-----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, AbRvGoQr4A1Dq66GAZBOkXZR4vnaveWPDRiGfLplsp1BzlxfJKTGR72W/DvTF32N fzDHSTAP5xilhjM5d1NyhA== 0000943374-07-000229.txt : 20070207 0000943374-07-000229.hdr.sgml : 20070207 20070207151025 ACCESSION NUMBER: 0000943374-07-000229 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070207 DATE AS OF CHANGE: 20070207 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: First Federal of Northern Michigan Bancorp, Inc. CENTRAL INDEX KEY: 0001128227 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 383567362 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-62467 FILM NUMBER: 07587764 BUSINESS ADDRESS: STREET 1: 100 SOUTH SECOND AVENUE CITY: ALPNEA STATE: MI ZIP: 49707 BUSINESS PHONE: (989) 356-9041 MAIL ADDRESS: STREET 1: 100 SOUTH SECOND AVENUE CITY: ALPENA STATE: MI ZIP: 49707 FORMER COMPANY: FORMER CONFORMED NAME: ALPENA BANCSHARES INC DATE OF NAME CHANGE: 20001114 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: First Federal of Northern Michigan Bancorp, Inc. CENTRAL INDEX KEY: 0001128227 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 383567362 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 100 SOUTH SECOND AVENUE CITY: ALPNEA STATE: MI ZIP: 49707 BUSINESS PHONE: (989) 356-9041 MAIL ADDRESS: STREET 1: 100 SOUTH SECOND AVENUE CITY: ALPENA STATE: MI ZIP: 49707 FORMER COMPANY: FORMER CONFORMED NAME: ALPENA BANCSHARES INC DATE OF NAME CHANGE: 20001114 SC 13G/A 1 sch13gfeb2007.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment 1)* First Federal of Northern Michigan ---------------------------------- (Name of Issuer) Common Stock, $0.01 par value per share --------------------------------------- (Title of Class of Securities) 32021X 10 5 -------------- (CUSIP Number) December 31, 2006 ------------------ (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). Page 1 of 5 Pages CUSIP NO. 32021X 10 5 13G Page 2 of 5 Pages ================================================================================ 1 Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) First Federal of Northern Michigan Employee Stock Ownership Plan Trust - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) __________ (b) ____x_____ - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Michigan - -------------------------------------------------------------------------------- Number of Shares 5 Sole Voting Power Beneficially Owned by Each Reporting Person 120,094 With: - -------------------------------------------------------------------------------- 6 Shared Voting Power 54,146 - -------------------------------------------------------------------------------- 7 Sole Dispositive Power 174,240 - -------------------------------------------------------------------------------- 8 Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 174,240 - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) N/A - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row (9) 5.74% of 3,035,000 shares of Common Stock outstanding as of December 31, 2006. - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) EP ================================================================================ CUSIP NO. 32021X 10 5 13G Page 3 of 5 Pages Item 1 (a) Name of Issuer First Federal of Northern Michigan Bancorp, Inc. (b) Address of Issuer's Principal Executive Offices 100 S. Second Avenue Alpena, Michigan 49707 Item 2 (a) Name of Person Filing First Federal of Northern Michigan Employee Stock Ownership Plan Trust Trustee: First Bankers Trust Services, Inc. (b) Address of Principal Business Office 2321 Kochs Lane P.O. Box 4005 Quincy, IL 62305 (c) Citizenship or Place of Organization Michigan (d) Title of Class of Securities Common Stock, par value $0.01 per share (e) CUSIP Number 32021X 10 5 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 a: (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: 174,240. (b) Percent of class: 5.74%. (c) Number of shares as to which the person has: CUSIP NO. 32020 V 100 13G Page 4 of 5 Pages (i) Sole power to vote or to direct the vote 120,094. (ii) Shared power to vote or to direct the vote 54,146. (iii) Sole power to dispose or to direct the disposition of 174,240. (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 Item 6. Ownership of More Than Five Percent on Behalf of Another Person Not applicable 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 The reporting person is an employee benefit plan subject to the provisions of the Employee Retirement Income Security Act of 1974. 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 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 in connection with or as a participant in any transaction having that purpose or effect. CUSIP NO. 32021X 10 5 Page 5 of 5 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: February 6, 2007 FIRST FEDERAL OF NORTHERN MICHIGAN EMPLOYEE STOCK OWNERSHIP PLAN TRUST By: First Bankers Trust Services, Inc., as Trustee /s/ Linda Shultz Name: Linda J. Shultz Title: Trust Officer -----END PRIVACY-ENHANCED MESSAGE-----