-----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, Vm6rhKJckfw34vd3d0A0h6WryMRH6tnUOteIszuDrLcYICbC7WMtoQVpeCqKC0NQ cpmJvp+Y3sCDeVXhdxMfGg== 0000909654-10-000085.txt : 20100216 0000909654-10-000085.hdr.sgml : 20100215 20100216133852 ACCESSION NUMBER: 0000909654-10-000085 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: North Penn Bancorp Inc CENTRAL INDEX KEY: 0001401434 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 260261305 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-83673 FILM NUMBER: 10605869 BUSINESS ADDRESS: STREET 1: 216 ADAMS AVENUE CITY: SCRANTON STATE: PA ZIP: 18503 BUSINESS PHONE: (570)344-6113 MAIL ADDRESS: STREET 1: 216 ADAMS AVENUE CITY: SCRANTON STATE: PA ZIP: 18503 FORMER COMPANY: FORMER CONFORMED NAME: New North Penn Bancorp Inc DATE OF NAME CHANGE: 20070530 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: North Penn Bank Employee Stock Ownership Plan CENTRAL INDEX KEY: 0001423770 IRS NUMBER: 000000000 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O NORTH PENN BANK STREET 2: 216 ADAMS AVENUE CITY: SCRANTON STATE: PA ZIP: 18503 BUSINESS PHONE: 570-344-6113 MAIL ADDRESS: STREET 1: C/O NORTH PENN BANK STREET 2: 216 ADAMS AVENUE CITY: SCRANTON STATE: PA ZIP: 18503 SC 13G/A 1 northpenn13gfeb2010.txt 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2)* North Penn Bancorp, Inc. ------------------------ (Name of Issuer) Common Stock, par value $0.10 per share --------------------------------------- (Title of Class of Securities) 661454207 --------- (CUSIP Number) December 31, 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) [ ] 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). 2 CUSIP No. 661454207 - ------------------- - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). North Penn Bank Employee Stock Ownership Plan - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Commonwealth of Pennsylvania - -------------------------------------------------------------------------------- NUMBER OF 5. SOLE VOTING POWER SHARES 92,868 BENEFICIALLY OWNED BY --------------------------------------------------------------- EACH 6. SHARED VOTING POWER REPORTING 31,926 PERSON WITH --------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER 124,794 --------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 124,794 - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 8.5% of 1,463,571 shares of Common Stock outstanding as of December 31, 2009. - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) EP - -------------------------------------------------------------------------------- Page 2 of 6 Pages 3 NORTH PENN BANK EMPLOYEE STOCK OWNERSHIP PLAN SCHEDULE 13G ITEM 1. (a) Name of Issuer: North Penn Bancorp, Inc. (b) Address of Issuer's Principal Executive Offices: 216 Adams Avenue Scranton, Pennsylvania 18503 ITEM 2. (a) Name of Person Filing: North Penn Bank Employee Stock Ownership Plan Trustee: First Bankers Trust Services, Inc. 2321 Kochs Lane P.O. Box 4005 Quincy, Illinois 62305-4005 (b) Address of Principal Business Office or, if none, Residence: 216 Adams Avenue Scranton, Pennsylvania 18503 (c) Citizenship: See Page 2, Item 4. (d) Title of Class of Securities: Common Stock, par value $0.10 per share (e) CUSIP Number: See Page 1. Page 3 of 6 Pages 4 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13D-1(b) OR 240.13D-2(b) OR (b), CHECK WHETHER THE PERSON FILING IS A: (f)[x] An employee benefit plan or endowment fund in accordance with Section 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: See Page 2, Item 9. (b) Percent of class: See Page 2, Item 11. (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: See Page 2, Item 5. (ii) Shared power to vote or to direct the vote: See Page 2, Item 6. (iii) Sole power to dispose or to direct the disposition of: See Page 2, Item 7. (iv) Shared power to dispose or to direct the disposition of: See Page 2, Item 8. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following |_|. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. N/A Page 4 of 6 Pages 5 ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY OR CONTROL PERSON. N/A ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. N/A ITEM 9. NOTICE OF DISSOLUTION OF GROUP. N/A 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 and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 5 of 6 Pages 6 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. February 12, 2010 -------------------------------------------- Date /s/ Linda J. Shultz -------------------------------------------- Signature Linda J. Shultz First Bankers Trust Services, Inc., as Trustee ---------------------------------------------- Name/Title Page 6 of 6 Pages -----END PRIVACY-ENHANCED MESSAGE-----