-----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, GZ46AheronV4P3iGIiq45F+XDXRdUt0Zo9/ZteS8YIRqu8DxhWPiZAJxusz0mhGr XFuQ4lswAtvz3fnXtuDrHw== 0000950142-98-000488.txt : 19980707 0000950142-98-000488.hdr.sgml : 19980707 ACCESSION NUMBER: 0000950142-98-000488 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19980706 SROS: NASD GROUP MEMBERS: ANDREW M. BOAS GROUP MEMBERS: CARL MARKS MANAGEMENT CO L P /NY/ GROUP MEMBERS: CARL MARKS MANAGEMENT COMPANY, L.P. GROUP MEMBERS: ROBERT C. RUOCCO SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GUARANTY FEDERAL BANCSHARES INC CENTRAL INDEX KEY: 0001046203 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 431792717 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-53131 FILM NUMBER: 98660577 BUSINESS ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 BUSINESS PHONE: 4178892494 MAIL ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CARL MARKS MANAGEMENT CO L P /NY/ CENTRAL INDEX KEY: 0000942826 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 133434745 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 135 E 57TH ST CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2129098400 MAIL ADDRESS: STREET 1: 135 EAST 57TH STREET CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES AND EXCHANGE ACT OF 1934 (AMENDMENT NO. ____________)* Guaranty Federal Bancshares, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, Par Value $1.00 Per Share - -------------------------------------------------------------------------------- (Title of Class of Securities) 40108P101 ---------------------------------------------------------------------- (CUSIP Number) June 25, 1998 - -------------------------------------------------------------------------------- (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) [ ] 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). CUSIP No. 40108P101 13G Page 2 of 10 Pages --------- - -------------------------------------------------------------------------------- 1 Name of Reporting Person Carl Marks Management Company, S.S. or I.R.S. Identifica- L.P. tion No. of Above Person - -------------------------------------------------------------------------------- 2 Check the Appropriate Box (a) [ ] if a Member of a Group (b) [ ] - -------------------------------------------------------------------------------- 3 S.E.C. Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 313,700 shares Beneficially (6) Shared Voting Power 0 Owned by Each (7) Sole Dispositive Power 313,700 shares Reporting Person (8) Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 313,700 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares ______ - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 5.04% - -------------------------------------------------------------------------------- 12. Type of Reporting Person IA, PN - -------------------------------------------------------------------------------- CUSIP No. 40108P101 13G Page 3 of 10 Pages --------- - -------------------------------------------------------------------------------- 1 Name of Reporting Person Andrew M. Boas S.S. or I.R.S. Identifica- tion No. of Above Person - -------------------------------------------------------------------------------- 2 Check the Appropriate Box (a) [ ] if a Member of a Group (b) [ ] - -------------------------------------------------------------------------------- 3 S.E.C. Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially (6) Shared Voting Power 313,700 shares Owned by Each (7) Sole Dispositive Power 0 Reporting Person (8) Shared Dispositive Power 313,700 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 313,700 shares - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares ______ - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 5.04% - -------------------------------------------------------------------------------- 12. Type of Reporting Person HC, IN - -------------------------------------------------------------------------------- CUSIP No. 40108P101 13G Page 4 of 10 Pages --------- - -------------------------------------------------------------------------------- 1 Name of Reporting Person Robert C. Ruocco S.S. or I.R.S. Identifica- tion No. of Above Person - -------------------------------------------------------------------------------- 2 Check the Appropriate Box (a) [ ] if a Member of a Group (b) [ ] - -------------------------------------------------------------------------------- 3 S.E.C. Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization United States of America - -------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power 0 Beneficially (6) Shared Voting Power 313,700 shares Owned by Each (7) Sole Dispositive Power 0 Reporting Person (8) Shared Dispositive Power 313,700 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 313,700 shares - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares ______ - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row 9 5.04% - -------------------------------------------------------------------------------- 12. Type of Reporting Person HC, IN - -------------------------------------------------------------------------------- ITEM 1 - ------ (A) NAME OF ISSUER Guaranty Federal Bancshares, Inc. (B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1341 