-----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, IxS3eCvZFNjT+1Yb1A1SYcu8ol9mbpfFOSb9IRN7ai8NIHku32+LSPWAs736Y3Ef QESSnx6Jh3y0J0YO+6Mhpg== 0000904280-03-000019.txt : 20030213 0000904280-03-000019.hdr.sgml : 20030213 20030213164333 ACCESSION NUMBER: 0000904280-03-000019 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20030213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PATAPSCO BANCORP INC CENTRAL INDEX KEY: 0001003961 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 521951797 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50123 FILM NUMBER: 03560369 BUSINESS ADDRESS: STREET 1: 1301 MERRITT BLVD CITY: DUNDALK STATE: MD ZIP: 21222 BUSINESS PHONE: 4102851010 MAIL ADDRESS: STREET 1: 1301 MERRITT BLVD CITY: DUNDALK STATE: MD ZIP: 21222 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PATAPSCO BANCORP INC EMPLOYEE STOCK OWNERSHIP PLAN CENTRAL INDEX KEY: 0001033079 IRS NUMBER: 522004618 STATE OF INCORPORATION: MD FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1301 MERRIT BLVD CITY: DUNDALK STATE: MD ZIP: 21222-2194 BUSINESS PHONE: 4102851010 MAIL ADDRESS: STREET 1: 1301 MERRIT BLVD CITY: DUNDALK STATE: MD ZIP: 21222-2194 SC 13G/A 1 schedule13ga2003-1828.txt SCHEDULE 13G/A #6 2003 - PATAPSCO BANCORP, INC. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 6) (1) PATAPSCO BANCORP, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 702898 10 7 -------------- (CUSIP Number) N/A - -------------------------------------------------------------------------------- (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) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) __________________ (1) 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). Page 1 of 8 pages - -------------------------------------------------------------------------------- CUSIP NO. 702898 10 7 13G PAGE 2 OF 8 PAGES - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS: PATAPSCO BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN TRUST I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 52-2004618 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION STATE OF MARYLAND - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 0 SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER 36,837 OWNED BY ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER 36,837 WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 36,837 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.93% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * EP - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - -------------------------------------------------------------------------------- CUSIP NO. 702898 10 7 13G PAGE 3 OF 8 PAGES - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS: THOMAS P. O'NEILL I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 9,977 (1) SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER 36,837 (2) OWNED BY ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER 9,977 (1) REPORTING ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER 36,837 (2) WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 46,814 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.22% (3) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Includes 2,616 shares that may be acquired upon the conversion of shares of preferred stock and 2,331 shares that may be acquired upon the exercise of options within 60 days. (2) Consists of shares owned by the Patapsco Bancorp, Inc. Employee Stock Ownership Plan Trust, of which the reporting person is a trustee. (3) Assumes that options for 2,331 shares have been exercised and 2,616 shares have been acquired upon the conversion of shares of preferred stock. - -------------------------------------------------------------------------------- CUSIP NO. 702898 10 7 13G PAGE 4 OF 8 PAGES - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS: THEODORE PATTERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 8,946 (1) SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER 36,837 (2) OWNED BY ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER 8,946 (1) REPORTING ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER 36,837 (2) WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 45,783 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.02% (3) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Includes 2,846 shares that may be acquired upon the exercise of options within 60 days. (2) Consists of shares owned by the Patapsco Bancorp, Inc. Employee Stock Ownership Plan Trust, of which the reporting person is a trustee. (3) Assumes that options for 2,846 shares have been exercised. - -------------------------------------------------------------------------------- CUSIP NO. 702898 10 7 13G PAGE 5 OF 8 PAGES - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS: JOSEPH J. BOUFFARD I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES OF AMERICA - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 24,506 (1) SHARES ------------------------------------------------------ BENEFICIALLY 6 SHARED VOTING POWER 36,837 (2) OWNED BY ------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER 24,506 (1) REPORTING ------------------------------------------------------ PERSON 8 SHARED DISPOSITIVE POWER 36,837 (2) WITH - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 61,343 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.49% (3) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON * IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Includes 10,848 shares that may be acquired upon the exercise of options within 60 days. (2) Consists of shares owned by the Patapsco Bancorp, Inc. Employee Stock Ownership Plan Trust, of which the reporting person is a trustee. (3) Assumes that options for 10,848 shares have been exercised. ------------------------------ PAGE 6 OF 8 PAGES ------------------------------ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ITEM 1(a) NAME OF ISSUER. Patapsco Bancorp, Inc. ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES. 1301 Merritt Boulevard Dundalk, Maryland 21222-2194 ITEM 2(a) NAME OF PERSON(S) FILING. Patapsco Bancorp, Inc. Employee Stock Ownership Plan Trust ("ESOP"), and the following individuals who serve as its trustees: Thomas P. O'Neill, Theodore Patterson and Joseph J. Bouffard. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE. Same as Item 1(b). ITEM 2(c) CITIZENSHIP. See Row 4 of the second part of the cover page provided for each reporting person. ITEM 2(d) TITLE OF CLASS OF SECURITIES. Common Stock, par value $.01 per share. ITEM 2(e) CUSIP NUMBER. See the upper left corner of the second part of the cover page provided for each reporting person. ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (f) [X] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); Items (a), (b), (c), (d), (e), (g), (h), (i), and (j) are not applicable. This Schedule 13G is being filed on behalf of the ESOP identified in Item 2(a), filing under the Item 3(f) classification, and by each trustee of the trust established pursuant to the ESOP, filing pursuant to Rule 13d-1(c) and applicable SEC no-action letters. ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: See Row 9 of the second part of the cover page provided for each reporting person. ------------------------------ PAGE 7 OF 8 PAGES ------------------------------ (b) Percent of Class: See Row 11 of the second part of the cover page provided for each reporting person. (c) See Rows 5, 6, 7, and 8 of the second part of the cover page provided for each reporting person. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: [ ] ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. The ESOP Committee has the power to determine whether dividends on allocated shares that are paid to the ESOP trust are distributed to participants or are used to repay the ESOP loan. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATIONS. By signing below, each signatory in the capacity of an ESOP trustee certifies that, to the best of his 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. By signing below, each signatory in his individual capacity certifies that, to the best of his knowledge and belief, the securities referred to above 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 8 of 8 Pages ----------------------------- 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. PATAPSCO BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN TRUST By Its Trustees: /s/ Thomas P. O'Neill February 7, 2003 - ------------------------------------------------ ----------------- Thomas P. O'Neill, as Trustee Date /s/ Theodore Patterson February 7, 2003 - ------------------------------------------------ ----------------- Theodore Patterson, as Trustee Date /s/ Joseph J. Bouffard February 7, 2003 - ------------------------------------------------ ----------------- Joseph J. Bouffard, as Trustee Date /s/ Thomas P. O'Neill February 7, 2003 - ------------------------------------------------ ----------------- Thomas P. O'Neill, as Individual Stockholder Date /s/ Theodore Patterson February 7, 2003 - ------------------------------------------------ ----------------- Theodore Patterson, as Individual Stockholder Date /s/ Joseph J. Bouffard February 7, 2003 - ------------------------------------------------ ----------------- Joseph J. Bouffard, as Individual Stockholder Date EX-99 3 ex99schedule13ga2003-1828.txt EXHIBIT 99 TO SCHEDULE 13G/A 2003 EXHIBIT 99 AGREEMENT RELATING TO FILING OF JOINT STATEMENT PURSUANT TO RULE 13d-1(k) UNDER THE SECURITIES ACT OF 1934 The undersigned agree that the Statement on Schedule 13G to which this Agreement is attached is filed on behalf of each of them. Date: February 7, 2003 PATAPSCO BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN TRUST By Its Trustees: /s/ Thomas P. O'Neill February 7, 2003 - -------------------------------------------------- ---------------- Thomas P. O'Neill, as Trustee Date /s/ Theodore Patterson February 7, 2003 - -------------------------------------------------- ---------------- Theodore Patterson, as Trustee Date /s/ Joseph J. Bouffard February 7, 2003 - -------------------------------------------------- ---------------- Joseph J. Bouffard, as Trustee Date /s/ Thomas P. O'Neill February 7, 2003 - -------------------------------------------------- ---------------- Thomas P. O'Neill, as an Individual Stockholder Date /s/ Theodore Patterson February 7, 2003 - -------------------------------------------------- ---------------- Theodore Patterson, as an Individual Stockholder Date /s/ Joseph J. Bouffard February 7, 2003 - -------------------------------------------------- ---------------- Joseph J. Bouffard, as an Individual Stockholder Date -----END PRIVACY-ENHANCED MESSAGE-----