-----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, Ju7r1kqJ8exP0he75qYQ+9fmSgC/9mZLMZuYDawXGkDEHk59gfXrAa25dy3/YHJZ za1/vwUscWmQUkMfDuYL1Q== 0000946275-10-000039.txt : 20100121 0000946275-10-000039.hdr.sgml : 20100121 20100121161925 ACCESSION NUMBER: 0000946275-10-000039 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100121 DATE AS OF CHANGE: 20100121 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Roebling Financial Corp, Inc. CENTRAL INDEX KEY: 0001293283 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 550873295 FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-80291 FILM NUMBER: 10539079 BUSINESS ADDRESS: STREET 1: ROUTE 130 SOUTH AND DELAWARE AVENUE CITY: NEW JERSEY STATE: NJ ZIP: 08554 BUSINESS PHONE: 609 499-0355 MAIL ADDRESS: STREET 1: ROUTE 130 SOUTH AND DELAWARE AVENUE CITY: NEW JERSEY STATE: NJ ZIP: 08554 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Roebling Bank Employee Stock Ownership Plan Trust CENTRAL INDEX KEY: 0001313254 IRS NUMBER: 223601907 STATE OF INCORPORATION: NJ FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ROUTE 130 SOUTH AND DELAWARE AVENUE CITY: ROEBLING STATE: NJ ZIP: 08554 BUSINESS PHONE: 609-499-9400 MAIL ADDRESS: STREET 1: ROUTE 130 SOUTH AND DELAWARE AVENUE CITY: ROEBLING STATE: NJ ZIP: 08554 SC 13G/A 1 sc13ga_041609-0203.htm ESOP

 

SECURITIES AND EXCHANGE COMMISSION

 

WASHINGTON, D.C. 20549

 

 

SCHEDULE 13G

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c)

AND (d) AND AMENDMENTS THERETO FILED PURSUANT

 

TO RULE 13d-2(b)

 

(Amendment No. 3)*

 

 

Roebling Financial Corp, Inc.

(Name of Issuer)

 

 

Common Stock

(Title of Class of Securities)

 

 

775004 10 4

(CUSIP Number)

 

 

April 16, 2009

(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)

 

 

 

 

 

 

o

Rule 13d-1(c)

 

 

 

 

 

 

o

Rule 13d-1(d)

 

 

                     

* The remainder of the 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).

 

(Continued on following pages)

Page 1 of 4 pages

 

 

 

 

Page 2 of 4 Pages

 

 

 

CUSIP No.

 

775004 10 4

 

Schedule 13G

 

 

1.

Name of Reporting Person

 

 

 

 

 

 

S.S. or I.R.S. Identification Number of above person:

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Roebling Bank

 

 

 

 

 

 

 

Employee Stock Ownership Plan

 

 

 

 

 

 

2.

Check the appropriate box if a member of a group*

 

 

 

 

 

 

 

(a)

x

 

(b)

o

 

 

3.

SEC Use Only

 

 

 

 

 

 

4.

Citizenship or Place of Organization:

New Jersey

 

 

 

 

 

Number of Shares Beneficially Owned by Each Reporting Person with:

 

5.

Sole Voting Power:

 

 

 

0

 

 

6.

Shared Voting Power:

 

 

 

120,897

 

 

7.

Sole Dispositive Power:

 

 

 

0

 

 

8.

Shared Dispositive Power:

 

 

 

120,897

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person:

 

120,897

 

 

10.

Check Box If The Aggregate Amount in Row (9) Excludes Certain Shares*

o

 

 

11.

Percent of Class Represented by Amount in Row 9:

 

7.2%

 

12.

Type of Reporting Person*:

 

EP

 

 

 

                                                             * SEE INSTRUCTION

 

Page 3 of 4 Pages

 

 

Item 1(a)

 

Name of Issuer:

 

Roebling Financial Corp, Inc.

