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Proc-Type: 2001,MIC-CLEAR
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0000927089-01-500091.txt : 20010223
0000927089-01-500091.hdr.sgml : 20010223
ACCESSION NUMBER: 0000927089-01-500091
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20010215
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: SOUTHERN MISSOURI BANCORP INC
CENTRAL INDEX KEY: 0000916907
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036]
IRS NUMBER: 431665523
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT:
SEC FILE NUMBER: 005-48457
FILM NUMBER: 1548185
BUSINESS ADDRESS:
STREET 1: 531 VINE ST
CITY: POPLAR BLUFF
STATE: MO
ZIP: 63901
BUSINESS PHONE: 5737851421
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: SOUTHERN MISSOURI BANCORP INC
CENTRAL INDEX KEY: 0000916907
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036]
IRS NUMBER: 431665523
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 531 VINE ST
CITY: POPLAR BLUFF
STATE: MO
ZIP: 63901
BUSINESS PHONE: 5737851421
SC 13G
1
smb13g.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. One)*
Southern Missouri Bancorp, Inc.
- ------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, Par Value $0.01 per share
- ------------------------------------------------------------------------------
(Title of Class of Securities)
843380 10 6
- ------------------------------------------------------------------------------
(CUSIP Number)
December 31, 2000
- ------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[X] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[ ] 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).
NEXT PAGE
CUSIP NO. 843380 10 6
1 | NAME OF REPORTING PERSON
|
| I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON (Entities Only)
|
| Southern Missouri Bank and Trust Co. Employee Stock Ownership Plan |
| IRS I.D. No. 43-0462350
|
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) |
| | (b) X
|
3 | SEC USE ONLY
|
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
|
| Not applicable.
|
NUMBER OF | 5 | SOLE VOTING POWER |
SHARES | | 34,283 |
BENEFICIALLY | | |
OWNED BY | 6 | SHARED VOTING POWER |
EACH | | 49,416 |
REPORTING | | |
PERSON WITH | 7 | SOLE DISPOSITIVE POWER |
| | 83,699
|
| 8 | SHARED DISPOSITIVE POWER |
| | 0
|
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
| 83,699
|
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
| 6.64%
|
12 | TYPE OF REPORTING PERSON
|
| EP
|
Page 2 of 11 Pages
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CUSIP NO. 843380 10 6
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON
|
| Southern Missouri Bank & Trust Co. |
| IRS I.D. No. 43-0462350
|
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) |
| | (b) X
|
3 | SEC USE ONLY
|
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
|
| Missouri
|
NUMBER OF | 5 | SOLE VOTING POWER |
SHARES | | 32,283 |
BENEFICIALLY | | |
OWNED BY | 6 | SHARED VOTING POWER |
EACH | | 49,416 |
REPORTING | | |
PERSON WITH | 7 | SOLE DISPOSITIVE POWER |
| | 83,699
|
| 8 | SHARED DISPOSITIVE POWER |
| | 0
|
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
| 83,699
|
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
| 6.64%
|
12 | TYPE OF REPORTING PERSON*
|
| BK
|
Page 3 of 11 Pages
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CUSIP NO. 843380 10 6
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON
|
| Thadis R. Seifert |
| IRS I.D. No.
|
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) |
| | (b) X
|
3 | SEC USE ONLY
|
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
|
| United States
|
NUMBER OF | 5 | SOLE VOTING POWER |
SHARES | | 32,283 (as Trustee of ESOP) |
BENEFICIALLY | | |
OWNED BY | 6 | SHARED VOTING POWER |
EACH | | 49,416 (as Trustee of ESOP) |
REPORTING | | |
PERSON WITH | 7 | SOLE DISPOSITIVE POWER |
| | 83,699 (as Trustee of ESOP)
|
| 8 | SHARED DISPOSITIVE POWER |
| | 0
|
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
| 83,699 (as Trustee of ESOP)
|
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
| 6.64%
|
12 | TYPE OF REPORTING PERSON*
|
| IN
|
Page 4 of 11 Pages
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CUSIP NO. 843380 10 6
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON
|
| Leonard W. Ehlers |
| IRS I.D. No.
|
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) |
| | (b) X
|
3 | SEC USE ONLY
|
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
|
| United States
|
NUMBER OF | 5 | SOLE VOTING POWER |
SHARES | | 32,283 (as Trustee of ESOP) |
BENEFICIALLY | | |
OWNED BY | 6 | SHARED VOTING POWER |
EACH | | 49,416 (as Trustee of ESOP) |
REPORTING | | |
PERSON WITH | 7 | SOLE DISPOSITIVE POWER |
| | 83,699 (as Trustee of ESOP)
|
| 8 | SHARED DISPOSITIVE POWER |
| | 0
|
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
| 83,699 (as Trustee of ESOP)
|
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
| 6.64%
|
12 | TYPE OF REPORTING PERSON*
|
| IN
|
Page 5 of 11 Pages
NEXT PAGE
CUSIP NO. 843380 10 6
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON
|
| James W. Tatum |
| IRS I.D. No.
