-----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,
Eub9020mRyCpAV1NINCF9pCz+I6fX96bQtFTT29UEEK672fiDh8zK3OxyfaRA2rq
6xJ0yOgtTny8drUnGkX20Q==
0000927089-01-500101.txt : 20010223
0000927089-01-500101.hdr.sgml : 20010223
ACCESSION NUMBER: 0000927089-01-500101
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20010215
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: MSB FINANCIAL INC
CENTRAL INDEX KEY: 0000930541
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035]
IRS NUMBER: 383203510
STATE OF INCORPORATION: MD
FISCAL YEAR END: 0630
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT:
SEC FILE NUMBER: 005-50675
FILM NUMBER: 1548402
BUSINESS ADDRESS:
STREET 1: 107 N PARK ST
CITY: MARSHALL
STATE: MI
ZIP: 49068
BUSINESS PHONE: 6167815103
MAIL ADDRESS:
STREET 1: 107 N PARK ST
CITY: MARSHALL
STATE: MI
ZIP: 49068
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST BANKERS TRUST CO NA
CENTRAL INDEX KEY: 0000941473
STANDARD INDUSTRIAL CLASSIFICATION: []
IRS NUMBER: 370622729
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: 1201 BROADWAY
CITY: QUINCY
STATE: IL
ZIP: 62301
BUSINESS PHONE: 2172288064
MAIL ADDRESS:
STREET 1: 1201 BROADWAY
CITY: QUINCY
STATE: IL
ZIP: 62301
SC 13G
1
msb13g.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. One )*
MSB Financial, Inc.
------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, Par Value $0.01 per share
------------------------------------------------------------------------------
(Title of Class of Securities)
553519 10 9
------------------------------------------------------------------------------
(CUSIP Number)
December 31, 2000
------------------------------------------------------------------------------
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
[X] Rule 13d-1(b)
[ ] 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 required 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).
NEXT PAGE
CUSIP NO. 553519 10 9
1 | NAME OF REPORTING PERSON |
| I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON (Entities Only)
|
| MSB Financial, Inc. Employee Stock Ownership Plan (the "ESOP"). |
| IRS I.D. No. 37-1334979
|
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) |
| | (b) X
|
3 | SEC USE ONLY
|
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
|
| Not applicable.
|
NUMBER OF | 5 | SOLE VOTING POWER |
SHARES | | 43,693 |
BENEFICIALLY | | |
OWNED BY | 6 | SHARED VOTING POWER |
|
EACH | | 71,718 |
|
REPORTING | | |
|
PERSON WITH | 7 | SOLE DISPOSITIVE POWER |
|
| | 115,411
|
|
8 | | SHARED DISPOSITIVE POWER |
|
| | 0
|
|
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| 115,411
|
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES |
| CERTAIN SHARES
|
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
| 9.27%
|
12 | TYPE OF REPORTING PERSON
|
| EP |
Page 2 of 8 Pages
NEXT PAGE
CUSIP NO. 553519 10 9
1 | NAME OF REPORTING PERSON |
| I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON (Entities Only)
|
| First Bankers Trust Company, N.A. |
| IRS I.D. No. 37-0622729
|
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) |
| | (b) X
|
3 | SEC USE ONLY
|
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
|
| United States
|
NUMBER OF | 5 | SOLE VOTING POWER |
SHARES | | 43,693 |
BENEFICIALLY | | |
OWNED BY | 6 | SHARED VOTING POWER |
|
EACH | | 71,718 |
|
REPORTING | | |
|
PERSON WITH | 7 | SOLE DISPOSITIVE POWER |
|
| | 115,411
|
|
8 | | SHARED DISPOSITIVE POWER |
|
| | 0
|
|
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON |
| 115,411
|
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES |
| CERTAIN SHARES
|
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
| 9.27%
|
12 | TYPE OF REPORTING PERSON*
|
| BK |
Page 3 of 8 Pages
NEXT PAGE
ITEM 1(a) | Name of Issuer:
|
| MSB Financial, Inc. (the "Corporation")
|
ITEM 1(b) | Address of Issuer's Principal Executive Officers:
|
| Park and Kalamazoo Avenue, N.E., Marshall, MI 49068
|
ITEM 2(a) | Names of Persons Filing:
|
| MSB Financial, Inc. Employee Stock Ownership Plan (the "ESOP").
|
| First Bankers Trust Company, N.A. (the "Trustee"), the trustee of the ESOP. The |
| Trustee may also be deemed to beneficially own the shares held by the ESOP.
