-----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, W2AVWXQDUxYIIi20nWO5S/lXFN2zYrG1AmNi7Y8q2P/ZRqXtYNkyh+SBLhg11SDp xG6nVJ2T1dkweSbDKJe5tA== 0000943374-03-000081.txt : 20030219 0000943374-03-000081.hdr.sgml : 20030219 20030219145858 ACCESSION NUMBER: 0000943374-03-000081 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030219 GROUP MEMBERS: J &M LIMITED PARTNERSHIP GROUP MEMBERS: JOSEPH J. GUGGER GROUP MEMBERS: JOSEPH J. GUGGER TRUST SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CLOVER LEAF FINANCIAL CORP CENTRAL INDEX KEY: 0001144514 STANDARD INDUSTRIAL CLASSIFICATION: BLANK CHECKS [6770] IRS NUMBER: 371416016 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78155 FILM NUMBER: 03572541 BUSINESS ADDRESS: STREET 1: 200 EAST PARK STREET CITY: EDWARDVILLE STATE: IL ZIP: 62025 BUSINESS PHONE: 6186566122 MAIL ADDRESS: STREET 1: 200 EAST PARK STREET CITY: EDWARDSVILLE STATE: IL ZIP: 62025 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GUGGER JOSEPH J CENTRAL INDEX KEY: 0001168924 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 5335 WISCONSIN AVE NW STREET 2: STE 400 CITY: WASHINGTON STATE: DC ZIP: 20015 BUSINESS PHONE: 2022742007 MAIL ADDRESS: STREET 1: 200 EAST PARK STREET CITY: EDWARDSVILLE STATE: IL ZIP: 62025 SC 13D/A 1 sched13d_021903.txt 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. 2) 1 _______________________Clover Leaf Financial Corp.__________________ (Name of Issuer) ______________Common Stock, $0.10 par value per share_______________ (Title of Class of Securities) ____________________________18913V 10 9_____________________________ (CUSIP Number) Joseph J. Gugger 200 East Park Street ______________________ Edwardsville, Illinois 62025 ________________ (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communication) ___________________________August 1, 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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ] Note. Six copies of this statement, including all exhibits, should be filed with the Office. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 10 Pages) ___________________________ 1 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 disclosures provided in a prior cover page. 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 or otherwise subject to the liabilities of that Act but shall be subject to all other provisions of the Act (however, see the Notes). - ---------------------------------- --------------------------- CUSIP NO. 18913V 10 9 Page 2 of 10 Pages - ---------------------------------- --------------------------- =============================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Joseph J. Gugger ###-##-#### - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER ------------------------------------------------------ OF SHARES 8 SHARED VOTING POWER BENEFICIALLY 0 OWNED ------------------------------------------------------ BY EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON 0 WITH ------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON IN =============================================================================== - ---------------------------------- --------------------------- CUSIP NO. 18913V 10 9 Page 3 of 10 Pages - ---------------------------------- --------------------------- =============================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS Joseph J. Gugger Trust - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION ILLINOIS - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 48,500 NUMBER ------------------------------------------------------ OF SHARES 8 SHARED VOTING POWER BENEFICIALLY 0 OWNED ------------------------------------------------------ BY EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON 48,500 WITH ------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 48,500 - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 7.56% - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON OO =============================================================================== - ---------------------------------- --------------------------- CUSIP NO. 18913V 10 9 Page 4 of 10 Pages - ---------------------------------- --------------------------- =============================================================================== 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS J & M Limited Partnership - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) [ ] - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 4 SOURCE OF FUNDS OO - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) [ ] - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION ILLINOIS - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 7 SOLE VOTING POWER 12,960 NUMBER ------------------------------------------------------ OF SHARES 8 SHARED VOTING POWER BENEFICIALLY 0 OWNED ------------------------------------------------------ BY EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON 12,960 WITH ------------------------------------------------------ 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 12,960 - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.02% - ------------------------------------------------------------------------------- - ------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON PN =============================================================================== - ---------------------------------- --------------------------- CUSIP NO. 18913V 10 9 Page 5 of 10 Pages - ---------------------------------- --------------------------- Item 1. Security and Issuer State the title of the class of equity securities to which this statement relates and the name and address of the principal executive offices of the issuer of such securities. This amendment relates to the previously filed schedule relating to the common stock, par value $0.10 per share (the "Common Stock"), of Clover Leaf Financial Corp. ("Issuer"). The address of the principal executive office of the Issuer is 200 East Park Street, Edwardsville, Illinois 62025. Item 2. Identity and Background If the person filing this statement or any person enumerated in Instruction C of this statement is a corporation, general partnership, limited partnership, syndicate or other group of persons, state its name, the state or other place of its organization, its principal business, the address of its principal office and the information required by (d) and (e) of this Item. If the person filing this statement or any person enumerated in Instruction C is a natural person, provide the information specified in (a) through (f) of this Item with respect to such person(s). This statement is being filed by Joseph J. Gugger, the Jopseh J. Gugger Trust and the J & M Limited Partnership. As of the date hereof, the Joseph J. Gugger Trust owns 48,500 shares of the Issuer's common stock. Mr. Gugger is the trustee of the Joseph J. Gugger Trust. As of the date hereof, the J & M Limited Partnership owns 12,960 shares of the Issuer's common stock. Mr. Gugger is the general partner of the J & M Limited Partnership. (a) Name: No amendment. (b) Residence or Principal Address: No amendment. (c) Present principal occupation or employment and the name, principal business and address of any corporation or other organization in which such employment is conducted: No amendment. (d) Whether or not, during the last five years, such person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and, if so, give the