|
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) |
| | (b) X
|
3 | SEC USE ONLY
|
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
|
| United States
|
NUMBER OF | 5 | SOLE VOTING POWER |
SHARES | | 32,283 (as Trustee of ESOP) |
BENEFICIALLY | | |
OWNED BY | 6 | SHARED VOTING POWER |
EACH | | 49,416 (as Trustee of ESOP) |
REPORTING | | |
PERSON WITH | 7 | SOLE DISPOSITIVE POWER |
| | 83,699 (as Trustee of ESOP)
|
| 8 | SHARED DISPOSITIVE POWER |
| | 0
|
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
| 83,699 (as Trustee of ESOP)
|
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
| 6.64%
|
12 | TYPE OF REPORTING PERSON*
|
| IN
|
Page 6 of 11 pagesNEXT PAGE
ITEM 1(a) | Name of Issuer: |
|
|
| Southern Missouri Bancorp, Inc. (the "Corporation") |
|
|
ITEM 1(b) | Address of Issuer's Principal Executive Officers: |
|
|
| 531 Vine Street, Poplar Bluff, Missouri 63901 |
|
|
ITEM 2(a) | Names of Persons Filing: |
|
|
| Southern Missouri Bank and Trust Co. Employee Stock Ownership Plan (the "ESOP"). |
| |
| Southern Missouri Bank and Trust Co., Thadis R. Seifers, James W. Tatum and Leonard W. Ehlers (the "Trustees"), the trustee of the ESOP. The Trustees may also be deemed to beneficially own the
shares held by the ESOP. |
|
|
ITEM 2(b) | Address of Principal Business Office: |
|
|
| The business address of the ESOP is: |
| |
| 531 Vine Street, Poplar Bluff, Missouri 63901 |
|
|
| The business address of the Trustee is: |
| |
| 531 Vine Street, Poplar Bluff, Missouri 63901 |
|
|
ITEM 2(c) | Citizenship: |
|
|
| Southern Missouri Bank and Trust Co. is a stock savings bank organized under the laws of the state of Missouri. Thadis R. Seifert, James W. Tatum, and Leonard W. Ehlers are citizens of the United
States.
|
|
|
ITEM 2(d) | Title of Class of Securities: |
|
|
| Common stock, par value $.01 per share (the "Common Stock"). |
|
|
ITEM 2(e) | CUSIP Number: 843380 10 6 |
|
|
ITEM 3 | If this statement is filed pursuant to Section 240.13d-2(b) or (c),
check whether the person filing is: |
|
|
| (a) | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
| | | |
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c); |
| | | |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| | | |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8); |
| | | |
| (e) | [ ] | An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); |
| | | |
| (f) | [X] | An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); |
| | | |
| (g) | [ ] | A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); |
| | | |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); |
| | | |
| (i) | [ ] | A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the
Investment Company Act of 1940 (15 U.S.C. 80a-3) |
| | | |
| (j) | [ ] | Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). |
Page 7 of 11 Pages
NEXT PAGE
ITEM 4 | Ownership: |
|
|
| The ESOP holds an aggregate of 83,699 shares of Common Stock (6.64% of the
outstanding shares). The ESOP has sole voting and dispositive power with respect to
shares held by it which have not been allocated to participant accounts. |
| |
| The Trustees may be deemed to beneficially own the 83,699 shares held by the ESOP. However, the Trustee expressly disclaims beneficial ownership of all of such shares. |
| |
| Other than the shares held by the ESOP (of which the Trustee expressly disclaim beneficial ownership), below is the beneficial ownership of the individual Trustees of shares of common stock of
the issuer:
Individual Trustee Beneficial Ownership
Thadis R. Seifers
58,554
Leonard W. Ehlers 44,277
James W. Tatum 33,565 |
| |
| Pursuant to the ESOP, participants in the ESOP are entitled to instruct the Trustees as to the voting of the shares allocated to their ESOP accounts. On each issue with respect to
which shareholders are entitled to vote, the Trustees are required to vote the shares held
by the ESOP which have not been allocated to participant accounts in the manner
directed under the ESOP. |
|
|
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: |
|
|
| Not Applicable. |
|
|
ITEM 8 | Identification and Classification of Members of the Group: |
|
|
| Not Applicable. |
|
|
ITEM 9 | Notice of Dissolution of Group: |
|
|
| Not Applicable. |
Page 9 of 11 Pages
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ITEM 10 | Certifications |
| |
| 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. |
Page 9 of 11 Pages
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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.
|
| SOUTHERN MISSOURI BANK AND TRUST CO. EMPLOYEE STOCK OWNERSHIP PLAN
|
Date: February 14, 2001 | By: /s/ Thadis R. Seifert
|
| | SOUTHERN MISSOURI BANK AND TRUST CO., as Trustee |
| | Name: Thadis R. Seifert |
| | Title: Trustee
|
| SOUTHERN MISSOURI BANK AND TRUST CO.
|
Date: February 14, 2001 | By: /s/ James W. Tatum
|
| | Name: James W. Tatum |
| | Title: Trustee
|
Date: February 14, 2001 | By: /s/ Thadis R. Seifert
|
| | Name: Thadis R. Seifert
| | Title: Trustee
|
|
Date: February 14, 2001 | By: /s/ Leonard W. Ehlers
|
| | Name: Leonard W. Ehlers |
| | Title: Trustee
|
Page 10 of 11 Pages
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February 14, 2001
Southern Missouri Bank and Trust Co.
Employee Stock Ownership Plan
531 Vine Street
Poplar Bluff, Missouri 63901
Dear Sir/Madam:
This letter hereby confirms the agreement and understanding between you and the undersigned that the Schedule
13G being filed with the Securities and Exchange Commission on or about this date is being filed on behalf of
each of us.
Sincerely,
SOUTHERN MISSOURI BANK AND TRUST CO.
By: /s/ Thadis R. Seifert
Name: Thadis R. Seifert
Title: Trustee
SOUTHERN MISSOURI BANK AND TRUST CO.
EMPLOYEE STOCK OWNERSHIP PLAN
By: /s/ James W. Tatum
| By: /s/ Thadis R. Seifert
|
Name: | Name:Thadis R. Seifert |
Title: Trust Officer | Title: Trustee |
| |
| |
| |
| |
| By: /s/
|
| Name: Leonard W. Ehlers |
| Title: Trustee |
Page 10 of 10 Pages
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