-----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, FyTUP2MtrsIHKgYiFcGd+K8xxSdPsDNJh09z67inA3Xf/pjZA9oLsJ83tBtdmk8G iUUIaH8QfzVyiYr76HR4Pg== 0001004275-01-500002.txt : 20010129 0001004275-01-500002.hdr.sgml : 20010129 ACCESSION NUMBER: 0001004275-01-500002 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010125 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/A SEC ACT: SEC FILE NUMBER: 005-53131 FILM NUMBER: 1514736 BUSINESS ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 BUSINESS PHONE: 4175204333 MAIL ADDRESS: STREET 1: 1341 WEST BATTLEFIELD CITY: SPRINGFIELD STATE: MO ZIP: 65807 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALPINE ASSOCIATES A LTD PARTNERSHIP /NJ CENTRAL INDEX KEY: 0001004275 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 060944931 STATE OF INCORPORATION: NJ FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 100 UNION AVE CITY: CRESSKILL STATE: NJ ZIP: 07626 BUSINESS PHONE: 2018710866 MAIL ADDRESS: STREET 1: 100 UNION AVENUE CITY: CRESSKILL STATE: NJ ZIP: 07626 SC 13G/A 1 gfeda1.txt SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------------- SCHEDULE 13G (RULE 13D-102) (Amendment No. 1) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(b), (c) AND (d) AND AMENDMENT THERETO FILED PURSUANT TO RULE 13D-2(B) ------------ Guaranty Federal Bancshares, Inc. - ----------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.10 40108P101 - ------------------------------ --------------------------------- (Title of class of securities) (CUSIP number) - ----------------------------------------------------------------------------- (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) [_] Rule 13d-1 (c) [X] Rule 13d-1 (d) - --------------------- * The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided 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 and Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of that Act but shall be subject to all other provisions of the Act (however, see the Notes). 1 NAME OF REPORTING PERSON: Alpine Associates, A Limited Partnership S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: #06-0944931 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*: (A) [X] (B) [_] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION: New Jersey NUMBER OF SHARES 5 SOLE VOTING POWER: 295,081 BENEFICALLY 6 SHARED VOTING POWER: 0 OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER: 295,081 PERSON WITH 8 SHARED DISPOSITIVE POWER: 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON: 295,081 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [_] EXCLUDES CERTAIN SHARES*: 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 6.63% 12 TYPE OF REPORTING PERSON*: PN, BD 1 NAME OF REPORTING PERSON: Alpine Partners, L.P. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: #22-3528110 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*: (A) [X] (B) [_] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION: New Jersey NUMBER OF SHARES 5 SOLE VOTING POWER: 13,500 BENEFICALLY 6 SHARED VOTING POWER: 0 OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER: 13,500 PERSON WITH 8 SHARED DISPOSITIVE POWER: 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY REPORTING PERSON: 13,500 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [_] EXCLUDES CERTAIN SHARES*: 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9): 0.30% 12 TYPE OF REPORTING PERSON*: PN, BD ITEM 1 (A). NAME OF ISSUER: Guaranty Federal Bancshares, Inc. ITEM 1 (B). ADDRESS OF ISSUERS PRINCIPAL EXECUTIVE OFFICES: 1341 West Battlefield Springfield, MO 65807 ITEM 2 (A). NAME OF PERSON FILING: (I) Alpine Associates, A Limited Partnership (II) Alpine Partners, L.P. ITEM 2 (B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: As to Alpine Associates: 100 Union Avenue Cresskill, NJ 07626 As to Alpine Partners: 100 Union Avenue Cresskill, NJ 07626 ITEM 2 (C). CITIZENSHIP: As to Alpine Associates: New Jersey As to Alpine Partners: New Jersey ITEM 2 (D). TITLE OF CLASS OF SECURITIES: Common Stock, Par Value $0.10 ITEM 2 (E). CUSIP NUMBER: 40108P101 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: (a) [_] Broker or dealer registered under section 15 of the Exchange Act. (b) [_] Bank as defined in section 3(a)(6) of the Exchange Act. (c) [_] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [_] Investment company registered under Section 8 of the Investment Company Act. (e) [_] An investment adviser in accordance with Rule 13d-1(b)(1) (ii)(E). (f) [_] An employee benefit plan or endowment fund in accordance with Rule 13d-1 (b)(1)(ii)(F). (g) [_] A parent holding company or control person in accordance with Rule 13d-1 (b)(1)(ii)(G). (h) [_] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) [_] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. (j) [_] Group, in accordance with Rule 13d-1 (b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1 (c), check this box. [_] ITEM 4. OWNERSHIP. The information contained in Items 5 through 11 on the cover pages hereto is incorporated herein by reference. Alpine Associates and Alpine Partners may be deemed to be a group within the meaning of Rule 13d-5 promulgated under the Securities Exchange Act of 1934, as amended, by virtue of their having a common general partner. Each disclaims beneficial interest in the others holdings. 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. 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. CERTIFICATIONS. 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 participant in any transaction having that purpose or effect. SIGNATURE --------- After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. ALPINE ASSOCIATES, A LIMITED PARTNERSHIP By: /S/TODD MASON -------------------------- Todd Mason DATED: January 25, 2001 ALPINE PARTNERS, L.P. By: /S/TODD MASON -------------------------- Todd Mason DATED: January 25, 2001 JOINT FILING AGREEMENT In accordance with Rule 13d-1(f) under the Securities and Exchange Act of 1934, as amended, the parties named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13G with respect to the securities of the company named below: DATED: JANUARY 25, 2001 COMPANY: GUARANTY FEDERAL BANCSHARES, INC. SECURITIES: COMMON STOCK, PAR VALUE $.10 PARTIES ALPINE ASSOCIATES, A Limited Partnership By: /S/TODD MASON ---------------------- ALPINE PARTNERS, L.P. By: /S/TODD MASON ---------------------- -----END PRIVACY-ENHANCED MESSAGE-----