 

 

Item 1(b)

 

Address of Issuer’s Principal Executive Offices:

 

 

 

 

 

 

Route 130 South and Delaware Avenue

 

 

 

Roebling, New Jersey 08554

 

 

Item 2(a)

 

Name of Person Filing:

 

 

 

 

 

 

Roebling Bank

 

 

 

Employee Stock Ownership Plan

 

 

Item 2(b)

 

Address of Principal Business Office:

 

Same as Item 1(b)

 

 

Item 2(c)

 

Citizenship:

 

New Jersey

 

 

 

Item 2(d)

 

Title of Class of Securities:

 

Common Stock

 

 

Item 2(e)

 

CUSIP Number:

 

775004 10 4

 

 

 

 

Item 3

 

Check whether the person filing is a:

 

 

 

 

Item 3(f)

 

X

 

Employee Benefit Plan, in accordance with Rule 13d-1(b)(1)(ii)(F).

 

 

Item 3(j)

 

X

 

Group, in accordance with Rule 13d-1(b)(1)(ii)(J).

 

 

Item 3(a)(b)(c)(d)(e)(g)(h)(i) - not applicable.

 

 

Item 4(a)

 

Amount Beneficially Owned:

 

120,897

 

 

Item 4(b)

 

Percent of Class:

 

7.2%

 

 

Item 4(c)

 

Number of shares as to which such person has

 

 

 

 

(i)

sole power to vote or to direct the vote

 

0

 

 

 

(ii)

shared power to vote or to direct the vote

 

120,897

 

 

 

(iii)

sole power to dispose or to direct the disposition of

 

0

 

 

 

(iv)

shared power to dispose or to direct the disposition of

 

120,897

 

 

Page 4 of 4 Pages

 

 

Item 5

 

Ownership of Five Percent or Less of 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.

 

 

 

 

 

 

 

This Schedule 13G is being filed on behalf of the Employee Stock Ownership Plan (“ESOP”) identified in Item 2(a) by the ESOP Committee and the ESOP Trustee both filing under the Item 3(f) and 3(j) classifications. Exhibit A contains a disclosure of the voting and dispositive powers over shares of the issuer held directly by these entities exclusive of those shares held by the ESOP as well as identification of members of these groups.

 

 

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 in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect.

 

 

 

 

 

SIGNATURE:

 

After reasonable inquiry and to the best of my knowledge and belief, as a member of the ESOP Committee and in my capacity as an ESOP Trustee, I certify that the information set forth in this statement is true, complete and correct.

 

 

/s/ John A. LaVecchia

 

January 21, 2010

John A. LaVecchia

 

Date

 

 

 

/s/ Mark V. Dimon

 

January 21, 2010

Mark V. Dimon

 

Date

 

 

 

/s/ John J. Ferry

 

January 21, 2010

John J. Ferry

 

Date

 

 

 

Exhibit A

 

 

Identification of Members of Group

 

Shares of common stock of the issuer are held in trust for the benefit of participating employees by the ESOP Trustees. The ESOP Trustees share voting and dispositive power with the ESOP Committee. By the terms of the ESOP, the ESOP Trustees vote stock allocated to participant accounts as directed by participants. Stock held by the Trust, but not yet allocated is voted by the ESOP Trustees as directed by the ESOP Committee. Investment direction is exercised by the ESOP Trustees as directed by the ESOP Committee. The ESOP Committee and the ESOP Trustees share voting and dispositive power with respect to the unallocated stock held by the ESOP pursuant to their fiduciary responsibilities under Section 404 of the Employee Retirement Income Security Act of 1974, as amended.

 

Members of the ESOP Committee/ ESOP Trustees and their beneficial ownership of shares of common stock of the issuer exclusive of membership on the ESOP Committee, responsibilities as ESOP Trustees, and of shares beneficially owned as a Participant in the ESOP are as follows:

 

 

 

Beneficial

 

Beneficial Ownership

Name

 

Ownership(1)

 

As ESOP Participant

 

 

 

 

 

John A. LaVecchia

 

 

21,704

 

 

 

0

 

Mark V. Dimon

 

 

105,298

 

 

 

0

 

John J. Ferry

 

 

100,238

 

 

 

0

 

 

 

(1)

Beneficial ownership as of January 21, 2010. Includes shares of common stock of issuer owned in conjunction with family members. The ESOP Committee and ESOP Trustee(s) disclaim ownership of these shares in conjunction with the exercise of their fiduciary duties as members of the ESOP Committee and ESOP Trustee. Excludes beneficial shares beneficially owned as a plan participant.

 

 

 

 

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