-----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, CtHFo3b/66mz1zeGlkKvL7tfiut0QDMo3b8fBN4JswBPbm9fYS49KHr3W9sKAo8I xpBbVHPWdUiwNeVgJ6666Q== 0001025537-00-000039.txt : 20000324 0001025537-00-000039.hdr.sgml : 20000324 ACCESSION NUMBER: 0001025537-00-000039 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000323 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ISB FINANCIAL CORP/LA CENTRAL INDEX KEY: 0000933141 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 721280718 STATE OF INCORPORATION: LA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48257 FILM NUMBER: 576140 BUSINESS ADDRESS: STREET 1: 1101 E ADMIRAL DOYLE DR CITY: NEW IBERIA STATE: LA ZIP: 70560 BUSINESS PHONE: 3183652361 MAIL ADDRESS: STREET 1: 1101 EAST ADMIRAL DOYLE DR CITY: NEW IBERIA STATE: LA ZIP: 70560 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ISB FINANCIAL CORP EMPLOYEE STOCK OWNERSHIP PLAN TRUST CENTRAL INDEX KEY: 0001013910 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1101 E ADMIRAL DOYLE DR CITY: NEW IBERIA STATE: LA ZIP: 70560 BUSINESS PHONE: 3183652361 MAIL ADDRESS: STREET 1: 1101 E ADMIRAL DOYLE DR CITY: NEW IBERIA STATE: LA ZIP: 70560 SC 13G/A 1 SCHEDULE 13G AMENDMENT NO. 3 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 3)* ISB Financial Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Par Value $1.00 Per Share - -------------------------------------------------------------------------------- (Title of Class of Securities) 450091 10 3 - -------------------------------------------------------------------------------- (CUSIP Number) N/A - -------------------------------------------------------------------------------- (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) |X| 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). Page 1 of 5 Pages Page 2 of 5 Pages ================================================================================ 1 NAMES OF REPORTING PERSONS: ISB Financial Corporation Employee Stock Ownership Plan Trust I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 72-1291557 - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Louisiana - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER 264,840 ------- --- ------------------------------------------------- --- ------------------------------------------------- BENEFICIALLY OWNED BY 6 SHARED VOTING POWER 302,495 ------- --- ------------------------------------------------- --- ------------------------------------------------- EACH REPORTING 7 SOLE DISPOSITIVE POWER 264,840 ------- --- ------------------------------------------------- --- ------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER 302,495 ------- WITH --- ------------------------------------------------- - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 567,335 - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.7% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* EP ================================================================================ *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 5 Pages Item 1(a). Name of Issuer: ISB Financial Corporation Item 1(b). Address of Issuer's Principal Executive Officer: 1101 E. Admiral Doyle Drive New Iberia, Louisiana 70560 Item 2(a). Name of Person(s) Filing: ISB Financial Corporation Employee Stock Ownership Plan Trust ("ESOP"). Item 2(b). Address of Principal Business Office: Same as Item 1(b). Item 2(c). Citizenship: Louisiana Item 2(d). Title of Class of Securities: Common Stock, par value $1.00 per share Item 2(e). CUSIP Number: 450091 10 3 Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (f) |X| An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); If this statement is filed pursuant to Rule 13d-1(c), check this box. |X| Items (a), (b), (c), (d), (e), (g), (h), (i), and (j) are not applicable. This Schedule 13G is being filed on behalf of the ESOP identified in Item 2(a), filing under the Item 3(f) classification, and by each trustee of the trust established pursuant to the ESOP, filing pursuant to Rule 13d-1(c) and applicable SEC no-action letters. Item 4. Ownership. (a) Amount Beneficially Owned: See Row 9 of the second part of the cover page. (b) Percent of Class: See Row 11 of the second part of the cover page. (c) See Rows 5, 6, 7, and 8 of the second part of the cover page. Page 4 of 5 Pages 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: |_| Item 6. Ownership of More than Five Percent on Behalf of Another Person. Cecil C. Broussard, William H. Fenstermaker and E. Stewart Shea, III are the trustees ("Trustees") of the trust (the "Trust") created pursuant to the ESOP which holds 264,840 shares of common stock which have not been allocated to the accounts of participating employees to date, will be voted by the Trustees pursuant to the terms of the ESOP and may be deemed to be beneficially owned by the Trust. In addition, a total of 302,495 shares held in the Trust have been allocated to the accounts of participating employees to date, will be voted by the Trustees pursuant to such participating employees' direction and, as a result of such shared voting power, are included in the shares beneficially owned by the Trust. 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, each signatory in the capacity of an ESOP trustee certifies that, to the best of his 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. By signing below, each signatory in his individual capacity certifies that, to the best of his 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 5 of 5 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. ISB FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN TRUST By Its Trustees: /s/ Cecil C. Broussard March 21, 2000 ----------------------------------- -------------- Cecil C. Broussard, as Trustee Date /s/ William H. Fenstermaker March 21, 2000 -------------------------------------------- -------------- William H. Fenstermaker, as Trustee Date /s/ E. Stewart Shea, III March 21, 2000 ----------------------------------- -------------- E. Stewart Shea, III, as Trustee Date -----END PRIVACY-ENHANCED MESSAGE-----