-----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, FBqE3byOUZTL1BbBgP0HzXhchYb6MOv37c/PxOA7DPZo+J1gknH/cnhzdu3sPscC AXyOspFObgVUjNdNThQYQg== 0000909654-01-000192.txt : 20010213 0000909654-01-000192.hdr.sgml : 20010213 ACCESSION NUMBER: 0000909654-01-000192 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WORONOCO BANCORP INC CENTRAL INDEX KEY: 0001072886 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 043444269 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-58019 FILM NUMBER: 1531913 BUSINESS ADDRESS: STREET 1: 31 COURT STREET STREET 2: C/O WORONOCO SAVINGS BANK CITY: WESTFIELD STATE: MA ZIP: 01085 BUSINESS PHONE: 4135689141 MAIL ADDRESS: STREET 1: C/O WORONOCO SAVINGS BANK STREET 2: 31 COURT STREET CITY: WESTFIELD STATE: MA ZIP: 01085 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WORONOCO SAVINGS BANK EMPLOYEE STOCK OWNERSHIP PLAN CENTRAL INDEX KEY: 0001104785 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 31 COURT STREET CITY: WESTFIELD STATE: MA ZIP: 01085 BUSINESS PHONE: 4135689147 MAIL ADDRESS: STREET 1: 31 COURT STREET CITY: WESTFIELD STATE: MA ZIP: 01085 SC 13G/A 1 0001.txt 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Woronoco Bancorp, Inc. --------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share ------------------------------------------------------------------ (Title of Class of Securities) 981630106 -------------------------------------------------- (CUSIP Number) December 31, 2000 -------------------------------------------- (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. 981630106 13G/A Page 2 of 5 Pages - -------------------------- ------------------------ --------------------------- - ---- ------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Woronoco Savings Bank Employee Stock Ownership Plan - ---- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /_/ (b) /_/ - ---- ------------------------------------------------------------------------ 3 SEC USE ONLY - ---- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Commonwealth of Massachusetts - ---------------- ----- ------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 399,924 BENEFICIALLY ----- ------------------------------------------------------ OWNED BY 6 SHARED VOTING POWER EACH 79,984 REPORTING ----- ------------------------------------------------------ PERSON 7 SOLE DISPOSITIVE POWER WITH 479,908 ----- ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 0 - ---- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 479,908 - ---- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.6 % of 4,154,464 shares of Common Stock outstanding as of December 31, 2000. - ---- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* EP - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! SEC 1745 (2-95) Page 2 of 5 pages 3 WORONOCO SAVINGS BANK EMPLOYEE STOCK OWNERSHIP PLAN SCHEDULE 13G/A Item 1(a) Name of Issuer: Woronoco Bancorp, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 31 Court Street Westfield, MA 01085 Item 2(a) Name of Person Filing: Woronoco Savings Bank Employee Stock Ownership Plan Trustee: Eastern Bank & Trust Co. 94 Pleasant Street Malden, MA 02148 Item 2(b) Address of Principal Business Offices or, if none, Residence: 31 Court Street Westfield, MA 01085 Item 2(c) Citizenship: Commonwealth of Massachusetts Item 2(d) Title of Class of Securities: Common Stock, par value $0.01 per share Item 2(e) CUSIP Number: 981630106 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, 2000, the reporting person beneficially owned 479,908 shares of the issuer. This number of shares represents 11.6% of the common stock, par value $0.01, of the issuer, based upon 4,154,464 shares of such common stock outstanding as of December 31, 2000. As of December 31, 2000, the reporting person has sole power to vote or to direct the vote of 399,924 of the shares and shares voting power over 79,984 shares. The reporting person has the sole power to dispose or direct the disposition of 479,908 shares of common stock. SEC 1745 (2-95) 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 SEC 1745 (2-95) 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 7, 2001 -------------------------------------------- (Date) /s/ Herbert Claflin -------------------------------------------- (Signature) Herbert Claflin Eastern Bank & Trust Co., as Trustee -------------------------------------------- (Title) SEC 1745 (2-95) Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----