-----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, AU8DcOasv8ZHtAEvCnh2LXyI69jLqj1UWLxZ/QZxoSwI/MYqSdWjMAQjtQNVaDUk 04vDuD0hrAi6KAakM+nffQ== 0001044966-01-500004.txt : 20010619 0001044966-01-500004.hdr.sgml : 20010619 ACCESSION NUMBER: 0001044966-01-500004 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010618 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 13D SEC ACT: SEC FILE NUMBER: 005-53911 FILM NUMBER: 1662312 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: 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 nep13-3.txt LIVE FILING NORTHEAST PENNSYLVANIA FINANCIAL CORP U.S. SECURITIES & EXCHANGE COMMISSION Washington, D. C. 20549 SCHEDULE 13D Amendment #2 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 12, 2001 (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: 261,700 1,640,150 Shares Bene- __________________________________________________________ ficially Owned by 8) Shared Voting Power: N/ A Each Report- ________________________________________________________________ ing Person 9) Sole Dispositive Power: 261,700 With________________________________________________________________________ 10) Shared Dispositive Power: _____________________________________________________________________________ __________________________________________________________________________ 11) Aggregate Amount Beneficially Owned by Each Reporting Person: 261,700 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) 4.92% 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. Item 4. Purpose of Transaction. Fred Jaindl, Mark Jaindl, and the Foundation purchased these shares for investment purposes and have determined to sell their ownership interest to Northeast Pennsylvania Financial Corp. Following the sale, Fred Jaindl, Mark Jaindl and the Foundation will own zero shares of the Company. Item 5. Interest in Securities of the Issuer. (a) Fred Jaindl, Mark Jaindl, and the Foundation own 261,700, 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 320,939 shares constitute 6.01% of the 5,313,844 shares of Company common stock outstanding as of May 11, 2001. (b) Fred Jaindl, Mark Jaindl and the Foundation have the sole voting and dispositive power of 261,700, 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 Date Type Shares Price 06/12/01 Sale 261,700 $13.75/share Mark W. Jaindl Date Type Shares Price 06/12/01 Sale 16,739 $13.75/share Frederick J. Jaindl Foundation Date Type Shares Price 06/12/01 Sale 42,500 $13.75/share (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 12, 2001 ________________________________________ Signature Mark W. Jaindl PAGE PAGE 1 -----END PRIVACY-ENHANCED MESSAGE-----