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Proc-Type: 2001,MIC-CLEAR
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0000927089-01-500102.txt : 20010223
0000927089-01-500102.hdr.sgml : 20010223
ACCESSION NUMBER: 0000927089-01-500102
CONFORMED SUBMISSION TYPE: SC 13G
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20010215
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST MIDWEST FINANCIAL INC
CENTRAL INDEX KEY: 0000907471
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036]
IRS NUMBER: 421406262
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: SC 13G
SEC ACT:
SEC FILE NUMBER: 005-54707
FILM NUMBER: 1548428
BUSINESS ADDRESS:
STREET 1: FIFTH AT ERIE
STREET 2: P O BOX 1307
CITY: STORM LAKE
STATE: IA
ZIP: 50588
BUSINESS PHONE: 7127324117
MAIL ADDRESS:
STREET 1: FIFTH AT ERIE
STREET 2: P O BOX 1307
CITY: STORM LAKE
STATE: IA
ZIP: 50588
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: FIRST MIDWEST FINANCIAL INC
CENTRAL INDEX KEY: 0000907471
STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036]
IRS NUMBER: 421406262
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0930
FILING VALUES:
FORM TYPE: SC 13G
BUSINESS ADDRESS:
STREET 1: FIFTH AT ERIE
STREET 2: P O BOX 1307
CITY: STORM LAKE
STATE: IA
ZIP: 50588
BUSINESS PHONE: 7127324117
MAIL ADDRESS:
STREET 1: FIFTH AT ERIE
STREET 2: P O BOX 1307
CITY: STORM LAKE
STATE: IA
ZIP: 50588
SC 13G
1
sc13g.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
First Midwest Financial, Inc.
- ------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, Par Value $0.01 per share
- ------------------------------------------------------------------------------
(Title of Class of Securities)
320878 10 1
- ------------------------------------------------------------------------------
(CUSIP Number)
December 31, 1992
- ------------------------------------------------------------------------------
(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).
NEXT PAGE
CUSIP NO. 320878 10 1
1 | NAME OF REPORTING PERSON
|
| I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON (Entities Only)
|
| First Midwest Financial, Inc. Employee Stock Ownership Plan |
| IRS I.D. No. 42-0747941
|
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) |
| | (b) X
|
3 | SEC USE ONLY
|
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
|
| Not applicable.
|
NUMBER OF | 5 | SOLE VOTING POWER |
SHARES | | 0 |
BENEFICIALLY | | |
OWNED BY | 6 | SHARED VOTING POWER |
EACH | | 199,815 |
REPORTING | | |
PERSON WITH | 7 | SOLE DISPOSITIVE POWER |
| | 199,815
|
| 8 | SHARED DISPOSITIVE POWER |
| | 0
|
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
| 199,815
|
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
| 8.22%
|
12 | TYPE OF REPORTING PERSON
|
| EP
|
Page 2 of 8 Pages
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CUSIP NO. 320787 10 1
1 | NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON
|
| West Des Moines State Bank |
| IRS I.D. No. 42-1458808
|
2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* | (a) |
| | (b) X
|
3 | SEC USE ONLY
|
4 | CITIZENSHIP OR PLACE OF ORGANIZATION
|
| Iowa
|
NUMBER OF | 5 | SOLE VOTING POWER |
SHARES | | 0 |
BENEFICIALLY | | |
OWNED BY | 6 | SHARED VOTING POWER |
EACH | | 199,815 |
REPORTING | | |
PERSON WITH | 7 | SOLE DISPOSITIVE POWER |
| | 199,815
|
| 8 | SHARED DISPOSITIVE POWER |
| | 0
|
9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
|
| 199,815
|
10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|
11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
|
| 8.22%
|
12 | TYPE OF REPORTING PERSON*
|
| BK
|
Page 3 of 8 Pages
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ITEM 1(a) | Name of Issuer: |
|
|
| First Midwest Financial, Inc. (the "Corporation") |
|
|
ITEM 1(b) | Address of Issuer's Principal Executive Officers: |
|
|
| Fifth at Erie, Storm Lake, Iowa 50588 |
|
|
ITEM 2(a) | Names of Persons Filing: |
|
|
| First Midwest Financial, Inc. Employee Stock Ownership Plan (the "ESOP"). |
| |
| West Des Moines State Bank (the "Trustee"), the trustee of the ESOP. The Trustee
may also be deemed to beneficially own the shares held by the ESOP. |
|
|
ITEM 2(b) | Address of Principal Business Office: |
|
|
| The business address of the ESOP is: |
| |
| Fifth at Erie, Storm Lake, Iowa 50588 |
|
|
| The business address of the Trustee is: |
| |
| 1601 22nd Street, West Des Moines, Iowa 50266 |
|
|
ITEM 2(c) | Citizenship: |
|
|
| The Trustee is a state bank organized under the laws of Iowa.
