-----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, CG7hjmClalUQkIyuPRp9IafamIdj6hqJpmbqDt6hn0GWzZpZBMWrlulSA65/WUcG zVFbbadg/OztdrLuzmiGDQ== 0000910647-04-000270.txt : 20040608 0000910647-04-000270.hdr.sgml : 20040608 20040608144804 ACCESSION NUMBER: 0000910647-04-000270 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040608 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SMITH ROBERT MICHAEL CENTRAL INDEX KEY: 0001259245 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 191 PINE HILL LANE STREET 2: C/O ASB FANICIAL CORP CITY: PORTSMOUTH STATE: OH ZIP: 45662 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASB FINANCIAL CORP /OH CENTRAL INDEX KEY: 0000944304 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 311429488 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50215 FILM NUMBER: 04853696 BUSINESS ADDRESS: STREET 1: 503 CHILLICOTHE ST CITY: PORTSMOUTH STATE: OH ZIP: 45662 BUSINESS PHONE: 6143543177 MAIL ADDRESS: STREET 1: 503 CHILLICTHE ST CITY: PORTSMOUTH STATE: OH ZIP: 45662 SC 13D/A 1 asb13d-rs.txt AMENDMENT #14 TO SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 14)* ASB Financial Corp. ------------------- (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 00205P 10 7 -------------- (CUSIP Number) Terri Reyering Abare Vorys, Sater, Seymour and Pease LLP Suite 2000, Atrium Two 221 East Fourth Street Cincinnati, Ohio 45202 (513) 723-4001 --------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) December 22, 2000 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. [ ] * 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. 00205P 10 7| SCHEDULE 13D --------------------- ---------------------------------------------------------------------------- | 1. | Names of Reporting Persons | | | | | | Robert M. Smith | | | | | | I.R.S. Identification Nos. of above persons (entities only) | ---------------------------------------------------------------------------- | 2. | Check the Appropriate Box if a Member of a Group (See Instructions) | | | | | | (a) [ ] | | | (b) [ ] | ---------------------------------------------------------------------------- | 3. | SEC Use Only | | | | | | | ---------------------------------------------------------------------------- | 4. | Source of Funds (See Instructions) | | | | | | PF | ---------------------------------------------------------------------------- | 5. | Check if Disclosure of Legal Proceedings is Required Pursuant to | | | Items 2(d) or 2(e) | | | | | | [ ] | ---------------------------------------------------------------------------- | 6. | Citizenship or Place of Organization | | | | | | United States | ---------------------------------------------------------------------------- | | 7. | Sole Voting Power | | | | | | | | 78,666 | | Number of | | | | Shares ----------------------------------------------------------- | Beneficially | 8. | Shared Voting Power | | Owned | | | | By Each | | 43,533 | | Reporting ----------------------------------------------------------- | Person | 9. | Sole Dispositive Power | | With | | | | | | 52,172 | | ----------------------------------------------------------- | | 10. | Shared Dispositive Power | | | | | | | | 70,027 | | | | | ---------------------------------------------------------------------------- | 11. | Aggregate Amount Beneficially Owned by Each Reporting Person | | | | | | 122,199 | | | | ---------------------------------------------------------------------------- | 12. | Check if the Aggregate Amount in Row (11) Excludes Certain Shares | | | (See Instructions) | | | | | | [ ] | ---------------------------------------------------------------------------- | 13. | Percent of Class Represented by Amount in Row (11) | | | | | | 7.1% | ---------------------------------------------------------------------------- | 14. | Type of Reporting Person (See Instructions) | | | | | | IN | ---------------------------------------------------------------------------- 2 Item 1. Security and Issuer Common shares, no par value per share, of ASB Financial Corp. Item 2. Identity and Background (a) Robert M. Smith (b) Robert M. Smith 191 Pine Hill Lane Portsmouth, Ohio 45663 (c) Mr. Smith is President of ASB Financial Corp. (d) Mr. Smith has not been convicted in any criminal proceeding in the past five years. (e) Mr. Smith has not been a party to any civil proceeding regarding state or federal securities laws. (f) Mr. Smith is a citizen of the United States. Item 3. Source and Amount of Funds or Other Consideration The source of funds for Mr. Smith is personal. Item 4. Purpose of Transaction Shares beneficially owned by Mr. Smith have been acquired for investment. Item 5. Interest in Securities of the Issuer (a) As of May 18, 2004, Mr. Smith beneficially owns 122,199 shares, which is 7.1% of the total issued and outstanding common shares of ASB Financial Corp. (the "Issuer"). (b) Mr. Smith has sole voting power with respect to 6,879 shares which he owns directly, 25,000 shares subject to options that he holds, 26,494 shares allocated to his account in the ASB Financial Corp. Employee Stock Ownership Plan (the "ESOP"), 12,295 phantom shares he holds which, upon his retirement, at his option, he could choose to receive in either cash or common shares and 7,998 shares he holds as Trustee of the American Savings Bank, fsb Management Recognition Plan and Trust Agreement (the "MRP"). Mr. Smith has shared voting power with respect to 40,000 shares that are jointly held by he and his spouse and 3,533 shares held by his spouse. Mr. Smith has sole dispositive power with respect to the 6,879 shares he owns directly, the 25,000 shares subject to options, the 12,295 phantom shares and the 7,998 MRP shares he holds as Trustee. Mr. Smith has shared dispositive power with respect to the 40,000 shares held jointly with his spouse, the 3,533 shares held by his spouse and the 26,494 shares allocated to his ESOP account. (c) Not applicable. (d) Not applicable. (e) Not applicable. 3 Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer None. Item 7. Material to be Filed and Exhibits None. 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. Date: June 4, 2004 /s/ Robert M. Smith ------------------------------------ Robert M. Smith 4 -----END PRIVACY-ENHANCED MESSAGE-----