-----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, EltqngMTc3obGzFBf06xmBd2CbWGetYW1eLJC8GX8qKbYukKdFn+4msy30sTUbRL 1RaoydYHa2EKsOdYAXf91A== 0001065407-02-000356.txt : 20020826 0001065407-02-000356.hdr.sgml : 20020826 20020826171942 ACCESSION NUMBER: 0001065407-02-000356 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020826 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PEOPLES COMMUNITY BANCORP INC /MD/ CENTRAL INDEX KEY: 0001100983 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 311686242 STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78260 FILM NUMBER: 02748688 BUSINESS ADDRESS: STREET 1: PEOPLES COMMUNITY BANCORP INC STREET 2: 6100 WEST CHESTER ROAD CITY: WEST CHESTER STATE: OH ZIP: 45069 BUSINESS PHONE: 5138703530 MAIL ADDRESS: STREET 1: PEOPLES COMMUNITY BANCORP INC STREET 2: 6100 WEST CHESTER ROAD CITY: WEST CHESTER STATE: OH ZIP: 45069 FORMER COMPANY: FORMER CONFORMED NAME: PEOPLES COMMUNITY BANCORP INC /DE/ DATE OF NAME CHANGE: 19991214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NOE THOMAS J CENTRAL INDEX KEY: 0001051998 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 7810 TYLERSVILLE SQU DR CITY: WEST CHESTER STATE: OH ZIP: 45067 BUSINESS PHONE: 5137554600 MAIL ADDRESS: STREET 1: 7810 TYLERSVILLE SQU DR CITY: WEST CHESTER STATE: OH ZIP: 45067 SC 13D/A 1 sc13da.txt SC 13D/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D/A (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 1) PEOPLES COMMUNITY BANCORP, INC. - ------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, $.01 PAR VALUE PER SHARE - ------------------------------------------------------------------------------- (Title of Class of Securities) 71086E 10 7 - ------------------------------------------------------------------------------- (CUSIP Number) Thomas J. Noe Peoples Community Bancorp, Inc. 6100 West Chester Road West Chester, Ohio 45069 (513) 870-3530 - ------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 15, 2002 - ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule Sections 240.13d-1(e), 240.13d-1(f) or 240.13d- 1(g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. The information required on 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 (the "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 5 Pages CUSIP No. 71086E 10 7 13D/A Page 2 of 5 Pages - ------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Thomas J. Noe - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS PF - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) OR 2(e) - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- NUMBER OF SHARES 7 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH 91,802 REPORTING PERSON ------------------------------------------------------- WITH 8 SHARED VOTING POWER 57,270 ------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 91,802 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 57,270 - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 149,072 - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN [ ] SHARES - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 5.9%* - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN - ------------------------------------------------------------------------------- ______________ * The Reporting Person's percentage ownership is determined by assuming that options held by such person (but not those held by any other person) and that are exercisable within sixty (60) days, have been exercised. CUSIP No. 71086E 10 7 13D/A Page 3 of 5 Pages AMENDMENT NO. 1 TO SCHEDULE 13D This Amendment No. 1 to Schedule 13D is filed by Thomas J. Noe, as an amendment to the Statement on Schedule 13D (the "Statement") relating to the shares of common stock, par value $.01 per share ("Common Stock") of Peoples Community Bancorp, Inc. (the "Issuer") filed with the Securities and Exchange Commission. The Statement is hereby amended as follows: Item 3. Source and Amount of Funds or Other Consideration. - ----------------------------------------------------------- The Reporting Person beneficially owns 1,858 shares of Common Stock granted pursuant to the Issuer's Recognition and Retention Plan ("RRP"), which are held in the RRP Trust; 89,477 shares of Common Stock held directly; 7,000 shares held by the Reporting Person's wife; 1,870 shares of Common Stock granted pursuant to the Issuer's Employee Stock Ownership Plan ("ESOP") and 48,400 shares held through his retirement plan. All purchases by the Reporting Person were made with personal funds. The Reporting person also has been granted options to purchase an aggregate of 467 shares of Common Stock pursuant to the Issuer's stock option plan which may be exercised within 60 days of the date hereof and which are deemed to be outstanding for the purpose of computing the percentage of shares of Common Stock owned by the Reporting Person. Item 5. Interest in Securities of the Issuer. - ---------------------------------------------- (a) The Reporting Person beneficially owns 149,072 shares of Common Stock which represents approximately 5.9% of the outstanding shares of Common Stock assuming exercise of the Reporting Person's exercisable options. At the date hereof, 2,512,638 shares of Common Stock were outstanding, not including outstanding options to purchase shares of Common Stock. (b) The Reporting Person has sole voting and dispositive power with respect to 91,802 shares of Common Stock which includes 1,858 shares held in the RRP Trust which may be voted by him and 467 shares of Common Stock which may be purchased upon the exercise of stock options. The Reporting Person has shared voting and dispositive power with respect to 57,270 shares of Common Stock which includes 1,870 shares held in the ESOP, 7,000 shares held by the Reporting Person's wife and 48,400 shares of Common Stock held in his retirement plan. (c) The Reporting Person effected the following transactions in the Issuer's securities during the last 60 days. CUSIP No. 71086E 10 7 13D/A Page 4 of 5 Pages Securities Acquired Transaction Title of Security Transaction Date Amount Price Effected - ----------------- ---------------- ---------- --------- ----------- Common Stock June 28, 2002 851 -- RRP grant Common Stock August 2, 2002 7,758 $20.74 By broker Common Stock August 15, 2002 5,995 $20.60 By broker (d) Not Applicable. (e) Not Applicable. CUSIP No. 71086E 10 7 13D/A Page 5 of 5 Pages Signatures After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this Statement on Schedule 13D/A is true, complete and correct. /s/ Thomas J. Noe ----------------------- Thomas J. Noe Date: August 22, 2002 -----END PRIVACY-ENHANCED MESSAGE-----