Prepared and filed by St Ives Burrups

-----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, VwUxHJkUGclxTtlq2VIa+e701VnOqbcC+qenE5IJmM6oXLbYbaOqNlLW+M7b4Eql Qb92UhmR4cSQmMkD8E7pTQ== 0000950116-03-005017.txt : 20031230 0000950116-03-005017.hdr.sgml : 20031230 20031230113715 ACCESSION NUMBER: 0000950116-03-005017 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20031230 GROUP MEMBERS: JOSEPH H. ROSSI FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROSSI JOSEPH H CENTRAL INDEX KEY: 0001208926 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 348 HARTFORD TURNPIKE CITY: VERNON STATE: CT ZIP: 06066 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 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-51913 FILM NUMBER: 031076920 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 13D/A 1 sc13da.htm SC 13D/A Prepared and filed by St Ives Burrups

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington D.C. 20549

SCHEDULE 13D

Under the Securities Exchange Act of 1934
(Amendment No. 3)*

Alliance Bancorp of New England, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

01852Q109

(CUSIP Number)

Joseph H. Rossi, c/o Alliance Bancorp of New England, Inc.
348 Hartford Turnpike, Vernon, CT 06066 (860) 875-2500

(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)

December 29, 2003

(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 which is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.


		Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.


		* 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 disclosures provide in a prior cover page.


		The information required on 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).

(continued on the following pages)

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CUSIP No. 01852Q109

	1.	Names of Reporting Persons: Joseph H. Rossi I.R.S. Identification Nos. of the Above Persons (entities only): N/A



	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): BK


	5.	Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e)


	6.	Citizenship of Place of Organization: U.S.A




Number of Shares Beneficially Owned by Each Reporting Person With		7.	Sole Voting Power: 150,693


		8.	Shared Voting Power: 23,648


		9.	Sole Dispositive Power: 150,693


		10.	Shared Dispositive Power: 23,648


	11.	Aggregate Amount Beneficially Owner by Each Reporting Person: 174,341


	12.	Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)


	13.	Percent of Class Represented by Amount in Row (11): 5.58%


	14.	Type of Reporting Person (See Instructions): IN

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This Amendment No. 3 to the Schedule 13D filed on December 5, 2002 (the “Schedule 13D”) by Joseph H. Rossi relates to shares of Common Stock of Alliance Bancorp of New England, Inc., a Delaware corporation. Capitalized terms used herein but not defined shall have the meanings attributed to them in Schedule 13D. Except as amended and supplemented hereby, Schedule 13D remains in full force and effect.

Item 5 Interest in Securities of the Issuer

Item 5 is amended and restated in its entirety as follows:

(a)

The aggregate number and percentage of the Issuer’s Common Stock beneficially owned by Mr. Rossi is as follows:

Number of Shares Beneficially Owned			Percentage of Outstanding Shares Beneficially Owned
174,341⁽¹⁾			5.58%⁽²⁾

___________________

⁽¹⁾Includes 23,318 shares held jointly by his wife and 330 shares held jointly with minor children. Also includes 22,813 shares presently exercisable options.

⁽²⁾Based on a total of 3,125,960 shares of Common Stock outstanding, options granted, and options available for issuance as of December 29, 2003.

(b) Number of shares as to which Mr. Rossi has:


		(i) sole power to vote or direct the vote: 150,693 shares


		(ii) shared power to vote or to direct the vote: 23,648 shares


		(iii) sole power to dispose or to direct the disposition: 150,693 shares


		(iv) shared power to dispose or to direct the disposition: 23,648 shares


	(c) On December 29, 2003, Mr. Rossi exercised options to purchase:


		•	1,998 shares of Common Stock of the Issuer at an exercise price of $4.32 per share pursuant to a grant of options in 1996 by the Board of Directors to Mr. Rossi;


		•	2,515 shares of Common Stock of the Issuer at an exercise price of $5.23 per share pursuant to a grant of options in 1996 by the Board of Directors to Mr. Rossi;


		•	9,900 shares of Common Stock of the Issuer at an exercise price of $10.38 per share pursuant to a grant of options in 1997 by the Board of Directors to Mr. Rossi;

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		•	13,200 shares of Common Stock of the Issuer at an exercise price of $9.66 per share pursuant to a grant of options in 1998 by the Board of Directors to Mr. Rossi;


		•	35,200 shares of Common Stock of the Issuer at an exercise price of $8.07 per share pursuant to a grant of options in 1999 by the Board of Directors to Mr. Rossi; and


		•	27,187 shares of Common Stock of the Issuer at an exercise price of $17.70 per share pursuant to a grant of options in 2002 by the Board of Directors to Mr. Rossi;


	(d) Not applicable.


	(e) Not applicable.

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SIGNATURES

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.

	Dated: December 29, 2003

	/s/ Joseph H. Rossi
	Joseph H. Rossi

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)

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