-----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, Sjq4WrrtbYCeXYJqJ6WXOh2B+ycxD+v+0Mn4XcmBM0j15gWScT8/QuJzU64x+HhZ mtyarOC8xv7rcFAvalc6mg== 0000950152-03-007815.txt : 20030819 0000950152-03-007815.hdr.sgml : 20030819 20030819142714 ACCESSION NUMBER: 0000950152-03-007815 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030819 GROUP MEMBERS: FINANCIAL STOCKS CAPITAL PARTNERS II, LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CIVITAS BANKGROUP INC CENTRAL INDEX KEY: 0001092099 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 621297760 STATE OF INCORPORATION: TN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-61009 FILM NUMBER: 03855360 BUSINESS ADDRESS: STREET 1: 4 CORPORATE CENTRE STREET 2: 810 CRESCENT CENTRE DRIVE, STE. 320 CITY: FRANKLIN STATE: TN ZIP: 37067 BUSINESS PHONE: (615) 383-4758 MAIL ADDRESS: STREET 1: 4 CORPORATE CENTRE STREET 2: 810 CRESCENT CENTRE DRIVE, STE. 320 CITY: FRANKLIN STATE: TN ZIP: 37067 FORMER COMPANY: FORMER CONFORMED NAME: CUMBERLAND BANCORP INC DATE OF NAME CHANGE: 19990729 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FINANCIAL STOCKS INC CENTRAL INDEX KEY: 0001041241 IRS NUMBER: 311437546 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 507 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132416166 MAIL ADDRESS: STREET 1: 5070 CAREW TOWER 441 VINE ST CITY: CINCINNATI STATE: OH ZIP: 45202 SC 13G 1 l02710asc13g.txt FINANCIAL STOCKS/CIVITAS BANKGROUP SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 Civitas Bankgroup Inc. - ------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.50 par value - ------------------------------------------------------------------------------- (Title of Class of Securities) 230406100 - ------------------------------------------------------------------------------- (CUSIP Number) 07/31/2003 - ------------------------------------------------------------------------------- (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) |X| Rule 13d-1(c) [ ] Rule 13d-1(d) 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. 230406100 PAGE 2 OF 6 Pages - ----------------------------- -------------------------- SCHEDULE 13G - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Financial Stocks Capital Partners II, LP - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) |X| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Ohio - ------------------------------------------------------------------------------- NUMBER OF 5 SHARES SOLE VOTING POWER BENEFICIALLY OWNED BY 888,889 EACH ----------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 0 ----------------------------------------------------- 7 SOLE DISPOSITIVE POWER 888,889 ----------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 888,889 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.3%(1) - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------- - -------- (1) Based on 16,694,080 shares of Common Stock outstanding as of July 31, 2003. - ----------------------------- -------------------------- CUSIP NO. 230406100 PAGE 3 OF 6 Pages - ----------------------------- -------------------------- - ------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Financial Stocks Inc. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) |X| - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Ohio - ------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 888,889 OWNED BY ----------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING PERSON 0 WITH ----------------------------------------------------- 7 SOLE DISPOSITIVE POWER 888,889 ----------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 888,889 - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.3%(2) - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IA - ------------------------------------------------------------------------------- - -------- (2) Based on 16,694,080 shares of Common Stock outstanding as of July 31, 2003. - ----------------------------- -------------------------- CUSIP NO. 230406100 PAGE 4 OF 6 Pages - ----------------------------- -------------------------- ITEM 1(A). NAME OF ISSUER Civitas Bankgroup Inc. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES Corporate Centre, 810 Crescent Center Drive, Suite 320, Franklin, TN 37067 ITEM 2(A). NAME OF PERSON FILING Financial Stocks Capital Partners II, LP ("FSCPII") Financial Stocks, Inc. ("FSI") ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE For both FSCPII and FSI, the address of principal business office is 507 Carew Tower, 441 Vine Street, Cincinnati, OH 45202. ITEM 2(C). ORGANIZATION/CITIZENSHIP For both FSCPII and FSI, the jurisdiction of organization is Ohio. ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock, $.50 par value ITEM 2(E). CUSIP NUMBER 230406100 - ----------------------------- -------------------------- CUSIP NO. 230406100 PAGE 5 OF 6 Pages - ----------------------------- -------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(B) OR 13D-2(B), CHECK WHETHER THE PERSON FILING IS A: For FSI: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) |X| Investment Adviser registered in accordance with Section 240.13d-1(b)(1)(ii)(E); (f) [ ] Employee benefit plan, or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); (h) [ ] A saving associations as defined in section 3(b) of the Federal Deposit Insurance act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). ITEM 4. OWNERSHIP For both FSCPII and FSI: (A) AMOUNT BENEFICIALLY OWNED 888,889 (B) PERCENT OF CLASS 5.3%(3) (C) NUMBER OF SHARES AS TO WHICH THE PERSON HAS: (I) SOLE POWER TO VOTE OR DIRECT THE VOTE 888,889 (II) SHARED POWER TO VOTE OR TO DIRECT THE VOTE 0 (III) SOLE POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF 888,889 (IV) SHARED POWER TO DISPOSE OR TO DIRECT THE DISPOSITION OF 0 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not Applicable - -------- (3) Based on 16,694,080 shares of Common Stock outstanding as of July 31, 2003. - ----------------------------- -------------------------- CUSIP NO. 230406100 PAGE 5 OF 6 Pages - ----------------------------- -------------------------- ITEM 6. OWNERSHIP OF FIVE PERCENT ON BEHALF OF ANOTHER PERSON FSI, as the General Partner of FSCPII, has the right, on behalf of FSCPII, to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such securities. 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, FSI certifies that, to the best of its 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. By signing below, FSCPII certifies that, to the best of its knowledge and belief, the securities referred to above 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 have that purpose or effect. - ----------------------------- -------------------------- CUSIP NO. 230406100 PAGE 5 OF 6 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: August 19, 2003 FINANCIAL STOCKS INC. By: /s/ Steven N. Stein ----------------------------------- Print Name: Steven N. Stein ---------------------------- Title: Chief Executive Officer -------------------------------- FINANCIAL STOCKS CAPITAL PARTNERS II, LP by Financial Stocks Inc., its General Partner By: /s/ Steven N. Stein ----------------------------------- Print Name: Steven N. Stein ---------------------------- Title: Chief Executive Officer -------------------------------- Exhibit 1 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned acknowledge and agree that the foregoing statement on Schedule 13G with respect to the Common Stock, par value $.50 per share, of Civitas Bankgroup Inc., is filed on behalf of each of the undersigned and that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned acknowledge that each shall be responsible for the timely filing of such amendments, and for the completeness and accuracy of the information concerning it contained therein, but shall not be responsible for the completeness and accuracy of the information concerning the others, except to the extent it knows or has reason to believe that such information is inaccurate. This agreement may be executed in separate counterparts, each of which shall be deemed an original, but all of which shall constitute one and the same instrument. Dated: August 19, 2003 FINANCIAL STOCKS INC. By: /s/ Steven N. Stein ------------------------------------- Print Name: Steven N. Stein ------------------------------ Title: Chief Executive Officer ---------------------------------- FINANCIAL STOCKS CAPITAL PARTNERS II, LP by Financial Stocks Inc., its General Partner By: /s/ Steven N. Stein ------------------------------------- Print Name: Steven N. Stein ------------------------------ Title: Chief Executive Officer ---------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----