-----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, BMZCmbhRJNMNNf4641E9tgQda/zos8kSSJ2HxKNbWX2sWO7RlL5SGP62QCCEk4eI rjQq+WeRNkaT6EcD/9S6mw== 0000943374-00-000043.txt : 20000215 0000943374-00-000043.hdr.sgml : 20000215 ACCESSION NUMBER: 0000943374-00-000043 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: POCAHONTAS BANCORP INC CENTRAL INDEX KEY: 0001051859 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 710806097 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-54227 FILM NUMBER: 539491 BUSINESS ADDRESS: STREET 1: 203 WEST BROADWAY CITY: POCAHONTAS STATE: AR ZIP: 72455 BUSINESS PHONE: 8708924595 MAIL ADDRESS: STREET 1: 203 WEST BROADWAY CITY: POCAHONTAS STATE: AR ZIP: 72455 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: POCAHONTAS BANCORP INC CENTRAL INDEX KEY: 0001051859 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 710806097 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 203 WEST BROADWAY CITY: POCAHONTAS STATE: AR ZIP: 72455 BUSINESS PHONE: 8708924595 MAIL ADDRESS: STREET 1: 203 WEST BROADWAY CITY: POCAHONTAS STATE: AR ZIP: 72455 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)* Pocahontas Bancorp, Inc. ----------------------- (Name of Issuer) Common Stock, $.01 par value per share --------------------------------------------------- (Title of Class of Securities) 730234-10-1 ------------------ (CUSIP Number) December 31, 1999 ----------------- (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). Page 1 of 5 Pages CUSIP NO. 730234 10 1 Page 2 of 5 Pages ================================================================================ 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Pocahontas Federal Savings and Loan Association 401 (k) Savings and Employee Stock Ownership Plan IRS ID No. 71-0753842 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Arkansas - -------------------------------------------------------------------------------- | 5 SOLE VOTING POWER | | 244,353 | | | | | --------------------------------------------------------- | 6 SHARED | VOTING | POWER | NUMBER OF | SHARES | 310,816 BENEFICIALLY | --------------------------------------------------------- OWNED BY | 7 SOLE EACH | DISPOSITIVE REPORTING | POWER PERSON WITH | | | 555,169 | --------------------------------------------------------- | 8 SHARED | DISPOSITIVE | POWER | | | 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 555,169 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.1% of 5,510,614 shares of Common Stock outstanding as of December 31, 1999. - -------------------------------------------------------------------------------- 12 TYPE IN REPORTING PERSON* EP ================================================================================ CUSIP NO. 730234 10 1 Page 3 of 5 Pages Item 1(a). Name of Issuer: Pocahontas Bancorp, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 203 West Broadway Pocahontas, Arkansas 72455-3420 Item 2(a). Name of Person Filing: Pocahontas Federal Savings and Loan Association Employee Stock Ownership Plan Trustee: N. Ray Campbell Marcus Van Camp Ralph B. Baltz Charles Ervin Robert Rainwater Item 2(b). Address of Principal Business Office: 203 West Broadway Pocahontas, Arkansas 72455-3420 Item 2(c). Citizenship or Place of Organization: Arkansas Item 2(d). Title of Class of Securities: Common Stock, par value $.01 per share Item 2(e). CUSIP Number: 730234 10 1 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: (f) |X| This person is an Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974; see 13d-1(b)(1)(ii)(F). Item 4. Ownership: CUSIP NO. 730234 10 1 Page 4 of 5 Pages As of December 31, 1999, the reporting person beneficially owned 555,169 shares of the Issuer. This number of shares represents 10.1% of the common stock, par value $.01 per share, of the Issuer, based upon 5,510,614 shares of such common stock outstanding as of December 31, 1999. As of December 31, 1999, the reporting person has sole power to vote or to direct the vote of 244,353 shares and shared power to vote or to direct the vote of 310,816 shares. The reporting person has sole power to dispose or to direct the disposition of 555,169 shares of common stock. Item 5. Ownership of Five Percent or Less of a Class: Not applicable 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: The reporting person is an employee benefit plan subject to the provisions of the Employee Retirement Income Security Act of 1974. 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 in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. CUSIP NO. 730234 10 1 Page 5 of 5 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: February 14, 2000 POCAHONTAS FEDERAL SAVINGS AND LOAN ASSOCIATION 401(K) SAVINGS AND EMPLOYEE STOCK OWNERSHIP PLAN /s/ Ralph B. Baltz ------------------------------------ Ralph B. Baltz Trustee -----END PRIVACY-ENHANCED MESSAGE-----