0000902664-13-000918.txt : 20130214 0000902664-13-000918.hdr.sgml : 20130214 20130214143544 ACCESSION NUMBER: 0000902664-13-000918 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20130214 DATE AS OF CHANGE: 20130214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SOUTHERN MISSOURI BANCORP INC CENTRAL INDEX KEY: 0000916907 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 431665523 STATE OF INCORPORATION: MO FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48457 FILM NUMBER: 13612101 BUSINESS ADDRESS: STREET 1: 531 VINE ST CITY: POPLAR BLUFF STATE: MO ZIP: 63901 BUSINESS PHONE: 5737851421 MAIL ADDRESS: STREET 1: 531 VINE STREET CITY: POPLAR BLUFF STATE: MO ZIP: 63901 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ENDICOTT MANAGEMENT CO CENTRAL INDEX KEY: 0001165248 IRS NUMBER: 133890457 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 360 MADISON AVENUE, 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2124508070 MAIL ADDRESS: STREET 1: 360 MADISON AVENUE, 21ST FLOOR CITY: NEW YORK STATE: NY ZIP: 10017 SC 13G/A 1 p13-0600sc13ga.htm SOUTHERN MISSOURI BANCORP, INC.

 

SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
SCHEDULE 13G/A
 
Under the Securities Exchange Act of 1934
(Amendment No.2)*
 

Southern Missouri Bancorp, Inc.

(Name of Issuer)
 

Common Stock, par value $.01

(Title of Class of Securities)
 

843380106

(CUSIP Number)
 

December 31, 2012

(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)
 
(Page 1 of 11 Pages)

 

______________________________

*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).

 
CUSIP No. 84338010613G/APage 2 of 11

 

 

1

NAME OF REPORTING PERSON

Endicott Opportunity Partners III, L.P.

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) x

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

220,451

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

220,451

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

220,451

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.8%

12

TYPE OF REPORTING PERSON

PN

         
 
CUSIP No. 84338010613G/APage 3 of 11

 

1

NAME OF REPORTING PERSON

W.R. Endicott III, L.L.C.

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) x

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

220,451

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

220,451

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

220,451

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.8%

12

TYPE OF REPORTING PERSON

OO

         
 
CUSIP No. 84338010613G/APage 4 of 11

 

1

NAME OF REPORTING PERSON

Endicott Management Company

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) x

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

220,451

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

220,451

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

220,451

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.8%

12

TYPE OF REPORTING PERSON

CO

         
 
CUSIP No. 84338010613G/APage 5 of 11

 

1

NAME OF REPORTING PERSON

Wayne K. Goldstein (in the capacity described herein)

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) x

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

220,451

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

220,451

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

220,451

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.8%

12

TYPE OF REPORTING PERSON

IN

         
 
CUSIP No. 84338010613G/APage 6 of 11

 

1

NAME OF REPORTING PERSON

Robert I. Usdan (in the capacity described herein)

2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) x

(b) ¨

3 SEC USE ONLY
4

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH:
5

SOLE VOTING POWER

 

6

SHARED VOTING POWER

220,451

7

SOLE DISPOSITIVE POWER

 

8

SHARED DISPOSITIVE POWER

220,451

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

220,451

10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ¨
11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

6.8%

12

TYPE OF REPORTING PERSON

IN

         
 
CUSIP No. 84338010613G/APage 7 of 11

 

Item 1(a). NAME OF ISSUER
   
  The name of the issuer is Southern Missouri Bancorp, Inc. (the "Company").

 

Item 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
   
  The Company's principal executive offices are located at 531 Vine Street, Poplar Bluff, MO 63901.

 

Item 2(a). NAME OF PERSON FILING
   
  This statement is filed by:
     
  (i) Endicott Opportunity Partners III, L.P., a Delaware limited partnership ("EOP III"), with respect to Shares directly owned by EOP III;
   
  (ii) W.R. Endicott III, L.L.C., a Delaware limited liability company ("WR III LLC") and general partner of EOP III, with respect to Shares directly owned by EOP III;
   
  (iii) Endicott Management Company, a Delaware S-Corporation ("EMC") and Investment Manager to EOP III, with respect to Shares directly owned by EOP III;
   
  (iv) Wayne K. Goldstein ("Mr. Goldstein"), who serves as a Co-President and a director of EMC and a managing member of WR III LLC, with respect to Shares directly owned by EOP III; and
   
  (v) Robert I. Usdan ("Mr. Usdan"), who serves as a Co-President and a director of EMC and a managing member of WR III LLC, with respect to Shares directly owned by EOP III.
   
