-----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, EEAJqm2eVKEF+CfT6jMMsWQYtTjNaawi40GyxKv6f/o/7yN+hPEkAyVlhjZsWuK4 p2iZzEnCX3dVxKtFOFX3nw== 0000898822-96-000488.txt : 19961108 0000898822-96-000488.hdr.sgml : 19961108 ACCESSION NUMBER: 0000898822-96-000488 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961107 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MARK TWAIN BANCSHARES INC/MO CENTRAL INDEX KEY: 0000100307 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 430895344 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-12101 FILM NUMBER: 96655560 BUSINESS ADDRESS: STREET 1: 8820 LADUE RD CITY: ST LOUIS STATE: MO ZIP: 63124 BUSINESS PHONE: 3147271000 COMPANY DATA: COMPANY CONFORMED NAME: MERCANTILE BANCORPORATION INC CENTRAL INDEX KEY: 0000064907 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] OWNER IRS NUMBER: 430951744 STATE OF INCORPORATION: MO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: P O BOX 524 STREET 2: P O BOX 524 CITY: ST LOUIS STATE: MO ZIP: 63166-0524 BUSINESS PHONE: 3144252525 MAIL ADDRESS: STREET 1: P O BOX 524 CITY: ST LOUIS STATE: MO ZIP: 63166-0524 FORMER COMPANY: FORMER CONFORMED NAME: MERCANTILE TRUST CO DATE OF NAME CHANGE: 19720229 3 1 FORM 3 -------- [ FORM 3 ] U.S. SECURITIES AND EXCHANGE COMMISSION -------- WASHINGTON, D.C. 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - -------------------------------------------------------------- 1. Name and Address of Reporting Person Mercantile Bancorporation Inc. - -------------------------------------------------------------- (Last) (First) (Middle) P.O. Box 524 - -------------------------------------------------------------- (Street) St. Louis Missouri 63166-0524 - ----------------------------------------------------------------- (City) (State) (Zip) 2. Date of Event Requiring Statement (Month/Day/Year) 10/27/96 3. IRS or Social Security Number of Reporting Person (Voluntary) --------------- 4. Issuer Name and Ticker or Trading Symbol Mark Twain Bancshares, Inc. (MTB) - ----------------------------------------------------------------- 5. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] Officer [X] 10% Owner [ ] Other (give title below) (specify below) - ----------------------------------------------------------------- 6. If Amendment, Date of Original (Month/Day/Year) N/A 7. Individual or Joint/Group Filing (Check Appropriate Line) [X] Form filed by One Reporting Person [ ] Form filed by More than One Reporting Person TABLE I--NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED - ----------------------------------------------------------------- 1. Title 2. Amount of 3. Ownership Form: 4. Nature of of Securities Direct (D) or Indirect Security Beneficially Indirect (I) Beneficial (Instr. 4) Owned (Instr. (Instr. 5) Ownership 4) (Instr. 5) - ----------------------------------------------------------------- Common Stock 2,440,687 (Note 1) I Note 1 - ----------------------------------------------------------------- - ----------------------------------------------------------------- - ----------------------------------------------------------------- - ----------------------------------------------------------------- - ----------------------------------------------------------------- - ----------------------------------------------------------------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) * If the form is filed by more than one reporting person, see Instruction 5(b)(v). Page 1 of 3 FORM 3 (continued) TABLE II--DERIVATIVE SECURITIES BENEFICIALLY OWNED (e.g., puts, calls, warrants, options, convertible securities)
- -------------------------------------------------------------------------------- 1. Title of 2. Date 3. Title 4. Conver- 5. Owner- 6. Nature Deriva- Exercis- and sion or ship Form of In- tive able and Amount Exercise of Deriv- direct Security Expira- of Price ative Benefi- (Instr. tion Date Security of Deri- Security: ficial 4) (Month/Day/ (Instr. vative Direct (D) Owner- Year) 4) Security or Indir- ship ect (I) (Instr. (Instr. 5) 5) ------------------------------ Date Amount Exer- Expira- of cisa- tion Number ble Date Title of Shares - -------------------------------------------------------------------------------- Common Common Stock Note 2 Note 2 Stock 3,261,522 $42.375 D - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - --------------------------------------------------------------------------------
Explanation of Responses: **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. /s/ Jon W. Bilstrom 11/6/96 ---------------------------- ------- **Signature of Reporting Person Date By: Jon W. Bilstrom Title: Secretary and General Counsel Page 2 of 3 REPORTING PERSON: Mercantile Bancorporation, Inc. ISSUER: Mark Twain Bancshares, Inc. DATE OF EVENT REQUIRING STATEMENT: October 27, 1996 NOTES TO FORM 3 Note 1: Certain officers and directors of Issuer, who in the aggregate have voting power over approximately 14.9% of the outstanding common stock of Issuer executed Support Agreements pursuant to which such officers and directors have agreed to vote all such shares to approve the merger of Issuer with and into a wholly owned subsidiary of Reporting Person (the "Merger") and not to sell any of such shares other than pursuant to the Merger without Reporting Person's consent. A list of the officers and directors executing the Support Agreements and a form of Support Agreement are attached as Exhibits to Reporting Person's Schedule 13D filed with respect to Issuer with the SEC on November 6, 1996. Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that Reporting Person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Note 2: The Option is exercisable only upon the occurrence of certain events described in a stock option agreement, dated October 27, 1996, between Reporting Person and Issuer (the "Stock Option Agreement") and expires upon the occurrence of certain events described in the Stock Option Agreement. A copy of the Stock Option Agreement is attached as an Exhibit to Reporting Person's Current Report on Form 8-K filed with the SEC on November 6, 1996. Reporting Person disclaims beneficial ownership of these securities and this report shall not be deemed an admission that Reporting Person is the beneficial owner of such securities for purposes of Section 16 or any other purpose. Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----