-----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, QS4o42ns0uvD6dk+kaTKZjukYoPv83Bf/2j0QGm60nMmcRLIP8Ke+IaS07Kbp05y JLVxNCLiIUMWwkbMClLlvw== 0000934729-99-000009.txt : 19990215 0000934729-99-000009.hdr.sgml : 19990215 ACCESSION NUMBER: 0000934729-99-000009 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: STATE FINANCIAL SERVICES CORP CENTRAL INDEX KEY: 0000745614 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 391489983 STATE OF INCORPORATION: WI FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-41023 FILM NUMBER: 99537841 BUSINESS ADDRESS: STREET 1: 10708 W JANESVILLE RD CITY: HALES CORNERS STATE: WI ZIP: 53130 BUSINESS PHONE: 4144251600 MAIL ADDRESS: STREET 1: 10708 W. JANESVILLE ROAD CITY: HALES CORNERS STATE: WI ZIP: 53130 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BANKMONT FINANCIAL INC CENTRAL INDEX KEY: 0000934729 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 111 WEST MONROE STREET STREET 2: P O BOX 755 CITY: CHICAGO STATE: IL ZIP: 60690 BUSINESS PHONE: 3124612121 MAIL ADDRESS: STREET 1: 111 WEST MONROE ST STREET 2: FLOOR 21E CITY: CHICAGO STATE: IL ZIP: 60603 SC 13G/A 1 Securities and Exchange Commission, Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* ____________________________________________________________ ___________ (Name of Issuer) State Financial Services Corp. formerly known as Home Bancorp of Elgin, Inc. ____________________________________________________________ ___________ (Title of Class of Securities) Common Stock ____________________________________________________________ ___________ (CUSIP Number) 856855101 formerly 436892103 ____________________________________________________________ ___________ (Date of Event Which Requires Filing of this Statement) Annual Filing 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). CUSIP No. 856855101 (formerly 436892103) (1) Names of reporting persons...Bankmont Financial Corp I.R.S. Identification Nos. of above persons (entities only) 51-0275712 - ------------------------------------------------------------ - ----------- (2) Check the appropriate box if a member of a group (a) (b) x (3) SEC use only..................................................... - ------------------------------------------------------------ - ----------- (4) Citizenship or place of organization............................. A Delaware Corporation - ------------------------------------------------------------ - ----------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power....14,769.................................... (6) Shared voting power..509,871................................ (7) Sole dispositive power...10,663................................ (8) Shared dispositive power...509,866............................. - ------------------------------------------------------------ - ----------- (9) Aggregate amount beneficially owned by each reporting person..... 526,620 - ------------------------------------------------------------ - ----------- (10) Check if the aggregate amount in Row (9) excludes certain shares (see instructions)............................................... ... - ------------------------------------------------------------ - ----------- (11) Percent of class represented by amount in Row (9)..13.1%........ - ------------------------------------------------------------ - ----------- (12) Type of reporting person (see instructions)..HC................ - ------------------------------------------------------------ - ----------- Page--of--Pages--------------------------------------------- - ----------- Item 1(a) Name of issuer: State Financial Services Corp. formerly known as Home Bancorp of Elgin, Inc. Item 1(b) Address of issuer's principal executive offices: 10708 W. Janesville Road Hales Corners, WI 53130 2(a) Name of person filing: Bankmont Financial Corp ____________________________________________________________ ___________ 2(b) Address or principal business office or, if none, residence: 111 W. Monroe Street P. O. Box 755 Chicago, IL 60690 ____________________________________________________________ ___________ 2(c) Citizenship: A Delaware Corporation ____________________________________________________________ ___________ 2(d) Title of class of securities: Common Stock ____________________________________________________________ ___________ 2(e) CUSIP No.: 856855101 (formerly 436892103) ____________________________________________________________ ___________ Item 3. If this statement is filed pursuant to Secs. 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [x] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [x] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) [ ] An investment adviser in accordance with Sec. 240.13d- 1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Sec. 240.13d-1(b)(1)(ii)(F); (g) [x] A parent holding company or control person in accordance with Sec. 