|
ITEM 2(b) | Address of Principal Business Office:
|
| The business address of the ESOP is:
|
| Park and Kalamazoo Avenue, N.E., Marshall, MI 49068
|
| The business address of the Trustee is:
|
| Broadway at 12th Street, Quincy, Illinois 62301-3566
|
ITEM 2(c) | Citizenship:
|
| The Trustee is a national bank organized under the laws of the United States.
|
ITEM 2(d) | Title of Class of Securities:
|
| Common stock, par value $.01 per share (the "Common Stock").
|
ITEM 2(e) | CUSIP Number: 553519 10 9
|
ITEM 3 | If this statement is filed pursuant to Section 240.13d-1(b)or |
| 240.13d-2(b) or (c), check whether the person filing is:
|
| (a) | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
| (b) | [ ] | Bank as defined in section 3(a)(6) of the Act (15U.S.C. 78c); |
| (c) | [ ] | Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c); |
| (d) | [ ] | Investment company registered under section 8 of the Investment Company |
| | | Act of 1940 (15 U.S.C. 80a-8); |
| (e) | [ ] | An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E); |
| (f) | [X] | An employee benefit plan or endowment fund in accordance with Section |
| | | 240.13d-1(b)(1)(ii)(F); |
| (g) | [ ] | A parent holding company or control person in accordance with Section |
| | | 240.13d-1(b)(1)(ii)(G); |
| (h) | [ ] | A savings association as defined in Section 3(b) of the Federal Deposit |
| | | Insurance Act (12 U.S.C. 1813); |
| (i) | [ ] | A church plan that is excluded from the definition of an investment |
| | | company under section 3(c)(14) of the Investment Company Act of 1940 (15 |
| | | U.S.C. 80a-3) |
| (j) | [ ] | Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). |
Page 4 of 8 Pages
NEXT PAGE
ITEM 4 | Ownership:
|
| The ESOP holds an aggregate of 115,411 shares of Common Stock (9.27% of the |
| outstanding shares). The ESOP has sole voting and dispositive power with respect to |
| shares held by it which have not been allocated to participant accounts.
|
| The Trustee may be deemed to beneficially own the 115,411 shares held by the ESOP. |
| However, the Trustee expressly disclaims beneficial ownership of all of such shares. |
| Other than the shares held by the ESOP, the Trustee does not beneficially own any shares |
| of Common Stock.
|
| Pursuant to the ESOP, participants in the ESOP are entitled to instruct the Trustee as to |
| the voting of the shares allocated to their ESOP accounts. On each issue with respect to |
| which shareholders are entitled to vote, the Trustee is required to vote the shares held by |
| the ESOP which have not been allocated to participant accounts in the manner directed |
| under the ESOP.
|
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:
|
| 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.
|
ITEM 9 | Notice of Dissolution of Group:
|
| Not Applicable. |
Page 5 of 8 Pages
NEXT PAGE
ITEM 10 | Certifications
|
| By signing below I certify that, to the best of my knowledge and belief, the securities |
| referred to above were acquired and are held in the ordinary course of business and were |
| not acquired and are not 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. |
Page 6 of 8 Pages
NEXT PAGE
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.
|
| MSB FINANCIAL, INC. |
Date: February 12, 2001 | EMPLOYEE STOCK OWNERSHIP PLAN
|
| By: /s/ Carmen Walch |
| | First Bankers Trust Company, |
| | N.A., as Trustee |
| | Name: Carmen Walch |
| | Title: Trust Officer
|
Date: February 12, 2001 | FIRST BANKERS TRUST COMPANY, N.A.
|
| By: /s/ Marilyn Heinie |
| | Name: Marilyn Heinie |
| | Title: Administrative Assistant
|
Page 7 of 8 Pages
NEXT PAGE
February 12, 2001
MSB Financial, Inc.
Employee Stock Ownership Plan
Park and Kalamazoo Avenue, N.E.
Marshall, MI 49068
Dear Sir/Madam:
This letter hereby confirms the agreement and understanding between you and the undersigned that the
Schedule 13G being filed with the Securities and Exchange Commission on or about this date is being filed on
behalf of each of us.
Sincerely,
FIRST BANKERS TRUST COMPANY, N.A.
By: /s/ Marilyn Heinie
Name: Marilyn Heinie
 Title: Administrative Assistant
MSB FINANCIAL, INC.
EMPLOYEE STOCK OWNERSHIP PLAN
By: /s/ Carmen Walch
 First Bankers Trust Company, N.A., as Trustee
 Name: Carmen Walch
 Title: Trust Officer
Page 8 of 8 Pages
-----END PRIVACY-ENHANCED MESSAGE-----