-----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, Cod6rLan8yZJR0Hz63BlLcS0y17RrPsuLLZetSttA21Xna49M2QmUiqIv0pM1XAM y5+8lwibsk2FuKUuG0/ALQ== 0000909654-99-000100.txt : 19990215 0000909654-99-000100.hdr.sgml : 19990215 ACCESSION NUMBER: 0000909654-99-000100 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST PENNSYLVANIA FINANCIAL CORP CENTRAL INDEX KEY: 0001050996 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 061504091 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-53911 FILM NUMBER: 99537042 BUSINESS ADDRESS: STREET 1: 12 E BROAD ST CITY: HAZLETON STATE: PA ZIP: 18201 BUSINESS PHONE: 7174593700 MAIL ADDRESS: STREET 1: 12 E BROAD STREET CITY: HAZLETON STATE: PA ZIP: 18201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST FEDERAL BANK EMPLOYEE STOCK OWNERSHIP PLAN CENTRAL INDEX KEY: 0001079060 STANDARD INDUSTRIAL CLASSIFICATION: [] FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 12 E BROAD ST STREET 2: C/O NORTHEAST PENNSYLVANIA FINANCIAL COR CITY: HAZLETON STATE: PA ZIP: 18201 BUSINESS PHONE: 5704593700 MAIL ADDRESS: STREET 1: C/O NORTHEAST PENNSYLVANIA FINANCIAL COR STREET 2: 12 E BROAD ST CITY: HAZLETON STATE: PA ZIP: 18201 SC 13G 1 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. __)* Northeast Pennsylvania Financial Corp. ___________________________________________________ (Name of Issuer) Common Stock par value $.01 per share ___________________________________________________ (Title of Class of Securities) 663905-10-7 ___________________________________________________ (CUSIP Number) December 31, 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). SEC 1745 (2-95) Page 1 of 5 pages 2 ________________________________________________________________________________ CUSIP NO. 663905-10-7 13G Page 2 of 5 Pages ________________________________________________________________________________ ________________________________________________________________________________ 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON First Federal Bank Employee Stock Ownership Plan IRS ID No. 24-0607215 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* _ (a) |_| (b) |_| ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Federally chartered stock savings institution's employee stock benefit plan organized in Pennsylvania. ________________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF 514,188 SHARES ___________________________________________________________ 6 SHARED VOTING POWER BENEFICIALLY 0 OWNED BY ___________________________________________________________ 7 SOLE DISPOSITIVE POWER EACH 514,188 REPORTING ___________________________________________________________ 8 SHARED DISPOSITIVE POWER PERSON - 0 - WITH ________________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 514,188 ________________________________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* ________________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.0% of 6,427,350 shares of Common Stock outstanding as of December 31, 1998. ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON* EP ________________________________________________________________________________ *SEE INSTRUCTION BEFORE FILLING OUT! 3 EMPLOYEE STOCK OWNERSHIP PLAN SCHEDULE 13G Item 1(a) Name of Issuer: Northeast Pennsylvania Financial Corp. Item 1(b) Address of Issuer's Principal Executive Offices: 12 E. Broad Street Hazleton, Pennsylvania 18201 Item 2(a) Name of Person Filing: First Federal Bank Employee Stock Ownership Plan Trustee: First Bankers Trust Co. 2321 Koch's Lane Quincy, Illinois 62301 Item 2(b) Address of Principal Business Offices or, if none, Residence: 12 E. Broad Street Hazleton, Pennsylvania 18201 Item 2(c) Citizenship: Federally chartered stock savings institution's employee stock benefit plan organized in Pennsylvania. Item 2(d) Title of Class of Securities: Common Stock par value $.01 per share Item 2(e) CUSIP Number: 663905-10-7 Item 3 The person filing this statement is an employee benefit plan which is subject to the provisions of the Employee Retirement Income Security Act of 1974. Item 4 Ownership. As of December 31, 1998, the reporting person beneficially owned 514,188 shares of the issuer. This number of shares represents 8.0% of the common stock, par value $.01, of the issuer, based upon 6,427,350 shares of such common stock outstanding as of December 31, 1998. As of December 31, 1998, the reporting person has sole power to vote or to direct the vote of 514,188 of the shares and shares voting power over 0 shares. The reporting person has the sole power to dispose or direct the disposition of 514,188 shares of common stock. Page 3 of 5 pages 4 Item 5 Ownership of Five Percent or Less of a Class. N/A Item 6 Ownership of More than Five Percent on Behalf of Another Person. N/A Item 7 Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. N/A Item 8 Identification and Classification of Members of the Group. N/A Item 9 Notice of Dissolution of Group. N/A Page 4 of 5 pages 5 Item 10 Certification. By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired 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. 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. February 12, 1998 _______________________________________________ (Date) /s/ Megan Kennedy _______________________________________________ (Signature) Secretary of Northeast Pennsylvania Financial Corp. ___________________________________________________ (Title) Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----