-----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, UvgS6EkbtwqqEChkMXPFqMfD1Xd8ieiiD4o9emYDUDrAKxQRVD8/+/w81UpPjJ67 HXDjPOFIzOgcsd23LK11Iw== 0000904211-97-000034.txt : 19970515 0000904211-97-000034.hdr.sgml : 19970515 ACCESSION NUMBER: 0000904211-97-000034 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970514 SROS: NASD GROUP MEMBERS: DAVIS JEROME H GROUP MEMBERS: SUSAN B. DAVIS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: AMB FINANCIAL CORP CENTRAL INDEX KEY: 0000915393 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 351905382 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48287 FILM NUMBER: 97605230 BUSINESS ADDRESS: STREET 1: 8230 HOHMAN AVE CITY: MUNSTER STATE: IN ZIP: 46321 BUSINESS PHONE: 2198365870 MAIL ADDRESS: STREET 1: 8230 HOHMAN AVE CITY: MUNSTER STATE: IN ZIP: 46321-1578 FORMER COMPANY: FORMER CONFORMED NAME: ASB FINANCIAL CORP DATE OF NAME CHANGE: 19931129 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAVIS JEROME H CENTRAL INDEX KEY: 0000904211 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 11 BALDWIN FARMS NORTH CITY: GREENWICH STATE: CT ZIP: 06831 BUSINESS PHONE: 2036221177 MAIL ADDRESS: STREET 1: 11 BALDWIN FARMS NORTH CITY: GREENWICH STATE: CT ZIP: 06831 SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 3) AMB Financial Corp. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 001984103 (CUSIP Number) Jerome H. Davis c/o David M. Perlmutter, Esq. 200 Park Ave., Suite 4515, New York, NY 10166 (212) 986-4900 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 13, 1997 (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 / /. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) _________________________ 1 The remainder of this cover page shall be filled out for a reporting person's initial filing of this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on 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 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 7 Pages CUSIP No. 001984103 _________________________________________________________________ 1. Name of Reporting Person Jerome H. Davis _________________________________________________________________ S.S. or I.R.S. Identification ###-##-#### No. of Above Person _________________________________________________________________ 2. Check the Appropriate Box (a)______ if a Member of a Group (b)___X__ (See Instructions) _________________________________________________________________ 3. SEC Use Only _________________________________________________________________ 4. Source of Funds (See Instructions) 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 7. Sole Voting Power 1,400 Shares 8. Shared Voting Beneficially Power 24,000* Owned by 9. Sole Dispositive Each Report- Power 1,400 ing Person 10. Shared Dispositive with Power 24,000* _________________________________________________________________ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 25,400* _________________________________________________________________ 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain / / Shares (See Instructions) _________________________________________________________________ 13. Percent of Class Represented by amount in Row (11) 2.50% _________________________________________________________________ 14. Type of Reporting Person IN (See Instructions) _________________________________________________________________ * See Items 5(a) and 5(b) of this Statement. Page 2 of 7 Pages CUSIP No. 001984103 _________________________________________________________________ 1. Name of Reporting Person Susan B. Davis _________________________________________________________________ S.S. or I.R.S. Identification ###-##-#### No. of Above Person _________________________________________________________________ 2. Check the Appropriate Box (a)______ if a Member of a Group (b)___X__ (See Instructions) _________________________________________________________________ 3. SEC Use Only _________________________________________________________________ 4. Source of Funds (See Instructions) 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 7. Sole Voting Power -0- Shares 8. Shared Voting Beneficially Power 25,400* Owned by 9. Sole Dispositive Each Report- Power -0- ing Person 10. Shared Dispositive with Power 25,400* ________________________________________________________________ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 25,400* _________________________________________________________________ 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain / / Shares (See Instructions) _________________________________________________________________ 13. Percent of Class Represented by amount in Row (11) 2.50% _________________________________________________________________ 14. Type of Reporting