West Battlefield Springfield, MO 65807-4181 ITEM 2 - ------ (A) NAME OF PERSON FILING This Schedule is being jointly filed by Carl Marks Management Company, L.P., a registered investment adviser ("CMMC"), and the two individual general partners of CMMC, Messrs. Andrew M. Boas ("Boas") and Robert C. Ruocco ("Ruocco"). (B) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 135 E. 57th Street New York, New York 10022 (C) CITIZENSHIP (i) CMMC -- A Delaware limited partnership (ii) Messrs. Boas and Ruocco -- United States of America Citizens (D) TITLE OF CLASS OF SECURITIES Common Stock, par value $1.00 per share (E) CUSIP NUMBER 40108P101 ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TOSS.SS.240.13D-1(B) OR - ------ 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). Page 5 of 10 Pages (e) [X] An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E). (CMMC) (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F). (g) [X] A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G). (Boas and Ruocco) (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). ITEM 4 OWNERSHIP - ------ CMMC
(a) Amount Beneficially Owned = 313,700 shares (b) Percent of Class = 5.04% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 313,700 shares (ii) shared power to vote or to direct the vote: None (iii) sole power to dispose or to direct the disposition of: 313,700 shares (iv) shared power to depose or to direct disposition of: None Boas (a) Amount Beneficially Owned = 313,700 shares (b) Percent of Class = 5.04% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: None (ii) shared power to vote or to direct the vote: 313,700 shares (iii) sole power to dispose or to direct the disposition of: None (iv) shared power to dispose or to direct disposition of: 313,700 shares Ruocco (a) Amount Beneficially Owned = 313,700 shares (b) Percent of Class = 5.04% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: None (ii) shared power to vote or to direct the vote: 313,700 shares Page 6 of 10 Pages (iii) sole power to dispose or to direct the disposition of: None (iv) shared power to dispose or to direct disposition of: 313,700 shares
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 - ------ Various funds, partnerships and accounts directly or indirectly managed by one or more of the reporting persons have the right to receive the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock reported herein. No such party beneficially owns more than 5% of the class. 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 I certify that, to the best of my 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. Page 7 of 10 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. Date: July 2, 1998 CMMC By: /s/ Robert C. Ruocco -------------------- Title: General Partner /s/ Andrew M. Boas ------------------ ANDREW M. BOAS /s/ Robert C. Ruocco -------------------- ROBERT C. RUOCCO Page 8 of 10 Pages EX-99.1 2 EXHIBIT 99.1 EXHIBIT 99.1 JOINT SCHEDULE 13G FILING AGREEMENT ----------------------------------- This JOINT SCHEDULE 13G FILING AGREEMENT, made as of the 2nd day of July, 1998, by and among Carl Marks Management Company, L.P. ("CMMC"), a Delaware limited partnership, and Andrew M. Boas ("Boas") and Robert C. Ruocco ("Ruocco"), individually. W I T N E S S E T H: That, in consideration of the promises herein contained, the parties hereto agree as follows: 1. JOINT FILING. CMMC and Boas and Ruocco agree to file from time to time joint Schedules 13G with respect to the beneficial ownership of securities by CMMC (or by such other parties as may be deemed beneficially owned by any of such parties), and to file jointly any further amendments or schedules that may be required with respect to such ownership. 2. REPRESENTATIONS AND WARRANTIES. Each of the parties hereto represents and warrants to the others that it is eligible to file a Schedule 13G and each warrants to the others that all information regarding such persons provided for use in preparing a Schedule 13G pursuant hereto and any amendments thereto shall be accurate and complete. 3. RESPONSIBILITY FOR FILING. Each party hereto retains responsibility, as required by Securities and Exchange Commission's regulations, for the timely filing of any and all Schedules 13G and any amendments thereto and for the completeness and accuracy of the information concerning such party. Each party hereto is not responsible, however, for the completeness and accuracy of the information concerning the other parties hereto, unless such person knows or has reason to believe that such information is inaccurate. 4. DISCLAIMER OF GROUP. Each party disclaims the existence of a "group" with any other party, and as between any and all entities which may beneficially own directly the Page 9 of 10 Pages securities which may be reported in one or more Schedules 13G pursuant hereto, except as otherwise expressly stated in such Schedules. IN WITNESS WHEREOF, the parties hereto have set their hands as of the 2nd day of July, 1998. CARL MARKS MANAGEMENT COMPANY, L.P. By: /s/ Robert C. Ruocco -------------------- Title: General Partner /s/ Andrew M. Boas ------------------ ANDREW M. BOAS /s/ Robert C. Ruocco -------------------- ROBERT C. RUOCCO Page 10 of 10 Pages -----END PRIVACY-ENHANCED MESSAGE-----