-----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, F9SRLA1C3956b1XZJiLexSHJi4OGyC81wrFhdpbFBCxoYr2U05e9L+ekGmc8iJzs XxsL7fnwc1NzfOx9fYlnAg== 0000919574-96-000655.txt : 19960711 0000919574-96-000655.hdr.sgml : 19960711 ACCESSION NUMBER: 0000919574-96-000655 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19960710 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST OAK BANCSHARES CENTRAL INDEX KEY: 0000717837 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 363220778 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-38558 FILM NUMBER: 96592998 BUSINESS ADDRESS: STREET 1: 1400 WEST 16TH STREET CITY: OAK BROOK STATE: IL ZIP: 60521 BUSINESS PHONE: 7085711050 MAIL ADDRESS: STREET 1: 2015 SPRING RD CITY: OAK BROOK STATE: IL ZIP: 60521 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BASSWOOD PARTNERS L P ET AL CENTRAL INDEX KEY: 0000942793 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 52 FOREST AVENUE CITY: PARAMUS STATE: NJ ZIP: 07652 MAIL ADDRESS: STREET 1: 52 FOREST AVENUE STREET 2: P O BOX 1549 CITY: PARAMUS STATE: NJ ZIP: 07653 SC 13D/A 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.D. 20549 SCHEDULE 13D AMENDMENT No.: 1 Name of Issuer: First Oak Brook BancShares, Inc. Title of Class of Securities: Class A Common Stock CUSIP Number: 335847208 (Name Address and Telephone Number of Person Authorized To Receive Notices and Communications) Bennett Lindenbaum, c/o Basswood Partners, 52 Forest Avenue, Paramus, NJ 07652; (201) 843-3644 (Date of Event which Requires Filing of this Statement) July 1, 1996 If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting 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 or less of such class.) (See Rule 13d-7.) Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. The information required on 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). 2 CUSIP No. 3358472080 1. Name of Reporting Person S.S. OR I.R.S. Identification No. of Above Person Basswood Partners, L.P. 2. Check the Appropriate Box if a Member of a Group a. b. x 3. SEC Use Only 4. Source of Funds* WC 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) PURSUANT TO ITEMS 2(d) of 2(e) 6. Citizenship or Place of Organization Delaware Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power: 8. Shared Voting Power: 172,641 9. Sole Dispositive Power: 10. Shared Dispositive Power: 172,641 11. Aggregate Amount Beneficially Owned by Each Reporting Person 172,641 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* 3 13. Percent of Class Represented by Amount in Row (11) 9.38% 14. Type of Reporting Person* PN 4 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Matthew Lindenbaum ###-##-#### 2. Check the Appropriate Box if a Member of a Group* a. b. x 3. SEC Use Only 4. Source of Funds* WC 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6. Citizenship or Place of Organization U.S.A. Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power: 8. Shared Voting Power: 172,641 9. Sole Dispositive Power: 10. Shared Dispositive Power: 172,641 11. Aggregate Amount Beneficially Owned by Each Reporting Person 172,641 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* 13. Percent of Class Represented by Amount in Row (11) 9.38% 5 14. Type of Reporting Person* IN 6 1. Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Bennett Lindenbaum ###-##-#### 2. Check the Appropriate Box if a Member of a Group* 3. SEC Use Only 4. Source of Funds* WC 5. Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) 6. Citizenship or Place of Organization U.S.A. Number of Shares Beneficially Owned by Each Reporting Person With: 7. Sole Voting Power: 8. Shared Voting Power: 172,641 9. Sole Dispositive Power: 10. Shared Dispositive Power: 172,641 11. Aggregate Amount Beneficially Owned by Each Reporting Person 172,641 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain Shares* 13. Percent of Class Represented by Amount in Row (11) 9.38% 14. Type of Reporting Person* IN 7 00705003.AE4 Item 1. Security and Issuer This statement relates to shares of Class A voting common stock (the "Class A Common Stock") of First Oak Brook BancShares, Inc. ("First Oak Brook"). First Oak Brook's principal executive office is located at 1400 16th Street, Oak Brook, IL 60521-1300. Item 2. Identity and Background No Change. Item 3. Source and Amount of Funds or Other Consideration As of the date hereof, Basswood, Matthew Lindenbaum and Bennett Lindenbaum are deemed to beneficially own 172,641 shares of First Oak Brook's Class A Common Stock. All 172,641 shares are held by Basswood Financial Partners, L.P. (the "Partnership"), Basswood International Fund, Inc., a Cayman Islands exempted company (the "International Fund") or by certain managed accounts over which Basswood, Matthew Lindenbaum and Bennett Lindenbaum have investment discretion (the "managed accounts"). The shares were purchased in open market transactions at an aggregate cost of $3,669,207. The funds for the purchase of the Class A Common Stock held in the Partnership, the International Fund and the managed accounts have come from the Partnership's, the International Fund's or the managed accounts' own funds. Leverage was used to purchase shares of Class A Common Stock First Oak Brook. 8 Item 4. Purpose of Transaction No change. Item 5. Interest in Securities of the Issuer As of the date hereof, Basswood, Matthew Lindenbaum and Bennett Lindenbaum are deemed to be the beneficial owners of 172,461 shares of First Oak Brook's Class A Common Stock. Based on First Oak Brook's filing on Form 10-Q on May 14, 1996, as of March 31, 1996 there were believed to be 839,706 shares of First Oak Brook's Class A Common Stock outstanding. Therefore, Basswood, Matthew Lindenbaum and Bennett Lindenbaum beneficially own 9.38% of First Oak Brook's outstanding shares of Class A Common Stock. Basswood, Matthew Lindenbaum and Bennett Lindenbaum have the power to vote, direct the vote, dispose of or direct the disposition of all the shares of First Oak Brook's Class A Common Stock that they currently beneficially own. Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer No change. Item 7. Material to be Filed as Exhibits Attached hereto as Exhibit A is a description of the transactions in the Class A Common Stock of First Oak Brook that were effected by the reporting persons during the past sixty days. 9 Signature The undersigned, after reasonable inquiry and to the best of its knowledge and belief, certifies that the information set forth in this statement is true, complete and correct. BASSWOOD PARTNERS, L.P. By: Basswood Management, Inc., its General Partner By: /s/ Matthew Lindenbaum _____________________________ Matthew Lindenbaum, President /s/ Matthew Lindenbaum _________________________________ Matthew Lindenbaum /s/ Bennett Lindenbaum _________________________________ Bennett Lindenbaum July 10, 1996 10 00705003.AE4 AGREEMENT The undersigned agree that this Schedule 13D dated July 10, 1996 relating to the Common Stock of First Oak Brook BancShares, Inc. shall be filed on behalf of the undersigned. BASSWOOD PARTNERS, L.P. By: Basswood Management, Inc., its General Partner By: /s/ Matthew Lindenbaum _____________________________ Matthew Lindenbaum, President /s/ Matthew Lindenbaum _________________________________ Matthew Lindenbaum /s/ Bennett Lindenbaum _________________________________ Bennett Lindenbaum 11 00705003.AE4 EXHIBIT A Daily Transactions - Common Stock Trade Date Number of Shares Purchased Price Per Share - ---------- -------------------------- --------------- 7/1/96 5,685 $24.75 7/5/96 10,000 24.75 12 00705003.AE4 -----END PRIVACY-ENHANCED MESSAGE-----