|
|
|
ITEM 2(d) | Title of Class of Securities: |
|
|
| Common stock, par value $.01 per share (the "Common Stock"). |
|
|
ITEM 2(e) | CUSIP Number: 320878 10 1 |
|
|
ITEM 3 | If this statement is filed pursuant to Section 240.13d-2(b) or (c),
check whether the person filing is: |
|
|
| (a) | [ ] | Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o); |
| | | |
| (b) | [ ] | 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 Section 240.13d-1(b)(1)(ii)(E); |
| | | |
| (f) | [X] | An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F); |
| | | |
| (g) | [ ] | A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G); |
| | | |
| (h) | [ ] | A savings association 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 Section 240.13d-1(b)(1)(ii)(J). |
Page 4 of 8 Pages
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ITEM 4 | Ownership: |
|
|
| The ESOP holds an aggregate of 199,815 shares of Common Stock (8.22% of the
outstanding shares). The ESOP has sole voting and dispositive power with respect to
shares held by it which have not been allocated to participant accounts. |
| |
| The Trustee may be deemed to beneficially own the 199,815 shares held by the ESOP.
However, the Trustee expressly disclaims beneficial ownership of all of such shares.
Other than the shares held by the ESOP, the Trustee does not beneficially own any shares
of Common Stock. |
| |
| Pursuant to the ESOP, participants in the ESOP are entitled to instruct the Trustee as to
the voting of the shares allocated to their ESOP accounts. All shares held by the ESOP
have been allocated to participant accounts. |
|
|
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: |
|
|
| 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: |
|
|
| Not Applicable. |
|
|
ITEM 9 | Notice of Dissolution of Group: |
|
|
| Not Applicable. |
Page 5 of 8 Pages
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ITEM 10 | Certifications |
| |
| 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 6 of 8 Pages
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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.
|
| FIRST MIDWEST FINANCIAL, INC. EMPLOYEE STOCK OWNERSHIP PLAN
|
Date: February 13, 2001 | By: /s/ Molly L. Griswold
|
| | West Des Moines State Bank, as Trustee |
| | Name: Molly L. Griswold |
| | Title: Assistant Trust Officer/Employee
Benefits
|
| WEST DES MOINES STATE BANK
|
Date: February 13, 2001 | By: /s/ Gary Ernst |
| | Name: Gary Ernst |
| | Title: Vice President/Sr. Trust Officer
|
Page 7 of 8 Pages
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February 13, 2001
First Midwest Financial, Inc.
Employee Stock Ownership Plan
Fifth at Erie
Storm Lake, Iowa 50588
Dear Sir/Madam:
This letter hereby confirms the agreement and understanding between you and the undersigned that the Schedule
13G being filed with the Securities and Exchange Commission on or about this date is being filed on behalf of
each of us.
Sincerely,
WEST DES MOINES STATE BANK
By: /s/ Gary Ernst
Name: Gary Ernst
Title: Vice President/Sr. Trust Officer
FIRST MIDWEST FINANCIAL, INC.
EMPLOYEE STOCK OWNERSHIP PLAN
By: /s/ Molly L. Griswold
West Des Moines State Bank, as Trustee
Name: Molly L. Gridwold
Title: Assistant Trust Officer/Employee
Benefits
Page 8 of 8 Pages
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