-----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, Tlqe8KDKieaFibj7e9+SkEvqRdNyfzxsIw4W4IQPIh1qquuvwTTyTPoB9ueTMyU9 tuUf/8v0f5Ascqt6neH46Q== 0001014100-01-500092.txt : 20010911 0001014100-01-500092.hdr.sgml : 20010911 ACCESSION NUMBER: 0001014100-01-500092 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010910 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SHORE BANCSHARES INC CENTRAL INDEX KEY: 0001035092 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 521974638 STATE OF INCORPORATION: MD FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-52827 FILM NUMBER: 1734768 BUSINESS ADDRESS: STREET 1: 18 EAST DOVER STREET CITY: EASTON STATE: MD ZIP: 21601-3013 BUSINESS PHONE: 4108221400 MAIL ADDRESS: STREET 1: 18 EAST DOVER STREET CITY: EASTON STATE: MD ZIP: 21601-3013 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BRADY NICHOLAS F CENTRAL INDEX KEY: 0001015841 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 216301579 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O DARBY ADVISORS INC BULLITT HOUSE STREET 2: 102 EAST DOVER STREET CITY: EASTON STATE: MD ZIP: 21601 BUSINESS PHONE: 4153126505 MAIL ADDRESS: STREET 1: FRANKLIN RESOURCES INC STREET 2: 901 MARINERS ISLAND BLVD 6TH FLOOR CITY: SAN MATEO STATE: CA ZIP: 94405 SC 13G 1 edg0840.txt SHORE BANCHSARES, INC. - AMENDMENT SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. __________)* Shore Bancshares, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 825107105 - -------------------------------------------------------------------------------- (CUSIP Number) August 30, 2001 - -------------------------------------------------------------------------------- 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) |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 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).
- ----------------------------------------------- ------------------------------------------------------ CUSIP NO. 825107105 13G Page 2 of 5 Pages - ----------------------------------------------- ------------------------------------------------------ - ----------------------------------------------------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSONS Nicholas F. Brady - ----------------------------------------------------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| - ----------------------------------------------------------------------------------------------------------------------------- 3. SEC USE ONLY - ----------------------------------------------------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ----------------------------------------------------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER 269,329 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH ------------------------------------------------------------------------------------------------ 6. SHARED VOTING POWER 0 ------------------------------------------------------------------------------------------------ 7. SOLE DISPOSITIVE POWER 269,329 ------------------------------------------------------------------------------------------------ 8. SHARED DISPOSITIVE POWER 0 - ----------------------------------------------------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 269,329 - ----------------------------------------------------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - ----------------------------------------------------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.05 percent - ----------------------------------------------------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -----------------------------------------------------------------------------------------------------------------------------
Item 1(a). Name of Issuer: Shore Bancshares, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 18 East Dover Street, Easton, MD 21601 Item 2(a). Name of Person Filing: Nicholas F. Brady Item 2(b). Address of Principal Business Office or, if None, Residence: c/o Darby Advisors, Inc. 16 N Washington Street, Easton, MD 21601 Item 2(c). Citizenship: United States of America Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP Number 825107105 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) |_| Broker or dealer registered under Section 15 of the Act, (b) |_| Bank as defined in Section 3(a)(6) of the Act, (c) |_| Insurance Company as defined in Section 3(a) (19) of the Act, (d) |_| Investment Company registered under Section 8 of the Investment Company Act. (e) |_| Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) |_| Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Employee Retirement Income Security Act of 1974 or Endowment Fund; see 13d-1(b)(1)(ii) (F), (g) |_| Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G); see Item 7, (h) |_| Group, in accordance with Rule 13d-1(b)(1) (ii)(H). Page 3 of 5 Item 4. Ownership. If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount beneficially owned: 269,329 share* (b) Percent of class: 5.05 percent (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 269,329 shares (ii) Shared power to vote or to direct the vote 0 shares (iii) Sole power to dispose or to direct the disposition of 269,329 shares (iv) Shared power to dispose or to direct the disposition of 0 shares
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. No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities. 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. Page 4 of 5 Item 9. Notice of Dissolution of Group. Not applicable. Item 10. Certification. (a) The certification is omitted because the statement is not filed pursuant to Rule 13d-1(b). (b) 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 being 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. 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. September 7, 2001 ------------------------------ (Date) /s/ Nicholas F. Brady ------------------------------ (Signature) Nicholas F. Brady ------------------------------- (Name/Title) Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----