-----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, EHJJ2O0AD859ZUyWJXxZqEZuGNkbrIpWaVHBkborWkOkzAO0t9t2CDGeQWtveyrP 9Zvu7f2F584aAnODxJtzJg== 0000950134-02-001140.txt : 20020414 0000950134-02-001140.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950134-02-001140 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PULASKI FINANCIAL CORP CENTRAL INDEX KEY: 0001062438 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 431816913 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-55915 FILM NUMBER: 02540345 BUSINESS ADDRESS: STREET 1: 12300 OLIVE BLVD CITY: ST LOUIS STATE: MO ZIP: 63141 BUSINESS PHONE: 3148782210 MAIL ADDRESS: STREET 1: 12300 OLIVE BLVD CITY: ST LOUIS STATE: MO ZIP: 63141 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FELMAN LEON A CENTRAL INDEX KEY: 0001055099 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 7801 FORSYTH BLVD CITY: ST LOUIS STATE: MO ZIP: 63105 BUSINESS PHONE: 3147265000 MAIL ADDRESS: STREET 1: 7801 FORSYTH BLVD CITY: ST LOUIS STATE: MO ZIP: 63105 SC 13G 1 c67488sc13g.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. ___________)* Pulaski Financial Corp. ----------------------- (Name of Issuer) Common Stock, $0.01 par value ------------------------------ (Title of Class of Securities) 745548-10-7 -------------- (CUSIP Number) December 31, 2001 ----------------------------- (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 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). - --------------------- ----------------- CUSIP No. 745548-10-7 13G Page 2 of 5 Pages - --------------------- ----------------- - -------------------------------------------------------------------------------- 1 Names of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only) Leon A. Felman - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group* (a) ( ) (b) (X) - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization USA - -------------------------------------------------------------------------------- Number of 5 Sole Voting Power: 147,732 Shares Beneficially --------------------------------------------------------- Owned by 6 Shared Voting Power: 1,500 Each Reporting Person With --------------------------------------------------------- 7 Sole Dispositive Power: 147,732 --------------------------------------------------------- 8 Shared Dispositive Power: 1,500 - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 149,232 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares* (See Instructions) ( ) - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 5.3% - -------------------------------------------------------------------------------- 12 Type of Reporting Person IN, PN, EP - -------------------------------------------------------------------------------- 2 ITEM 1(a). NAME OF ISSUER Pulaski Financial Corp. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 12300 Olive Boulevard St. Louis, Missouri 63141 ITEM 2(a). NAME OF PERSON FILING Leon A. Felman ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 25 West Brentmoor Park Clayton, Missouri 63105 ITEM 2(c). CITIZENSHIP USA ITEM 2(d). TITLE OF CLASS OF SECURITIES Common stock, par value $0.01 per share ITEM 2(e). CUSIP NUMBER 745548-10-7 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). 3 (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. (a) Amount beneficially owned: 149,232 (b) Percent of class: 5.3% Note: Mr. Felman is filing this Schedule 13-G as a result of repurchases of Pulaski Financial Corp. stock by Pulaski Financial Corp. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 147,732 (ii) Shared power to vote or to direct the vote: 1,500 (iii) Sole power to dispose or to direct the disposition of: 147,732 (iv) Shared power to dispose or to direct the disposition of: 1,500 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. Mr. Felman beneficially owns shares of common stock of Pulaski Financial Corp. through The Felman Family Partnership, L.P., the Leon A. Felman Keough Profit Sharing Plan, his IRA accounts, the Homebaker Brand Profit Sharing Plan, his spouse's IRA and his daughter's IRA. Mr. Felman has the sole power to vote or to direct the vote and the sole power 4 to dispose or to direct the disposition of the shares owned through The Felman Family Partnership, L.P., the Leon A. Felman Keough Profit Sharing Plan, his IRA accounts and the Homebaker Brand Profit Sharing Plan. Mr. Felman has shared power to vote or to direct the vote and shared power to dispose or to direct the disposition of the shares owned through his spouse's IRA and his daughter's IRA. Mr. Felman shares the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares over which he holds shared voting and dispositive powers. 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. Not applicable. 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, 2002 -------------------------------- Date /s/ Leon A. Felman -------------------------------- Signature Leon A. Felman -------------------------------- Name/Title 5 -----END PRIVACY-ENHANCED MESSAGE-----