-----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, FX0nSpWaz6ZbWmddM6+Xr8HuIF79hGNLTo0wTkmNYD3mDHDjNWj7FdG7rsZgY2lU KLM2iyNph/xvX4JE+/8Ecw== 0000909654-02-000259.txt : 20020415 0000909654-02-000259.hdr.sgml : 20020415 ACCESSION NUMBER: 0000909654-02-000259 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020306 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: 1934 Act SEC FILE NUMBER: 005-58019 FILM NUMBER: 02568468 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 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 woronocoschedule13g-a.txt 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 3)* Woronoco Bancorp, Inc. -------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share -------------------------------------------------------- (Title of Class of Securities) 981630106 ------------------------------------------ (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: [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). CUSIP No. 981630106 2 - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Woronoco Savings Bank Employee Stock Ownership Plan - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) /_/ (b) /_/ - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Commonwealth of Massachusetts - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 356,332 BENEFICIALLY ------------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH 116,874 REPORTING ------------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 473,206 ------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 473,206 - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 12.7% of 3,737,268 shares of Common Stock outstanding as of December 31, 2001. - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) EP - -------------------------------------------------------------------------------- Page 2 of 6 Pages 3 WORONOCO SAVINGS BANK EMPLOYEE STOCK OWNERSHIP PLAN SCHEDULE 13G/A ITEM 1. (a) Name of Issuer: Woronoco Bancorp, Inc. (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. 217 Essex Street Salem, MA 01970 (b) Address of Principal Business Office or, if none, Residence: 31 Court Street Westfield, MA 01085 (c) Citizenship: See Page 2, Item 4. (d) Title of Class of Securities: Common Stock, par value $0.01 per share (e) CUSIP Number: See Page 1. Page 3 of 6 Pages 4 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.SS.240.13D-1(B) OR 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS: (f)[x] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F). ITEM 4. OWNERSHIP. Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: See Page 2, Item 9. (b) Percent of class: See Page 2, Item 11. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: See Page 2, Item 5. (ii) Shared power to vote or to direct the vote: See Page 2, Item 6. (iii) Sole power to dispose or to direct the disposition of: See Page 2, Item 7. (iv) Shared power to dispose or to direct the disposition of: See Page 2, Item 8. 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 Page 4 of 6 Pages 5 ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. N/A ITEM 9. NOTICE OF DISSOLUTION OF GROUP. N/A ITEM 10. CERTIFICATION. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held 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. Page 5 of 6 Pages 6 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. March 4, 2002 -------------------------------------------- (Date) /s/ John Henderson -------------------------------------------- (Signature) John Henderson Eastern Bank & Trust Co., as Trustee -------------------------------------------- (Name/Title) Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----