-----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, EWy6/XyXdxTdhVe17KSiB6eUOzpdQTGtzX0hYE/paWK/+roYO+JjHIED1Q3RYWWn FCBiYCM6svUwl2/We0RW2A== 0000904280-02-000035.txt : 20020414 0000904280-02-000035.hdr.sgml : 20020414 ACCESSION NUMBER: 0000904280-02-000035 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020212 GROUP MEMBERS: MICHAEL L. MIDDLETON GROUP MEMBERS: SARA MIDDLETON 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: 520692188 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-46456 FILM NUMBER: 02537572 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MIDDLETON MICHAEL L CENTRAL INDEX KEY: 0001166812 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 3035 LEONARDTOWN RD CITY: WALDORF STATE: MD ZIP: 20604 BUSINESS PHONE: 3018430854 SC 13G 1 schedule13gmiddleton-1494.txt SCHEDULE 13G FOR MICHAEL AND SARA MIDDLETON UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ____ ) * TRI-COUNTY FINANCIAL CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.01 PAR VALUE - -------------------------------------------------------------------------------- (Title of Class of Securities) 89546L 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) NA - -------------------------------------------------------------------------------- (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) [ ] Rule 13d-1(c) [x] 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). Page 1 of 6 pages - -------------------------------------------------------------------------------- CUSIP NO. 89546L 10 7 13G 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 - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 43,704 SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER 9,304 OWNED BY ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER 73,204 REPORTING ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER 9,304 WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 82,508 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.5% (2) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP NO. 89546L 10 7 13G 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 - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 7,419 SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER 0 OWNED BY ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER 7,419 REPORTING ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER 0 WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,419 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- -------------------------- PAGE 4 OF 6 PAGES -------------------------- SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ITEM 1(a) NAME OF ISSUER: TRI-COUNTY FINANCIAL CORPORATION ITEM 1(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 ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: 3035 Leonardtown Road, Waldorf, Maryland 20604 ITEM 2(c) CITIZENSHIP: United States of America ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, $.01 par value. ITEM 2(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(d). 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. 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. -------------------------- 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 6, 2002 -------------------------------------------- ----------------- Michael L. Middleton Date /s/ Sara Middleton February 6, 2002 -------------------------------------------- ----------------- Sara Middleton Date EXHIBIT A --------- Members of the group: Michael L. Middleton Sara Middleton EXHIBIT B --------- AGREEMENT RELATING TO FILING OF ------------------------------- JOINT STATEMENT PURSUANT TO --------------------------- RULE 13d-1(k) UNDER ------------------- THE SECURITIES EXCHANGE ACT OF 1934 ----------------------------------- The Undersigned agree that the Statement of Schedule 13G to which this Agreement is attached is filed on behalf of each of them. Date: February 6, 2002 By: /s/ Michael L. Middleton ----------------------------------- Michael L. Middleton By: /s/ Sara Middleton ----------------------------------- Sara Middleton -----END PRIVACY-ENHANCED MESSAGE-----