-----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, IN50JH8fQCMkQBWUyShwUzOK66kY7ldoHZb8br0r4KpriPv09HWOjlNYDrdrQqse 6R0XQjxN469Ps070FRXPfg== /in/edgar/work/20000602/0001044966-00-000010/0001044966-00-000010.txt : 20000919 0001044966-00-000010.hdr.sgml : 20000919 ACCESSION NUMBER: 0001044966-00-000010 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000602 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTHEAST PENNSYLVANIA FINANCIAL CORP CENTRAL INDEX KEY: 0001050996 STANDARD INDUSTRIAL CLASSIFICATION: [6036 ] IRS NUMBER: 061504091 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-53911 FILM NUMBER: 648366 BUSINESS ADDRESS: STREET 1: 12 E BROAD ST CITY: HAZLETON STATE: PA ZIP: 18201 BUSINESS PHONE: 5704593700 MAIL ADDRESS: STREET 1: 12 E BROAD STREET CITY: HAZLETON STATE: PA ZIP: 18201 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: JAINDL FREDERICK J CENTRAL INDEX KEY: 0001044966 STANDARD INDUSTRIAL CLASSIFICATION: [ ] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 0 STREET 2: 3150 COFFEETOWN RD CITY: OREFIELD STATE: PA ZIP: 18069 BUSINESS PHONE: 6103953333 MAIL ADDRESS: STREET 2: 3150 COFFEETOWN RD CITY: OREFIELD STATE: PA ZIP: 18069 SC 13D 1 0001.txt PAGE 1 U.S. SECURITIES & EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13D Amendment #1 Under the Securities Exchange Act of 1934 Northeast Pennsylvania Financial Corp. (Name of Issuer) Common Stock (Title of Class Securities) 663905107 (CUSIP Number) Frederick J. Jaindl et al Jaindl Farms Attention: Mark W. Jaindl 3150 Coffeetown Road, Orefield, PA 18069 (610) 395-3333 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 2, 2000 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13D to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d -1(b) (3) or (4), check the following box ( ). Check the following box if a fee is being paid with this statement ( ). (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of less than five percent of such class. See Rule 13d-7.) The information required on the remainder of this cover page shall not be deemed to "file" 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. Cusip No. 663905107 1) Names of Persons S.S. or I.R.S. Identification Nos. of Above Persons: Frederick John Jaindl - SSN ###-##-#### ____________________________________________________________ _________________ 2) Check the Appropriate Box if a Member of a Group (See Instruction): __________ (a)_______ (b) X ____________________________________________________________ _________________ 3) SEC Use Only______ ____________________________________________________________ _________________ 4) Source of Funds (See Instructions) PF00 ____________________________________________________________ _________________ 5) Check if Disclosure of Legal Proceedings is Required Pursuant to items 2 (d) or (e): N/A ____________________________________________________________ _________________ 6) Citizenship or Place of Organization: US U.S. ____________________________________________________________ _________________ Number of 7) Sole Voting Power: 260,100 1,640,150 Shares Bene- ____________________________________________________________ ____ ficially Owned by 8) Shared Voting Power: N/ A Each Report- ____________________________________________________________ ____ ing Person 9) Sole Dispositive Power: 260,100 With________________________________________________________ ________________ 10) Shared Dispositive Power: ____________________________________________________________ _________________ ____________________________________________________________ ______________ 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 260,100 shares ____________________________________________________________ ________________ 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares: Yes No XX N/A ____________________________________________________________ _________________ 13) Percent of Class Represented by Amount in Row (11) 4.90% 6.20% ____________________________________________________________ _________________ 14) Type of Reporting Person (See Instructions): INN ____________________________________________________________ _________________ Cusip No. 663905107 1) Names of Persons S.S. or I.R.S. Identification Nos. of Above Persons: Mark W. Jaindl - SSN ###-##-#### ____________________________________________________________ _________________ 2) Check the Appropriate Box if a Member of a Group (See Instruction): __________ (a)_______ (b) X ____________________________________________________________ _________________ 3) SEC Use Only___________ ____________________________________________________________ _________________ 4) Source of Funds: PF: 00 ____________________________________________________________ _________________ 5) Check if Disclosure of Legal Proceedings is Required Pursuant to items 2 (d) or (e): Yes No XX N/A ____________________________________________________________ _________________ 6) Citizenship or Place of Organization: US U.S. ____________________________________________________________ _________________ Number of 7) Sole Voting Power: 16,739 1,640,150 Shares Bene- ____________________________________________________________ ____ ficially Owned by 8) Shared Voting Power: N/ A Each Report- ____________________________________________________________ ____ ing Person 9) Sole Dispositive Power: 16,739 With________________________________________________________ ________________ 10) Shared Dispositive Power: _________________________________________ ____________________________________________________________ _________________ 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 16,739 shares ____________________________________________________________ ________________ 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares Yes No XX N/A ____________________________________________________________ _________________ 13) Percent of Class Represented by Amount in Row (11) .32% 6.20% ____________________________________________________________ _________________ 14) Type of Reporting Person (See Instructions): INN ____________________________________________________________ _________________ Cusip No. 663905107 1) Names of Persons S.S. or I.R.S. Identification Nos. of Above Persons: Frederick J. Jaindl Foundation - EIN 23-2495124 ____________________________________________________________ _________________ 2) Check the Appropriate Box if a Member of a Group (See Instruction): __________ (a)_______ (b) X ____________________________________________________________ _________________ 3) SEC Use Only____________ ____________________________________________________________ _________________ 4) Source of Funds: WC: 00 ____________________________________________________________ _________________ 5) Check if Disclosure of Legal Proceedings is Required Pursuant to items 2 (d) or (e): Yes No XX N/A ____________________________________________________________ _________________ 6) Citizenship or Place of Organization: PA U.S. ____________________________________________________________ _________________ Number of 7) Sole Voting Power: 42,500 1,640,150 Shares Bene- ____________________________________________________________ ____ ficially Owned by 8) Shared Voting Power: N/ A Each Report- ____________________________________________________________ ____ ing Person 9) Sole Dispositive Power: 42,500 With________________________________________________________ ________________ 10) Shared Dispositive Power: N/A ____________________________________________________________ _________________ ___________________________________________________ 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 42,500 shares ____________________________________________________________ ________________ 12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares: Yes No XX N/A ____________________________________________________________ _________________ 13) Percent of Class Represented by Amount in Row (11) .80% 6.20% ____________________________________________________________ _________________ 14) Type of Reporting Person: Foundation IN ____________________________________________________________ _________________ Item 1. . This Schedule 13D filing relates to the common stock, $.01 par value, of Northeast Pennsylvania Financial, Inc. a savings and loan holding company having its principal business offices at 12 E. Broad Street, Hazleton, Pennsylvania 18201 (the "Company"). Item 2. Identity and Background (a) This statement is being filed by Frederick J. Jaindl, Mark W. Jaindl, and the Frederick J. Jaindl Foundation ("Foundation"). (b) Frederick J. Jaindl's principal business address is Jaindl Farms, 3150 Coffeetown Road, Orefield, PA 18069. Mark W. Jaindl's principal business address is American Bank, 4029 W. Tilghman Street, Allentown PA 18104. The Foundation's principal business address is 3150 Coffeetown Road, Orefield, PA 18069. (c) Fred Jaindl's present principal occupation is as the sole proprietor of Jaindl Farms and the principal shareholder and chief executive officer of Jaindl's Inc. Both of these businesses have their principal offices at 3150 Coffeetown Road, Orefield, PA 18069. Fred Jaindl is the Chairman and Mark Jaindl is the President and Chief Executive Officer of the American Bank, a commercial bank whose principal business address is 4029 West Tilghman Street, Allentown PA 18104. (d) During the past five years neither Fred Jaindl, nor Mark Jaindl have been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors). (e) During the past five years neither Fred Jaindl, nor Mark Jaindl have been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of which was subject to a judgement, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violations with respect to such laws. (f) Frederick J. Jaindl and Mark W. Jaindl are U.S. citizens. The Frederick J. Jaindl Foundation is a charitable foundation. Item 3. Source and Amount of Funds or Other Consideration. Frederick J. Jaindl has business interests ranging from turkey farming to real estate development. In the regular course of these businesses, he borrows funds from various lenders to finance their daily operations. Since most of these businesses are structured as sole proprietorships and corporations controlled by Mr. Jaindl, he typically reinvests back into his operations most of the net profits generated by these entities or by any personal investments he routinely makes. From time to time he recovers the equity invested in his businesses either by taking distributions from current profits or by financing assets held by one of his business entities, thereby allowing him to realize a portion of the equity accumulated in those assets without having to sell them. The personal funds he has used and may use in the future to purchase shares of common stock of the Company have been generated from the equity and profits he accumulates in his various businesses as described above. Fred Jaindl and Mark Jaindl have in the past borrowed funds to purchase investments or to finance their other business interests. Fred and Mark Jaindl may in the future borrow funds to purchase additional shares of the Company's common stock or to finance their other business interests, which loans may be secured by pledges of the Company's common stock. Item 4. Purpose of Transaction. Fred Jaindl, Mark Jaindl, and the Foundation have purchased these shares for investment purposes and have no current plans which would result in any actions enumerated in the Schedule 13d instructions for this Item 4. However, any of the above may acquire or sell shares of the Company common stock if attractive investment opportunities become available in the future. Item 5. Interest in Securities of the Issuer. (a) Fred Jaindl, Mark Jaindl, and the Foundation own 260,100, 16,739, and 42,500 shares respectively of common stock of the Company. In total, and as a result of shares repurchased by the Company, these 319,339 shares constitute 6.02% of the 5,308,149 shares of Company common stock outstanding as of May 9, 2000. (b) Fred Jaindl, Mark Jaindl and the Foundation have the sole voting and dispositive power of 260,100, 16,739, and 42,500 respectively of common stock they hold. (c) The following transactions were effected by or on behalf of each of the above during the past sixty days: Frederick J. Jaindl N/A Mark W. Jaindl N/A Frederick J. Jaindl Foundation N/A (d) Not applicable (e) Not applicable Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer. Not applicable.-7n 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. June 2, 2000 ________________________________________ Signature Mark W. Jaindl -----END PRIVACY-ENHANCED MESSAGE-----