-----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, Lb20pFYPjcPgil0KrCZ4FvxiHFKStksc91QrYXESU2kTuzS4g9XPxXnTv3hX4VFf jgH+ATjh6lw605uixmviDg== 0000950144-98-002013.txt : 19980225 0000950144-98-002013.hdr.sgml : 19980225 ACCESSION NUMBER: 0000950144-98-002013 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980224 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKY FORD FINANCIAL INC CENTRAL INDEX KEY: 0001031517 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 841413346 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-51017 FILM NUMBER: 98548424 BUSINESS ADDRESS: STREET 1: 801 SWINK AVENUE CITY: ROCKY FORD STATE: CO ZIP: 81067 BUSINESS PHONE: 7192547642 MAIL ADDRESS: STREET 1: 801 SWINK AVENUE CITY: ROCKY FORD STATE: CO ZIP: 81067 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STEINBERG ALAN W L P CENTRAL INDEX KEY: 0001056309 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 1501 VENERA AVENUE STREET 2: SUITE 205 CITY: CORRAL GABLES STATE: FL ZIP: 33146 BUSINESS PHONE: 3056675632 SC 13D 1 ROCKY FORD/ ALAN W. STEINBERG SC 13D 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 ROCKY FORD FINANCIAL, INC. -------------------------- (Name of Issuer) COMMON STOCK ------------ (Title of Class of Securities) 774549109 --------- (CUSIP Number) Alan W. Steinberg, General Partner THE ALAN W. STEINBERG LIMITED PARTNERSHIP 1501 Venera Avenue Suite 205 Coral Gables, Florida 33146 (305) 667-5632 -with copies to- Charles E. Muller, II, Esquire Muller & Lipson, P.A. One Datran Center, Penthouse I 9100 South Dadeland Blvd. Miami, Florida 33156 (305) 670-0444 ----------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) FEBRUARY 18, 1998 ----------------------------------- (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 [ ]. 2 SCHEDULE 13D CUSIP NO. 774549109 PAGE 2 OF 5 PAGES 1) Name of Reporting Person: The Alan W. Steinberg Limited Partnership S.S. or I.R.S. Identification No. of Above Person: 13-6277746 2) Check the Appropriate Box if a Member of a Group (See Instructions): (a)[ ] (b)[ ] 3) SEC Use Only 4) Source of Funds (See Instructions): WC 5) Check if Disclosure of Legal Proceeding is Required Pursuant to Items 2(d) or 2(e) [ ] 6) Citizenship or Place of Organization: Delaware Number of 7) Sole Voting Power: 30,000 Shares Beneficially 8) Shared Voting Power: 0 Owned by Each 9) Sole Dispositive Power: 30,000 Reporting Person With 10) Shared Dispositive Power: 0 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 30,000 shares 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) [ ] 13) Percent of Class Represented by Amount in Row (11): 7.09 14) Type of Reporting Person (See Instructions): PN 3 SCHEDULE 13D CUSIP NO. 774549109 PAGE 3 OF 5 PAGES ITEM 1. SECURITY AND ISSUER. Securities acquired: Common Stock, par value $.01 per share Issuer: Rocky Ford Financial, Inc. Address of Issuer: 801 Swink Avenue Rocky Ford, Colorado 81067 ITEM 2. IDENTITY AND BACKGROUND. Reporting Person: The Alan W. Steinberg Limited Partnership Address: 1501 Venera Avenue Suite 205 Coral Gables, Florida 33146 Organization: Partnership State of Organization: New York Principal Business: Investment General Partner: Alan W. Steinberg Address: 1501 Venera Avenue Suite 205 Coral Gables, Florida 33146 Citizenship of General Partner: United States of America Neither The Alan W. Steinberg Limited Partnership nor the general partner thereof has, during the last five years, (i) been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors), or (ii) been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceedings was or is subject to 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 violations with respect to such laws. 4 SCHEDULE 13D CUSIP NO. 774549109 PAGE 4 OF 5 PAGES ITEM 3. SOURCE AND AMOUNT OF FUNDS. All of the funds utilized to purchase shares of Common Stock of the Issuer came from the working capital of The Alan W. Steinberg Limited Partnership. No funds were borrowed to make such purchases. ITEM 4. PURPOSE OF THE TRANSACTION. The Alan W. Steinberg Limited Partnership has acquired the shares of Common Stock of the Issuer for investment purposes. The Alan W. Steinberg Limited Partnership does not at present have any plans or proposals which relate to or would result in any of the actions specified in clauses (a) through (j) of Item 4 of Schedule 13D; provided, however, that The Alan W. Steinberg Limited Partnership reserves the right from time to time to acquire additional shares of Common Stock of the Issuer and/or to dispose of its shares of Common Stock of the Issuer. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER. (a) As of the date hereof, The Alan W. Steinberg Limited Partnership holds 30,000 shares of Common Stock of the Issuer, constituting 7.09 percent of the aggregate number of issued and outstanding shares of Common Stock of the Issuer. (b) The Alan W. Steinberg Limited Partnership has the sole power to vote and to dispose of the shares of Common Stock of the Issuer beneficially owned by it. 5 SCHEDULE 13D CUSIP NO. 774549109 PAGE 5 OF 5 PAGES (c) The Alan W. Steinberg Limited Partnership purchased 15,000 shares of Common Stock of the Issuer in an open market transaction on February 18, 1998 at a purchase price of $14.3125 per share. (d) Not Applicable. (e) Not Appliclable. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS AND RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. None. 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. THE ALAN W. STEINBERG LIMITED PARTNERSHIP By: /s/ Alan W. Steinberg ------------------------------------- Alan W. Steinberg, General Partner Date: February 24, 1998 -----END PRIVACY-ENHANCED MESSAGE-----