-----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, VzkEx/VQ+tCgwgjdwUXUN/YCXUVjgdyAF9ARKcnINBk1yxTI4cf05AkLbgsyY+9e s5EJ7N2aamKaHDBUqYueaw== 0000909012-03-000662.txt : 20030923 0000909012-03-000662.hdr.sgml : 20030923 20030923161612 ACCESSION NUMBER: 0000909012-03-000662 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030923 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MENDON CAPITAL ADVISORS CORP CENTRAL INDEX KEY: 0001177043 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1117 CHEESE FACTORY ROAD CITY: HONEYOE FALLS STATE: NY ZIP: 14472 BUSINESS PHONE: 5852631307 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCE BANCORP OF NEW ENGLAND INC CENTRAL INDEX KEY: 0001046002 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 061495617 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-51913 FILM NUMBER: 03906269 BUSINESS ADDRESS: STREET 1: 348 HARTFORD TURNPIKE CITY: VERNON STATE: CT ZIP: 06066 BUSINESS PHONE: 8608752500 MAIL ADDRESS: STREET 1: 348 HARTFORD TURNPIKE STREET 2: 348 HARTFORD TURNPIKE CITY: VERNON STATE: CT ZIP: 06066 SC 13G 1 t300562.txt MENDON CAPITAL ADVISORS UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13D-102) (Original Filing)1 ALLIANCE BANCORP OF NEW ENGLAND, INC. ------------------------------------- (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 01852Q109 -------------- (CUSIP Number) September 15, 2004 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: 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 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 (the "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 NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Mendon Capital Advisors Corp. - ------------ ------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------------ ------------------------------------------------------------------- 3 SEC USE ONLY - ------------ ------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------ ------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON 166,900 shares WITH - ------------ ------------------------------------------------------------------- 6 SHARED VOTING POWER Not Applicable - ------------ ------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 166,900 shares - ------------ ------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER Not Applicable - ------------ ------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 166,900 shares - ------------ ------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not Applicable - ------------ ------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.23% - ------------ ------------------------------------------------------------------- 12 TYPE OF REPORTING (SEE INSTRUCTIONS) CO, IA - ------------ ------------------------------------------------------------------- 2 - ------------ ------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Anton V. Schutz - ------------ ------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------------ ------------------------------------------------------------------- 3 SEC USE ONLY - ------------ ------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. - ------------ ------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON 166,900 shares WITH - ------------ ------------------------------------------------------------------- 6 SHARED VOTING POWER Not Applicable - ------------- ------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 166,900 shares - ------------- ------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER Not Applicable - ------------ ------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 166,900 shares - ------------ ------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* Not Applicable - ------------ ------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.23% - ------------ ------------------------------------------------------------------- 12 TYPE OF REPORTING (SEE INSTRUCTIONS) IN - ------------ ------------------------------------------------------------------- 3 ITEM 1(A). NAME OF ISSUER: - ---------- --------------- Alliance Bancorp of New England, Inc. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: - ---------- ------------------------------------------------ 348 Hartford Turnpike Vernon, Connecticut 06066 ITEM 2(A). NAME OF PERSON(S) FILING: - ---------- ------------------------- Mendon Capital Advisors Corp. Anton V. Schutz ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, - ---------- ------------------------------------------------- RESIDENCE: ---------- Each of the above reporting persons have their business address at: 1117 Cheese Factory Road Honeyone Falls, NY 14472 ITEM 2(C). CITIZENSHIP: - ---------- ------------ Mendon Capital Advisors Corp. is organized under the laws of Delaware. Anton V. Schutz is a United States Citizen. ITEM 2(D). TITLE OF CLASS OF SECURITIES: - ---------- ----------------------------- Common Stock ITEM 2(E). CUSIP NUMBER: - ---------- ------------- CUSIP No. 01852Q109 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: ----- Not Applicable ITEM 4. OWNERSHIP - ------- --------- Mendon Capital Advisors Corp., in its capacity as an investment adviser, has the sole right to vote and dispose of the shares of common stock of Alliance Bancorp of New England, Inc. Anton V. Schutz is the sole shareholder and President of Mendon Capital Advisors Corp. (a.) Amount beneficially owned by: Mendon Capital Advisors Corp.: 166,900 shares Anton V. Schutz: 166,900 shares (b.) Percent of class owned by: Mendon Capital Advisors Corp.: 6.23% 4 Anton V. Schutz: 6.23% (c.) Number of shares as to which the person has: 1. Sole power to vote or to direct the vote: Mendon Capital Advisors Corp.: 166,900 shares Anton V. Schutz: 166,900 shares 2. Shared power to vote or to direct the vote: Not Applicable 3. Sole power to dispose of or direct the disposition of: Mendon Capital Advisors Corp.: 166,900 shares Anton V. Schutz: 166,900 shares 4. Shared power to dispose or to direct the disposition of: Not Applicable 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 5% of the class of securities, check the following: [ ] ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF - ------- ------------------------------------------------ ANOTHER PERSON: --------------- Not Applicable 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, we certify that, to the best of our 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 participation in any transaction having that purpose or effect. 5 SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certify that the information set forth in this statement is true, complete and correct. EXECUTED as a sealed instrument this 17th day of September, 2003. Mendon Capital Advisors Corp. By: /S/ ANTON V. SCHUTZ --------------------- By: Anton V. Schutz Its: President /S/ ANTON V. SCHUTZ ---------------------- Anton V. Schutz 6 EXHIBIT 1 AGREEMENT After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of the shares of Common Stock of Alliance Bancorp of New England, Inc. EXECUTED as a sealed instrument this 17th day of September, 2003. Mendon Capital Advisors Corp. By: /S/ ANTON V. SCHUTZ ------------------------ By: Anton V. Schutz Its: President /S/ ANTON V. SCHUTZ ------------------------ Anton V. Schutz 7 -----END PRIVACY-ENHANCED MESSAGE-----