  The foregoing persons are hereinafter sometimes collectively referred to as the "Reporting Persons."  Any disclosures herein with respect to persons other than the Reporting Persons are made on information and belief after making inquiry to the appropriate party.
   
  The filing of this statement should not be construed as an admission that any of the Reporting Persons are, for the purposes of Section 13 of the Act, the beneficial owner of the Common Stock reported herein.

 

Item 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE
   
  The address of the principal business offices of each of:  (i) EOP III; (ii) WR III LLC; (iii) EMC, (iv) Mr. Goldstein; and (v) Mr. Usdan is 360 Madison Avenue, 21st Floor, New York, NY  10017.

 

 
CUSIP No. 84338010613G/APage 8 of 11

 

Item 2(c). CITIZENSHIP
   
 

EOP III - a Delaware limited partnership

WR III LLC - a Delaware limited liability company

EMC - a Delaware S-Corporation

Mr. Goldstein - United States

Mr. Usdan - United States

 

Item 2(d). TITLE OF CLASS OF SECURITIES
   
  Common Stock, par value $.01 (the "Shares").

 

Item 2(e). CUSIP NUMBER
   
  843380106

 

Item 3. IF THIS STATEMENT IS FILED PURSUANT TO Rules 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:

 

  (a) ¨ Broker or dealer registered under Section 15 of the Act;
  (b) ¨ Bank as defined in Section 3(a)(6) of the Act;
  (c) ¨ Insurance company as defined in Section 3(a)(19) of the Act;
  (d) ¨ Investment company registered under Section 8 of the Investment Company Act of 1940;
  (e) ¨ An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
  (f) ¨

An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); 

  (g) ¨ A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
  (h) ¨

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; 

  (i) ¨

A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; 

  (j) ¨ A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
  (k) ¨ Group, in accordance with Rule 13d-1(b)(1)(ii)(K).

 

 

If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please

specify the type of institution:

 

 
CUSIP No. 84338010613G/APage 9 of 11

 

Item 4. OWNERSHIP
  The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person.
   
  The Company's Form 8-K, filed on January 28, 2013, indicates that the total number of outstanding shares of Common Stock as of December 31, 2012 was 3,254,000.  The percentages used herein and in the rest of the Schedule 13G/A are based upon such number of shares of Common Stock outstanding.

 

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
   
  EOP III is a private investment partnership, the general partner of which is WR III LLC.  As the general partner of EOP III, WR III LLC has the power to vote and dispose of the securities owned by EOP III and, accordingly, may be deemed the "beneficial owner" of such securities. 
   
  The managing members of WR III are Mr. Goldstein and Mr. Usdan.
   
  EMC, the Investment Manager of EOP III has the power to vote and direct the disposition of the proceeds from the sale of the shares of Common Stock owned by EOP III, and accordingly may be deemed the "beneficial owner" of such shares of Common Stock.  Mr. Goldstein and Mr. Usdan are the Co-Presidents, sole directors and sole shareholders of EMC.
   
  The limited partners and the general partners of EOP III have the right to participate in the receipt of dividends from, or proceeds from the sale of, the securities held for the account of EOP III in accordance with their ownership interests in such entities.

 

Item 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON
   
  Not applicable.

 

Item 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
   
  See Item 2.

 

Item 9. NOTICE OF DISSOLUTION OF GROUP
   
  Not applicable.

 

 
CUSIP No. 84338010613G/APage 10 of 11

 

Item 10. CERTIFICATION

 

  Each of the Reporting Persons hereby makes the following certification:
   
  By signing below each Reporting Person 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 having that purpose or effect.

 

 
CUSIP No. 84338010613G/APage 11 of 11

 

SIGNATURES

After reasonable inquiry and to the best of his or its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

DATE: February 14, 2013

       
   
   
   
  ENDICOTT OPPORTUNITY PARTNERS III, L.P.
  BY:  W.R. Endicott III, L.L.C.
  its general partner
   
  BY: /s/ Wayne K. Goldstein
           Wayne K. Goldstein
           Managing Member
   
  W.R. ENDICOTT III, L.L.C.
   
  BY: /s/ Wayne K. Goldstein
           Wayne K. Goldstein
           Managing Member
   
  ENDICOTT MANAGEMENT COMPANY
   
  BY: /s/ Wayne K. Goldstein
           Wayne K. Goldstein
           Co-President
   
   
  WAYNE K. GOLDSTEIN, INDIVIDUALLY
   
  BY: /s/ Wayne K. Goldstein
           Wayne K. Goldstein
 

 

ROBERT I. USDAN, INDIVIDUALLY

   
  BY: /s/ Robert I. Usdan
  Robert I. Usdan