dates, nature of conviction, name and location of court, and penalty imposed, or other disposition of the case: No amendment. - ---------------------------------- --------------------------- CUSIP NO. 18913V 10 9 Page 6 of 10 Pages - ---------------------------------- --------------------------- (e) Whether or not, during the last five years, such person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws; and, if so, identify and describe such proceedings and summarize the terms of such judgment, decree or final order; and No amendment. (f) Citizenship. No amendment. Item 3. Source and Amount of Funds or Other Consideration State the source and the amount of funds or other consideration used or to be used in making the purchases, and if any part of the purchase price is or will be represented by funds or other consideration borrowed or otherwise obtained for the purpose of acquiring, holding, trading or voting the securities, a description of the transaction and the names of the parties thereto. Where material, such information should also be provided with respect to prior acquisitions not previously reported pursuant to this regulation. If the source of all or any part of the funds is a loan made in the ordinary course of business by a bank, as defined in Section 3(a)(6) of the Act, the name of the bank shall not be made available to the public if the person at the time of filing the statement so requests in writing and filed such request, naming such bank, with the Secretary of the Commission. If the securities were acquired other than by purchase, describe the method of acquisition. No amendment. Item 4. Purpose of the Transaction State the purpose or purposes of the acquisition of securities of the issuer. Describe any plans or proposals which the reporting persons may have which relate to or would result in: No amendment. (a) The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer; No amendment. (b) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries; No amendment. - ---------------------------------- --------------------------- CUSIP NO. 18913V 10 9 Page 7 of 10 Pages - ---------------------------------- --------------------------- (c) A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries; No amendment. (d) Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; No amendment. (e) Any material change in the present capitalization or dividend policy of the issuer; No amendment. (f) Any other material change in the issuer's business or corporate structure including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by Section 13 of the Investment Company Act of 1940; No amendment. (g) Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person; No amendment. (h) Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; No amendment. (i) A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or No amendment. (j) Any action similar to any of those enumerated above. No amendment. Item 5. Interest in Securities of the Issuer (a) State the aggregate number and percentage of the class of securities identified pursuant to Item 1 (which may be based on the number of securities outstanding as contained in the most recently available filing with the Commission by the issuer unless the filing person has reason to believe such information is not current) beneficially owned (identifying those shares which there is a right to acquire) by each person named in Item 2. The above-mentioned information should also be furnished with respect to persons who, together with any of the persons named in Item 2, comprise a group within the meaning of Section 13(d)(3) of the Act; - ---------------------------------- --------------------------- CUSIP NO. 18913V 10 9 Page 8 of 10 Pages - ---------------------------------- --------------------------- As of the date hereof, the Joseph J. Gugger Trust owns 48,500 shares of the Issuer's common stock. Mr. Gugger is the trustee of the Joseph J. Gugger Trust. As of the date hereof, the J & M Limited Partnership owns 12,960 shares of the Issuer's common stock. Mr. Gugger is the general partner of the J & M Limited Partnership. (b) For each person named in response to paragraph (a), indicate the number of shares as to which there is sole power to vote or to direct the vote, shared power to vote or direct the vote, sole power to dispose or to direct the disposition. Provide the applicable information required by Item 2 with respect to each person with whom the power to vote or to direct the vote or to dispose or direct the disposition is shared; See paragraph (a). (c) Describe any transactions in the class of securities reported on that were effected during the past sixty days or since the most recent filing on Schedule 13D (ss..13d-191), whichever is less, by the persons named in response to paragraph (a). The following transactions were effected by or on behalf of the Joseph J. Gugger Trust and the J & M Limited Partnership during the past sixty days: Joseph J. Gugger Trust Date Shares Price None J & M Limited Partnership Date Shares Price 2/6/03 1,800 $16.50 Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to Securities of the Issuer Describe any contracts, arrangements, understandings or relationships (legal or otherwise) among the persons named in Item 2 and between such persons and any person with respect to any securities of the issuer, including but not limited to transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, put or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies, naming the persons with whom such contracts, arrangements, understandings or relationships have been entered into. Include such information for any of the securities that are pledged or otherwise subject to a contingency the occurrence of which would give another person voting power or investment power over such securities except that disclosure of standard default and similar provisions contained in loan agreements need not be included. No amendment. - ---------------------------------- --------------------------- CUSIP NO. 18913V 10 9 Page 9 of 10 Pages - ---------------------------------- --------------------------- Item 7. Material to Be Filed as Exhibits The following shall be filed as exhibits: copies of written agreements relating to the filing of joint acquisition statements as required by Rule 13d-1(f) ss.240.13d-1(f) and copies of all written agreements, contracts, arrangements, understandings, plans or proposals relating to (1) the borrowing of funds to finance the acquisition as disclosed in Item 3; (2) the acquisition of issuer control, liquidation, sale of assets, merger, or change in business or control, liquidation, sale of assets, merger, or change in business or corporate structure or any other matter as disclosed in Item 4; and (3) the transfer or voting of the securities, finder's fees, joint ventures, options, puts, calls, guarantees of loans, guarantees against loss or of profit, or the giving or withholding of any proxy as disclosed in Item 6. None. - ---------------------------------- --------------------------- CUSIP NO. 18913V 10 9 Page 10 of 10 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 19, 2003 /s/ Joseph J. Gugger ------------------------------------------- Joseph J. Gugger, as an individual, as a trustee of the Joseph J. Gugger Trust and as the general partner of the J & M Limited Partnership F:\clients\1036\13D Gugger amend2 02 03.doc -----END PRIVACY-ENHANCED MESSAGE-----