0000943440-01-500255.txt : 20011010
0000943440-01-500255.hdr.sgml : 20011010
ACCESSION NUMBER: 0000943440-01-500255
CONFORMED SUBMISSION TYPE: SC 13D
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20011004
FILED BY:
COMPANY DATA:
COMPANY CONFORMED NAME: WORTLEY BARBARA
CENTRAL INDEX KEY: 0001160390
STANDARD INDUSTRIAL CLASSIFICATION: []
FILING VALUES:
FORM TYPE: SC 13D
BUSINESS ADDRESS:
STREET 1: 456 ALEXANDER PALM ROAD
CITY: BOCA RATON
STATE: FL
ZIP: 33432
BUSINESS PHONE: 5613913300
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: POINTE FINANCIAL CORP
CENTRAL INDEX KEY: 0000917331
STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022]
IRS NUMBER: 650451402
STATE OF INCORPORATION: FL
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13D
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-55151
FILM NUMBER: 1751946
BUSINESS ADDRESS:
STREET 1: 21845 POWERLINE RD
CITY: BOCA RATON
STATE: FL
ZIP: 33433
BUSINESS PHONE: 4073686300
MAIL ADDRESS:
STREET 1: 21845 POWERLINE RD
CITY: BOCA RATON
STATE: FL
ZIP: 33433
SC 13D
1
oct13d.txt
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
------------
SCHEDULE 13D
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
POINTE FINANCIAL CORP.
------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $.01
------------------------------------------------------------
(Title of Class of Securities)
73084P100
------------------------------------------------------------
(CUSIP Number)
Barbara Wortley
456 Alexander Palm Road
Boca Raton, Florida 33432
------------------------------------------------------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
September 21, 2001
------------------------------------------------------------
(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check
the following box |_|.
Note. Schedules filed in paper format shall include a signed
original and five copies of the schedule, including all exhibits. See Rule
13d-7(b) for other parties to whom copies are to be sent.
(Continued on following pages)
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(1) 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 disclosures provided in a prior cover page.
The information required on 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 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).
EXPLANATORY NOTE: AS OF THE DATE HEREOF, THE ISSUER HAD ISSUED AND
OUTSTANDING 2,038,963 ISSUED AND OUTSTANDING.
2
CUSIP No. 73084P100 SCHEDULE 13D
----------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Barbara Wortley Social Security Number: ###-##-####
----------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [_]
(b) [_]
----------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------
4 SOURCE OF FUNDS
PF
----------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) or 2(e) [_]
----------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
----------------------------------------------------------------------
7 SOLE VOTING POWER
106,825
------------------------------------------------------------
NUMBER OF 8 SHARED VOTING POWER
SHARES 5.2%
BENEFICIALLY
OWNED BY ------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING 106,825
PERSON
WITH ------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
5.2%
----------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
106,825
----------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [_]
----------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
Approximately 5.2%
----------------------------------------------------------------------
14 TYPE OF REPORTING PERSON
IN
----------------------------------------------------------------------
3
Item 1. Security and Issuer
-------------------
The class of securities to which this Schedule 13D relates is the
common stock, par value $.01 per share (the "Shares"), of POINTE FINANCIAL
CORP., a Florida corporation (the "Issuer"). The principal executive offices
of the Issuer are located at 21845 Powerline Road, Boca Raton, Florida 33433.
Item 2. Identity and Background
-----------------------
This statement is being filed by a Barbara Wortley, 456 Alexander Palm
Road, Boca Raton, Florida 33432. Ms. Wortley occupation is administrative
assistant to President and CEO of Liberty Research, Waverly, New York.
During the past five years, Ms. Wortley has not been (a) convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors),
or (b) a party to a civil proceeding of a judicial or administrative body
of competent jurisdiction and as a result thereof was or is subject to a
judgment, decree or final order enjoining future violations of, or
prohibiting or mandating activities subject to, federal or state securities
laws or finding any violation with respect to such laws.
Ms. Wortley is a citizen of the United States.
Item 3. Source and Amount of Funds or Other Consideration
-------------------------------------------------
Ms. Wortley purchased the shares on the open market from December 29,
1999 to August 23, 2001. Ms. Wortley used personal funds to make these
purchases.
Item 4. Purpose of Transactions
-----------------------
Investment purposes.
Item 5. Interest in Securities of the Issuer
-----------------------------------
At September 20, 2001, the aggregate number of shares held of record by
Ms. Wortley were 106,825 or approximately 5.2% of the Issuer's issued and
outstanding Shares.
Ms. Wortley possesses sole voting and dispositive power as to the
106,825 shares of the Issuer's Common Stock.
Item 6. Contracts, Arrangements, Understandings or Relationships with
Respect to Securities of the Issuer
-------------------------------------------------------------
None.
Item 7. Material to be Filed as Exhibits
--------------------------------
None.
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SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief,
we certify that the information set forth in this statement is true,
complete and accurate.
Dated: September 25, 2001 By:/S/Barbara Wortley
------------------
Barbara Wortley
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