-----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, P2IlBV+wUItTzUfPG+3u0JVNHANgOlr2ex9a/qjYVOE0Br/klFbYn5uz6uZaaHGQ 5L4uDUXVxIN04uVanneOpQ== 0000896463-97-000013.txt : 19970211 0000896463-97-000013.hdr.sgml : 19970211 ACCESSION NUMBER: 0000896463-97-000013 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970207 SROS: NASD GROUP MEMBERS: FFD FINANCIAL CORPORATION EMPLOYEE STOCK GROUP MEMBERS: FIRST BANKERS TRUST CO NA GROUP MEMBERS: OWNERSHIP PLAN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FFD FINANCIAL CORP/OH CENTRAL INDEX KEY: 0001006177 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 341921148 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48609 FILM NUMBER: 97520272 BUSINESS ADDRESS: STREET 1: 321 NORTH WOOSTER STREET CITY: DOVER STATE: OH ZIP: 44622 BUSINESS PHONE: 2163647777 MAIL ADDRESS: STREET 1: 321 NORTH WOOSTER AVE STREET 2: P.O. BOX 38 CITY: DOVER STATE: OH ZIP: 44622 FORMER COMPANY: FORMER CONFORMED NAME: FIRSTFED FINANCIAL CORP /OH/ DATE OF NAME CHANGE: 19960123 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 -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response...14.90 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* FFD FINANCIAL CORPORATION _______________________________________________ (Name of Issuer) COMMON SHARES, NO PAR VALUE _______________________________________________ (Title of Class of Securities) 30243C 10 7 _______________________________________________ (CUSIP Number) Check the following box if a fee is being paid with this statement _____. (A fee is not required only if the filing 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). * 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). -1- CUSIP No. 30243C 10 7 13G 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON FFD 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 5 SOLE VOTING POWER -0- NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED -0- BY EACH REPORTING PERSON 7 SOLE DISPOSITIVE POWER WITH 116,380 8 SHARED DISPOSITIVE POWER -0- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 116,380 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.0% 12 TYPE OF REPORTING PERSON* EP -2- CUSIP No. 30243C 10 7 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 5 SOLE VOTING POWER 116,380 NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED -0- BY EACH REPORTING PERSON 7 SOLE DISPOSITIVE POWER WITH -0- 8 SHARED DISPOSITIVE POWER -0- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 116,380 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.0% 12 TYPE OF REPORTING PERSON* BK -3- ITEM 1(A). Name of Issuer: FFD Financial Corporation ITEM 1(B). Address of Issuer's Principal Executive Offices: 321 North Wooster Avenue Dover, Ohio 44622 ITEM 2(A). Name of Persons Filing: First Bankers Trust Company, N.A. FFD 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 FFD 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 FFD 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: 30243C 10 7 -4- ITEM 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [X] Bank as defined in section 3(a)(19) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Advisor registered under section 203 of the Investment Advisers Act of 1940 (f) [X] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see ss.240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with ss.240.13d- 1(b)(1)(ii)(G) (h) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(H) ITEM 4. Ownership: FIRST BANKERS TRUST COMPANY, N.A. (a) Amount Beneficially Owned: 116,380 (b) Percent of Class: 8.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 116,380 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: -0- -5- (iv) shared power to dispose or to direct the disposition of: -0- FFD FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN (a) Amount Beneficially Owned: 116,380 (b) Percent of Class: 8.0% (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: 116,380 (iv) shared power to dispose or to direct the disposition of: -0- There are 116,380 common shares owned by the FFD 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, 1996, no 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 -6- 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. -7- 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. FEBRUARY 5, 1997 By CARMEN WALCH ______________________ ____________________________________ Date Carmen Walch Trust Officer FFD FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN By First Bankers Trust Company, N.A., Trustee FEBRUARY 5, 1997 By CARMEN WALCH ______________________ ____________________________________ Date Carmen Walch Trust Officer -8- EXHIBIT A AGREEMENT FOR JOINT FILING OF SCHEDULE 13G The undersigned hereby agree that the Schedule 13G being filed with the Securities and Exchange Commission to report their beneficial ownership of more than 5% of the common shares of FFD Financial Corporation, an Ohio corporation, shall be, and is, filed on behalf of each of the undersigned. FIRST BANKERS TRUST COMPANY, N.A. FEBRUARY 5, 1997 By CARMEN WALCH ______________________ ____________________________________ Date Carmen Walch Trust Officer FFD FINANCIAL CORPORATION EMPLOYEE STOCK OWNERSHIP PLAN By First Bankers Trust Company, N.A., Trustee FEBRUARY 5, 1997 By CARMEN WALCH ______________________ ____________________________________ Date Carmen Walch Trust Officer -----END PRIVACY-ENHANCED MESSAGE-----