-----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, TlyGeO4HerBv1ZxahtkkJjRPrbznJxHG876RLj9emKaWlLPvi5CGocsnXWfpD3wl 73/IafaBwNPiY0BUiYc+Sw== 0000914427-97-000042.txt : 19970222 0000914427-97-000042.hdr.sgml : 19970222 ACCESSION NUMBER: 0000914427-97-000042 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970219 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: LITCHFIELD FINANCIAL CORP /MA CENTRAL INDEX KEY: 0000882515 STANDARD INDUSTRIAL CLASSIFICATION: MORTGAGE BANKERS & LOAN CORRESPONDENTS [6162] IRS NUMBER: 043023928 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-43236 FILM NUMBER: 97537959 BUSINESS ADDRESS: STREET 1: 789 MAIN ROAD CITY: STAMFORD STATE: VT ZIP: 05352 BUSINESS PHONE: 8026941200 MAIL ADDRESS: STREET 1: 789 MAIN RD CITY: STAMFORD STATE: VT ZIP: 05352 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: STRATTON RICHARD A CENTRAL INDEX KEY: 0000903409 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: PO BOX 4818 CITY: WILLIAMSTOWN STATE: MA ZIP: 01267 MAIL ADDRESS: STREET 1: PO BOX 4818 CITY: WILLIAMSTOWN STATE: MA ZIP: 01267 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 Litchfield Financial Corporation (Name of Issuer) Common Stock, $.01 par value (Title of Class of Securities) 536619109 (CUSIP Number) Check the following box if a fee is being paid with this statement |_|. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent of or less of such class.) (See Rule 13-d-7). *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 and 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 2 of 6 Pages CUSIP No. 536619109 SCHEDULE 13G 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Richard A. Stratton ###-##-#### 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| N/A 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States Number 5 SOLE VOTING POWER of shares benefic- 411,373 ially owned by each reporting person with 6 SHARED VOTING POWER N/A 7 SOLE DISPOSITIVE POWER 411,373 8 SHARED DISPOSITIVE POWER N/A 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 411,373 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES N/A 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.3% 12 TYPE OF REPORTING PERSON IN Page 3 of 6 Pages CUSIP No. 536619109 SCHEDULE 13G Item 1(a) Name of Issuer: Litchfield Financial Corporation Item 1(b) Address of Issuer's principal executive offices: 789 Main Road Stamford, VT 05352 Item 2(a) Name of person filing: Richard A. Stratton Item 2(b) Address of principal business office or, if none, residence: c/o Litchfield Financial Corporation 789 Main Road Stamford, VT 05352 Item 2(c) Citizenship: United States Item 2(d) Title of class of securities: Common Stock, $.01 par value Item 2(e) CUSIP Number: 536619109 Item 3 If Statement filed pursuant to Rule 13d-1(b) or 13d-2(b), check whether the person filing is a: (a) |_| Broker or Dealer (b) |_| Bank (c) |_| Insurance Company (d) |_| Investment Company (e) |_| Investment Advisor (f) |_| Employee Benefit Plan, Pension Fund or Endowment Fund Page 4 of 6 Pages CUSIP No. 536619109 SCHEDULE 13G (g) |_| Parent Holding Company (h) |_| Group Item 4 Ownership: (a) Amounts beneficially owned: 411,373 (b) Percent of class: 7.3% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 411,373 (ii) shared power to vote or to direct the vote: N/A (iii) sole power to dispose or to direct the disposition of: 411,373 (iv) shared power to dispose or to direct the disposition of: N/A Item 5 Ownership of 5% or Less of a Class: Not applicable. Item 6 Ownership of more than 5% 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. Page 5 of 6 Pages CUSIP No. 536619109 SCHEDULE 13G Item 9 Notice of Dissolution of Group: Not applicable. Item 10 Certification: Not applicable. Page 6 of 6 Pages CUSIP No. 536619109 SCHEDULE 13G 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. Dated: 2/13/97 /s/ Richard A. Stratton Richard A. Stratton -----END PRIVACY-ENHANCED MESSAGE-----