VOTING POWER: 13,000 9. SOLE DISPOSITIVE POWER: 64,997 10. SHARED DISPOSITIVE POWER: 13,000 11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 77,997 12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES: 13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11): 5.51% 14. TYPE OF REPORTING PERSON: IN Item 1. Security and Issuer. Common shares, no par value Peoples Financial Corporation 211 Lincoln Way East Massillon, Ohio 44646 Item 2. Identity and Background. (a) Paul von Gunten (b) 211 Lincoln Way East Massillon, Ohio 44646 (c) President and Chief Executive Officer of Peoples Financial Corporation and Peoples Federal Savings and Loan Association of Massillon, 211 Lincoln Way East, Massillon, Ohio 44646 (d) During the last five years, Mr. von Gunten has not been convicted in a criminal proceeding. (e) During the last five years, Mr. von Gunten has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction which resulted in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (f) Mr. von Gunten is a citizen of the United States of America. Item 3. Source and Amount of Funds and Other Consideration. Mr. von Gunten purchased 17,200 shares on November 21, 1997, with personal funds. He and his wife also purchased shares with personal funds in connection with the initial public offering by the issuer in September 1996. In 1996 and 1997, Mr. von Gunten inherited shares from the estates of his father and mother. Mr. von Gunten also holds 9,605 shares through his 401(k) plan account. Item 4. Purpose of Transaction. The shares purchased by Mr. von Gunten were acquired for investment. Item 5. Interest in Securities of the Issuer. (a) Mr. von Gunten beneficially owns 77,997 shares, which is 5.51% of the total issued and outstanding common shares of the issuer. (b) Mr. von Gunten has sole voting and dispositive power with respect to 64,997 shares and shared voting and dispositive power with respect to 13,000 shares held by Mr. von Gunten's spouse. Mr. von Gunten's wife is Dorothy von Gunten. Ms. von Gunten is a citizen of the United States of America, and during the past five years, Ms. von Gunten has neither been convicted in a criminal proceeding nor been a party to a civil proceeding of a judicial administrative body of competent jurisdiction which resulted in a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Ms. von Gunten has the same address as Mr. von Gunten and is a homemaker. (c) Mr.von Gunten purchased 17,200 shares on November 21, 1997, for $14.4375 per share. (d) Inapplicable. (e) Inapplicable. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. There are no contracts, arrangements, understandings or relationships between Mr. von Gunten and any other person with respect to any securities of the issuer. Item 7. Material to be Filed as Exhibits. None 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/ Paul von Gunten Signature Paul von Gunten Name 12/19/97 Date -----END PRIVACY-ENHANCED MESSAGE-----