-----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, KvKCVVUsW+/0S9MxJyJFu45VkUFTYfXo1yGjv01px7R0aTrBSBb4QBbdIVrJTz04 3lcS3Av6G5nEJfOwcqQW8w== 0001025537-00-000033.txt : 20000215 0001025537-00-000033.hdr.sgml : 20000215 ACCESSION NUMBER: 0001025537-00-000033 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOPFED BANCORP INC CENTRAL INDEX KEY: 0001041550 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 561995728 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-55513 FILM NUMBER: 539970 BUSINESS ADDRESS: STREET 1: 2700 FORT CAMPBELL BLVD CITY: HOPKINSVILLE STATE: KY ZIP: 42440 BUSINESS PHONE: 5028851171 MAIL ADDRESS: STREET 1: 2700 FORT CAMPBELL BLVD CITY: HOPKINSVILLE STATE: KY ZIP: 42440 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HOPFED BANCORP INC EMPLOYEE STOCK OWNERSHIP PLAN TRUST CENTRAL INDEX KEY: 0001078767 STANDARD INDUSTRIAL CLASSIFICATION: [] FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2700 FORT CAMPBLEE BLVD CITY: HOPKINSVILLE STATE: KY ZIP: 42240 BUSINESS PHONE: 5028851171 MAIL ADDRESS: STREET 1: 2700 FORT CAMPBELL BLVD CITY: HOPKINSVILLE STATE: KY ZIP: 42240 SC 13G/A 1 1ST AMENDMENT TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (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. 1)* HOPFED BANCORP, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 439734 10 4 - -------------------------------------------------------------------------------- (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) *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 7 Pages CUSIP NO. 439734 10 4 13G Page 2 of 7 Pages ========= ====================================================================== 1 NAMES OF REPORTING PERSONS: The HopFed Bancorp, Inc. Employee Stock Ownership Plan Trust I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 61-1346659 - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |X| - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 3 SEC USE ONLY - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Commonwealth of Kentucky - --------- ---------------------------------------------------------------------- - -------------------------- --- ------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER 0 -------- --- ------------------------------------------------- --- ------------------------------------------------- BENEFICIALLY OWNED BY 6 SHARED VOTING POWER 167,028 -------- --- ------------------------------------------------- --- ------------------------------------------------- EACH REPORTING 7 SOLE DISPOSITIVE POWER 0 -------- --- ------------------------------------------------- --- ------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER 167,028 -------- WITH --- ------------------------------------------------- - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 167,028 - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.24 % - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* EP ========= ====================================================================== *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 439734 10 4 13G Page 3 of 7 Pages ========= ====================================================================== 1 NAMES OF REPORTING PERSONS: Clifton H. Cochran I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 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 of America - --------- ---------------------------------------------------------------------- - -------------------------- --- ------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER 54,401 -------- --- ------------------------------------------------- --- ------------------------------------------------- BENEFICIALLY OWNED BY 6 SHARED VOTING POWER 0 -------- --- ------------------------------------------------- --- ------------------------------------------------- EACH REPORTING 7 SOLE DISPOSITIVE POWER 54,401 -------- --- ------------------------------------------------- --- ------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER 0 ------- WITH --- ------------------------------------------------- - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 54,401 - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.3 % - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN ========= ====================================================================== *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP NO. 439734 10 4 13G Page 4 of 7 Pages ========= ====================================================================== 1 NAMES OF REPORTING PERSONS: Walton G. Ezell I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 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 of America - --------- ---------------------------------------------------------------------- - -------------------------- --- ------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER 54,737 -------- --- ------------------------------------------------- --- ------------------------------------------------- BENEFICIALLY OWNED BY 6 SHARED VOTING POWER 0 -------- --- ------------------------------------------------- --- ------------------------------------------------- EACH REPORTING 7 SOLE DISPOSITIVE POWER 54,737 -------- --- ------------------------------------------------- --- ------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER 0 -------- WITH --- ------------------------------------------------- - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 54,737 - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - --------- ---------------------------------------------------------------------- - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.28 % - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN ========= ====================================================================== *SEE INSTRUCTION BEFORE FILLING OUT! Page 5 of 7 Pages ITEM 1(A). NAME OF ISSUER: HopFed Bancorp, Inc. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICER: 2700 Fort Campbell Boulevard Hopkinsville, KY 42440 ITEM 2(A). NAME OF PERSON(S) FILING: The HopFed Bancorp, Inc. Employee Stock Ownership Plan Trust ("ESOP"), and the following individuals who serve as its trustees: Clifton H. Cochran and Walton G. Ezell. (the "Administrative Committee"). 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); If this statement is filed pursuant to Rule 13d-1(c), check this box. |X| 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. (b) Percent of Class: See Row 11 of the second part of the cover page provided for each reporting person. Page 6 of 7 Pages (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 Administrative 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. 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. CERTIFICATION. 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 7 of 7 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. THE HOPFED BANCORP, INC. EMPLOYEE STOCK OWNERSHIP PLAN TRUST By Its Trustees: /s/ Clifton H. Cochran February 14, 2000 ----------------------------------- ----------------- Clifton H. Cochran, as Trustee Date /s/ Walton G. Ezell February 14, 2000 ----------------------------------- ----------------- Walton G. Ezell, as Trustee Date /s/ Clifton H. Cochran February 14, 2000 - ----------------------------------------------------- ----------------- Clifton H. Cochran, as an individual stockholder Date /s/ Walton G. Ezell February 14, 2000 - ----------------------------------------------------- ----------------- Walton G. Ezell, as an individual stockholder Date -----END PRIVACY-ENHANCED MESSAGE-----