-----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, Mnu2YhReZYwyTFT5xSd9Acvalj6ABHYQCe/q0K7uMtTjt0RWH6/2wIIPZGLikcSS +l6XiPkk6uv0rjWVEnHShg== 0001013680-02-000006.txt : 20020414 0001013680-02-000006.hdr.sgml : 20020414 ACCESSION NUMBER: 0001013680-02-000006 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020208 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOME CITY FINANCIAL CORP CENTRAL INDEX KEY: 0001022103 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 341839475 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-47991 FILM NUMBER: 02531596 BUSINESS ADDRESS: STREET 1: 63 WEST MAIN ST CITY: SPRINGFIELD STATE: OH ZIP: 45502 BUSINESS PHONE: 9373245736 MAIL ADDRESS: STREET 1: 63 WEST MAIN STREET CITY: SPRINGFIELD STATE: OH ZIP: 45502 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST BANKERS TRUST CO NA CENTRAL INDEX KEY: 0000941473 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 doc1.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* -------------------------- Home City Financial Corporation ------------------------------- (Name of Issuer) Common shares, no par value --------------------------- (Title of Class of Securities) 43706C 10 0 ----------- (CUSIP Number) December 31, 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: [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). CUSIP No. 43706C 10 0 13G ------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Home City Financial Corporation Employee Stock Ownership Plan 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b)[ x ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Ohio NUMBER OF 5 SOLE VOTING POWER SHARES -0- BENEFICIALLY OWNED BY EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH 7 SOLE DISPOSITIVE POWER -0- 8 SHARED DISPOSITIVE POWER 94,547 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 94,547 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 12.1% 12 TYPE OF REPORTING PERSON* EP CUSIP No. 43706C 10 0 13G ------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON First Bankers Trust Company, N.A. 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 54,857 BENEFICIALLY OWNED BY EACH 6 SHARED VOTING POWER REPORTING PERSON -0- WITH 7 SOLE DISPOSITIVE POWER -0- 8 SHARED DISPOSITIVE POWER 94,547 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 94,547 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 12.1% 12 TYPE OF REPORTING PERSON* BK Item 1(a). Name of Issuer: - ---------- Home City Financial Corporation Item 1(b). Address of Issuer's Principal Executive Offices: - ---------- 63 W. Main Street Springfield, Ohio 45502 Item 2(a). Name of Persons Filing: - ---------- First Bankers Trust Company, N.A. Home City Financial Corporation Employee Stock Ownership Plan Item 2(b). Address of Principal Business Office or, if none, Residence: - ---------- First Bankers Trust Company, N.A. 1201 Broadway Quincy, Illinois 62301 Home City Financial Corporation Employee Stock Ownership Plan First Bankers Trust Company, N.A., Trustee 1201 Broadway Quincy, Illinois 62301 Item 2(c). Citizenship: - ---------- First Bankers Trust Company, N.A. Organized under the laws of the United States Home City Financial Corporation Employee Stock Ownership Plan: Organized in Ohio Item 2(d). Title and Class of Securities: - ---------- Common shares, no par value Item 2(e). CUSIP Number: - ---------- 43706C 10 0 Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) - ----- or (c), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (15 U.S.C. 78o). (b) [ X ] Bank as defined in section 3(a)(6) of the Act (15 U.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 240.13d-1(b)(1)(ii)(E). (f) [ X ] An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1) (ii)(F). (g) [ ] A parent holding company or control person in accordance with 240.13d-1(b)(1) (ii)(G). (h) [ ] A savings association as defined in Section 13(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) [ ] A group, in accordance with 240.13d-1(b)(1) (ii)(J). Item 4. Ownership: - ------- First Bankers Trust Company, N.A. ------------------------------------- (a) Amount Beneficially Owned: 94,547 (b) Percent of Class: 12.1% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 54,857 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 94,547 Home City Financial Corporation Employee Stock Ownership Plan ------------------------------------------------------------- (a) Amount Beneficially Owned: 94,547 (b) Percent of Class: 12.1% (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 94,547 There are 94,547 common shares owned by the Home City Financial Corporation Employee Stock Ownership Plan (the "Plan"). First Bankers Trust Company, N.A., is the Trustee of the Plan. Under the terms of the Plan and the Trust Agreement, the Trustee votes all of the shares allocated to the accounts of participants as directed by the participants to whose accounts such shares have been allocated. With respect to unallocated shares or allocated shares with respect to which no instructions have been received, the Plan provides that the Trustee shall vote such shares in the Trustee's discretion. As of December 31, 2001, 39,690 shares had been allocated to Plan participants. Although the Trustee has general authority to sell assets, because the Plan provides that the Trustee is to invest primarily in shares of the issuer, the authority to dispose of such shares is limited by the Plan. Item 5. Ownership of Five Percent or Less of a Class: - ------- Inapplicable Item 6. Ownership of More Than Five Percent on Behalf of Another - ------- Person: Inapplicable Item 7. Identification and Classification of the Subsidiary Which - ------- Acquired the Security Being Reported on by the Parent Holding Company: Inapplicable Item 8. Identification and Classification of Members of the Group: - ------ Inapplicable Item 9. Notice of Dissolution of Group: - ------- Inapplicable Item 10. Certification: - -------- By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes 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. FIRST BANKERS TRUST COMPANY, N.A. Date: 2-6-02 By: /s/ Linda Shultz ------ ------------------ Trust Officer HOME CITY FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN By First Bankers Trust Company, N.A., Trustee Date: 2-6-02 By: /s/ Linda Shultz ------ ------------------ Trust Officer -----END PRIVACY-ENHANCED MESSAGE-----