-----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, HXZdPGkCoFAOPjPYMvle1k9V8RhPC5LJrE87uQAIcRfPfb+jmf01Ht3bqsISRt29 /DkdXn31eOhVgBrNnMJTKw== 0000921183-97-000003.txt : 19970106 0000921183-97-000003.hdr.sgml : 19970106 ACCESSION NUMBER: 0000921183-97-000003 CONFORMED SUBMISSION TYPE: 10-C PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19961231 FILED AS OF DATE: 19970103 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: HMN FINANCIAL INC CENTRAL INDEX KEY: 0000921183 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 411777397 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-C SEC ACT: 1934 Act SEC FILE NUMBER: 000-24100 FILM NUMBER: 97500580 BUSINESS ADDRESS: STREET 1: 101 N BROADWAY CITY: SPRING VALLEY STATE: MN ZIP: 55975-1223 BUSINESS PHONE: 5073467345 10-C 1 FORM 10-C SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 10-C REPORT BY ISSUER OF SECURITIES QUOTED ON NASDAQ INTERDEALER QUOTATION SYSTEM Filed Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 and Rule 13a-176 or 15d-17 thereunder HMN FINANCIAL, INC. 101 NORTH BROADWAY, SPRING VALLEY, MN 55975 507-346-7345 I. CHANGE IN NUMBER OF SHARES OUTSTANDING Indicate any change (increase or decrease) of 5% or more in the number of shares outstanding: 1. Title of security HMN Financial, Inc. Common Stock 2. Number of shares outstanding before the change 4,675,140 3. Number of shares outstanding after the change 4,441,383 4. Effective date of change December 31, 1996 5. Method of change Specify method (such as merger, acquisition, exchange, distribution, stock split, reverse split, acquisition of stock for treasury, etc.) Acquisition of stock for treasury Give brief description of transaction Open market purchase II. CHANGE IN NAME OF ISSUER 1. Name prior to change 2. Name after change 3. Effective date of charter amendment changing name 4. Date of shareholder approval of change, if required Date: January 3, 1997 /s/ James B. Gardner -------------------------------- James B. Gardner Executive Vice President -----END PRIVACY-ENHANCED MESSAGE-----