Person IN (See Instructions) _________________________________________________________________ * See Items 5(a) and 5(b) of this Statement. For purposes of this Statement, Susan B. Davis may be deemed, pursuant to Rules 13d-3(a)(1) and 13d-3(a)(2) under the Securities Exchange Act of 1934, as amended, to be the beneficial owner of 1,400 shares of the Company's Common Stock, par value $.01 per share, held in the name of her husband, Jerome H. Davis. Page 3 of 7 Pages The Statement on Schedule 13D (this "Statement") of Jerome H. Davis with respect to the Common Stock, par value $.01 per share ("Common Stock") of AMB Financial Corp., a Delaware corporation ("AMB Financial"), is hereby amended as set forth below. Item 3. Source and Amount of Funds or Other Consideration. Item 3 of the Statement is hereby supplemented by the addition of the following: "Mr. Davis paid an aggregate of $18,816.00 for an aggregate of 1,400 shares of Common Stock owned by him. All shares were purchased in an over-the-counter transaction through a standard brokerage account maintained by Mr. Davis. All such shares were purchased with personal funds of Mr. Davis." Item 4. PURPOSE OF TRANSACTION. Item 4 of the Statement is hereby supplemented by the addition of the following: "The disposition of Common Stock, as set forth on Schedule A hereto, reflects investment decisions consistent with the purpose for which the shares were acquired. Mr. and Mrs. Davis may, at any time and from time to time, review or reconsider their position with respect to AMB Financial and may acquire and/or dispose of additional shares of Common Stock for investment purposes and/or formulate plans or proposals with respect to any of such matters, but have no present intention to do so." Item 5. INTEREST IN SECURITIES OF THE ISSUER. A. Paragraphs (a) and (b) of Item 5 of the Statement are amended and restated in their entirety to read as follows: "(a) The aggregate number of shares of Common Stock deemed to be beneficially owned by Mr. and Mrs. Davis for the purposes of this Statement is 25,400 shares, representing 2.50 percent of the outstanding shares of Common Stock based on 1,014,524 shares of Common Stock disclosed by AMB Financial as outstanding as of April 30, 1997. Of such shares, 1,400 (.14%) are held in the name of Mr. Davis, and 24,000 (2.36%) are held in the name of Mr. and Mrs. Davis. Page 4 of 7 Pages (b) (i) Subject to the matters referred to in paragraph (a) hereof, Mr. Davis has sole power to vote or direct the vote and sole power to dispose or direct the disposition of the 1,400 shares of Common Stock owned by him, and shared power to vote or direct the vote and shared power to dispose or direct the disposition of the 24,000 shares of Common Stock jointly owned by him and Mrs. Davis. (ii) Subject to the matters referred to in paragraphs (a) and (b)(i) hereof, Mrs. Davis has shared power to vote or direct the vote and shared power to dispose or direct the disposition of the 24,000 shares of Common Stock jointly owned by her and Mr. Davis, and may be deemed to have shared power to vote or direct the vote and shared power to dispose or direct the disposition of the 1,400 shares of Common Stock owned by Mr. Davis." B. Paragraph (c) of Item 5 of the Statement is hereby supplemented by the addition of the following: "(c) A description of all transactions in the shares of Common Stock which have been effected by Mr. Davis and jointly by Mr. and Mrs. Davis since filing Amendment No. 2 to the Statement is set forth in Schedule A attached hereto and is incorporated herein by reference." C. Paragraph (e) of Item 5 of the Statement is hereby supplemented by the addition of the following: "(e) On May 13, 1997, Mr. and Mrs. Davis ceased to be the beneficial owners of more than 5% of the outstanding shares of Common Stock. They currently own under 3% of the outstanding shares of Common Stock." Page 5 of 7 Pages Signature. After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certify that the information set forth in this amendment is true, complete and correct. 5/13/97 Jerome H. Davis Date (Signature) 5/13/97 Susan B. Davis Date (Signature) Page 6 of 7 Pages Schedule A Information with Respect to Transactions in the Common Stock of AMB Financial Corp. by Jerome H. Davis and Susan B. Davis
Date of No. of Shrs Price Per Shr Where How Transa- Purchased (excl. commis- Trans- Trans- tion (Sold) sions) acted acted Mr. Davis: 1. 4/7/97 1,400 $13.44 OTC ** 2. 5/13/97 (15,000) $14.45 OTC ** Mr. and Mrs. Davis: 3. 5/13/97 (20,000) 14.45 OTC ** __________________________________ ** Transaction effected in the over-the-counter market ("OTC") through a standard brokerage account maintained by Mr. and/or Mrs. Davis. Page 7 of 7 Pages -----END PRIVACY-ENHANCED MESSAGE-----