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with Sec. 240.13d- 1(b)(1)(ii)(J). Item 4. Ownership 1. (a) Amount beneficially owned: 526,620 . (b) Percent of class: _ 13.1% . (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 14,769 . (ii) Shared power to vote or to direct the vote 509,871 . (iii) Sole power to dispose or to direct the disposition of 10,663 . (iv) Shared power to dispose or to direct the disposition of 509,866 . Item 5. Ownership of 5 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 5 percent of the class of securities, check the following [ ]. Item 6. Ownership of More than 5 Percent on Behalf of Another Person. See Exhibit 2 Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Bankmont Financial Corp., a Parent Holding Company, Filing on behalf of the following subsidiaries and affiliates: Harris Bankcorp, Inc., a Parent Holding Company 111 West Monroe Street P. O. Box 755 Chicago, IL 60690 Harris Trust and Savings Bank, a bank 111 West Monroe Street P. O. Box 755 Chicago, IL 60690 Harris Bank Barrington, N.A., a bank 201 South Grove Avenue Barrington, IL 60010 Bank of Montreal Holding Inc., a Parent Holding Company 350 7th Avenue S.W. Calgary, Alberta CANADA T2P 3N9 Bank of Montreal Securities Canada Limited, a Parent Holding Company First Canadian Place Third Floor Toronto, Ontario CANADA M5X 1A1 The Nesbitt Burns Corporation Limited, a Parent Holding Company One First Canadian Place Fourth Floor Toronto, Ontario CANADA M5X 1H3 Nesbitt Burns, Inc., a broker-dealer One First Canadian Place 5th Floor Toronto, Ontario CANADA M5X 1H3 And filing on behalf of its parent: Bank of Montreal 1 First Canadian Place Toronto, Ontario Canada MX5 1H3 Item 8. Identification and Classification of Members of the Group See Exhibit 2 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 and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. Dated: February 12, 1999 BANKMONT FINANCIAL CORP. BY: (Alan G. McNally) Alan G. McNally President Schedule 13G Exhibit 1 Harris Trust and Savings Bank and Harris Bank Barrington, N.A.are wholly-owned subsidiaries of Harris Bankcorp, Inc., which is a wholly-owned subsidiary of Bankmont Financial Corp., which is a wholly-owned subsidiary of Bank of Montreal. Nesbitt Burns, Inc. is a wholly-owned subsidiary of The Nesbitt Burns Corporation Limited, which is a wholly-owned subsidiary of Bank of Montreal Securities Canada Limited, which is a wholly-owned subsidiary of Bank of Montreal Holding Inc., which is a wholly-owned subsidiary of Bank of Montreal. Pursuant to Rule 13d-1(k)(1)(iii), Bank of Montreal, Bank of Montreal Holding Inc., Bank of Montreal Securities Canada Limited, The Nesbitt Burns Corporation Limited, Nesbitt Burns Inc., Harris Bankcorp, Inc., Harris Trust and Savings Bank, and Harris Bank Barrington, N.A. agree to this filing of Schedule 13G by Bankmont Financial Corp. This exhibit is submitted as proof of their agreement and authorization for Bankmont Financial Corp. to file on their behalf. Dated: February 12, 1999 BANK OF MONTREAL BY: (Velma J. Jones) Velma J. Jones Secretary BANK OF MONTREAL HOLDING INC. BY: (John Doolittle) John Doolittle Chief Financial Officer BANK OF MONTREAL SECURITIES CANADA LIMITED BY: (Derek Jones) Derek Jones Senior Vice President THE NESBITT BURNS CORPORATION LIMITED BY: (Charlie Moses) Charlie Moses Senior Vice President NESBITT BURNS INC. BY: (Charlie Moses) Charlie Moses Senior Vice President HARRIS BANKCORP, INC. BY: (Thomas R. Sizer) Thomas R. Sizer Secretary HARRIS TRUST AND SAVINGS BANK BY: (Thomas R. Sizer) Thomas R. Sizer Secretary HARRIS BANK BARRINGTON, N.A. BY: (Richard J. Fink, Jr.) Richard J. Fink, Jr. Senior Vice President Schedule 13G Exhibit 2 This Schedule is being filed by Bankmont Financial Corporation, its parent company, Bank of Montreal, Bankmont Financial Corporation's wholly-owned subsidiary Harris Bankcorp, Inc., Harris Bankcorp, Inc.'s wholly-owned subsidiary Harris Bank Barrington, N.A. which holds 509,871 of the shares reported in this filing as Trustee of the State Financial Services Corp (formerly known as Home Bancorp of Elgin, Inc.) Employee Stock Ownership Plan (the "Shares" and the "Plan"). These Shares are reported on the Cover Sheet and throughout this Schedule 13G. Under terms of the Plan, as amended, the Trustee is to vote the allocated Shares held by the Plan in accordance with the instructions received from the Company or Plan participants and to dispose of the allocated Shares in connection with tender offers in accordance with directions received from Plan participants. If no voting instructions or invalid voting instructions are received with respect to allocated Shares, the Trustee is to vote such Shares in the same manner and in the same proportion as the allocated Shares with respect to which the Trustee received valid voting instructions are voted. With respect to allocated Shares, if no directions or invalid directions are received in connection with tendering Shares, the Trustee is to treat such allocated Shares as if participants instructed the Trustee not to dispose of such Shares. With respect to unallocated Shares, the Trustee is to vote such Shares, or dispose of such Shares in connection with tender offers, in the same manner and in the same proportion as the allocated Shares with respect to which the Trustee received valid voting instructions or directions are voted or disposed. The actions and duties of the Trustee pursuant to the provisions of the Plan and the Trust, including but not limited to the provisions described above, are subject to the requirements of the Employee Retirement Income Security Act of 1974. Of the remaining 16,749 shares reported in this filing, 14,769 shares are held for various clients of Harris Bank Barrington, N.A. and 1,980 shares are held for various clients of Nesbitt Burns, Inc. in the ordinary course of business. Bank of Montreal, Bankmont Financial Corp., Bank of Montreal Holding Inc., Bank of Montreal Securities Canada Limited, The Nesbitt Burns Corporation Limited, Nesbitt Burns Inc., Harris Bankcorp, Inc., Harris Trust and Savings Bank, and Harris Bank Barrington, N.A. expressly disclaim the existence of a group for purposes other than this filing. -----END PRIVACY-ENHANCED MESSAGE-----