-----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, BqBgLaxGkNGO7dxjuZ50+dczgAolqbfgg0EfTF4PkGBlYeeNV72ZTePW+dbXGEm2 9Tuvp2iPi/wB5wdPAY7sOg== 0001051042-02-000009.txt : 20020414 0001051042-02-000009.hdr.sgml : 20020414 ACCESSION NUMBER: 0001051042-02-000009 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TEAM FINANCIAL INC /KS CENTRAL INDEX KEY: 0001082484 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 481017164 STATE OF INCORPORATION: KS FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-58029 FILM NUMBER: 02541058 BUSINESS ADDRESS: STREET 1: 8 WEST PEORIA STREET 2: SUITE 200 CITY: PAOLA STATE: KS ZIP: 66071 BUSINESS PHONE: 9132949667 MAIL ADDRESS: STREET 1: 8 WEST PEORIA STREET 2: SUITE 200 CITY: PAOLA STATE: KS ZIP: 66071 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL & INVESTMENT MANAGEMENT GROUP LTD CENTRAL INDEX KEY: 0001051042 IRS NUMBER: 382562340 STATE OF INCORPORATION: MI FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: P O BOX 40 CITY: SUTTON BAY STATE: MI ZIP: 49682 BUSINESS PHONE: 2312713915 MAIL ADDRESS: STREET 1: PO BOX 40 CITY: SUTTONS BAY STATE: MI ZIP: 49682 SC 13G 1 tfin13g.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 TEAM FINANCIAL, INC. - -------------------------------------------------- (NAME OF ISSUER) COMMON STOCK - -------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 87815X109 - -------------------------------------------------- (CUSIP NUMBER) FEBRUARY 13, 2002 - -------------------------------------------------- (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 persons 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 4 CUSIP NO. 87815X109 SCHEDULE 13G PAGE 2 OF 4 (1) NAME AND IRS NUMBER OF REPORTING PERSONS FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD. (#38-2562340) (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP A.............{ } B.............{ } (3) SEC USE ONLY (4) CITIZENSHIP OR PLACE OF ORGANIZATION MICHIGAN NUMBER OF SHARES OF: (5) SOLE VOTING POWER NONE (6) SHARED VOTING POWER 188,306 (7) SOLE DISPOSITIVE POWER NONE (8) SHARED DISPOSITIVE POWER 188,306 (9) AGGREGATE AMOUNT BENEFICIALLY OWNED 188,306 *SEE NOTE 1* (10) CHECK IF AGGREGATE AMOUNT EXCEEDS CERTAIN SHARES { } (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.51% (12) TYPE OF REPORTING PERSON IA (14) CHECK THE APPROPRIATE BOX TO DESIGNATE THE RULE PURSUANT TO FILING {X} RULE 13D-1(b) { } RULE 13D-1(c) { } RULE 13D-1(d) CUSIP 87815X109 SCHEDULE 13G PAGE 3 OF 4 ITEM 1 (A) NAME OF ISSUER TEAM FINANCIAL, INC. ITEM 1 (B) ADDRESS OF ISSUER 8 WEST PEORIA SUITE 200 PAOLA, KANSAS 66071 ITEM 2 (A) NAME OF PERSON FILING FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD ITEM 2 (B) ADDRESS OF PERSON FILING 417 ST JOSEPH ST. PO BOX 40 SUTTONS BAY, MI 49682 ITEM 2 (C) CITIZENSHIP MICHIGAN ITEM 2 (D) TITLE OF CLASS OF SECURITIES COMMON STOCK ITEM 2 (E) CUSIP NO. 87815X109 ITEM 3 THIS STATEMENT IS BEING FILED BY AN INVESTMENT ADVISOR IN ACCORDANCE WITH RULE 13D-1(B)(1)(ii)(E). CUSIP 87815X109 SCHEDULE 13G PAGE 4 OF 4 OWNERSHIP ITEM 4 (A) AMOUNT BENEFICIALLY OWNED 188,306 * SEE NOTE 1 * ITEM 4 (B) PERCENT OF CLASS 4.51% ITEM 4 (C) NUMBER OF SHARES: (i) SOLE POWER TO VOTE NONE (ii) SHARED POWER TO VOTE 188,306 (iii) SOLE POWER TO DISPOSE NONE (iv) SHARED POWER TO DISPOSE 188,306 ** NOTE 1 ** FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD IS A REGISTERED INVESTMENT ADVISOR, MANAGING INDIVIDUAL CLIENT ACCOUNTS. ALL SHARES REPRESENTED IN THIS REPORT ARE HELD IN ACCOUNTS OWNED BY THE CLIENTS OF FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD. BECAUSE OF THIS, FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD DISCLAIMS BENEFICIAL OWNERSHIP. ITEM (5) OWNERSHIP OF LESS THAN FIVE PERCENT CHECK THE FOLLOWING BOX IF THE STATEMENT IS BEING FILED TO NOTIFY THAT THE OWNERSHIP IS NOW LESS THAN FIVE PERCENT { } ITEM (6) OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON ALL SHARES REPRESENTED IN THIS REPORT ARE OWNED BY ADVISORY CLIENTS OF FINANCIAL & INVESTMENT MANAGEMENT GROUP, LTD NONE OF WHICH, TO OUR KNOWLEDGE, OWNS FIVE PERCENT OR MORE OF THE CLASS. 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) 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 influecing the control of the issuer of such securities and were not acquired in the connection with or as a participant in any transaction having such purposes or effect. 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 13, 2002 Paul H. Sutherland President -----END PRIVACY-ENHANCED MESSAGE-----