-----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, NEhr53J8LVGmFjG4sFgrsJlf7BxDX9DTM6BdGn6KzTotTWovuhAonynVfFktiTkW 3cr9MIll2VZTIxzdaJTG/Q== 0000950152-04-001148.txt : 20040217 0000950152-04-001148.hdr.sgml : 20040216 20040217092240 ACCESSION NUMBER: 0000950152-04-001148 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040217 GROUP MEMBERS: WESTERN OHIO FINANCIAL CORP EMPLOYEE STOCK OWNERSHIP PLAN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WESTERN OHIO FINANCIAL CORP CENTRAL INDEX KEY: 0000920769 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 311403116 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-61121 FILM NUMBER: 04603107 BUSINESS ADDRESS: STREET 1: 28 E MAIN ST CITY: SPRINGFIELD STATE: OH ZIP: 45501 BUSINESS PHONE: 9373254683 MAIL ADDRESS: STREET 1: 28 EAST MAIN ST STREET 2: P O BOX 719 CITY: SPRINGFIELD STATE: OH ZIP: 45501-0719 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST BANKERS TRUST CO NA CENTRAL INDEX KEY: 0000941473 IRS NUMBER: 370622729 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1201 BROADWAY CITY: QUINCY STATE: IL ZIP: 62301 BUSINESS PHONE: 2172288064 MAIL ADDRESS: STREET 1: 1201 BROADWAY CITY: QUINCY STATE: IL ZIP: 62301 SC 13G/A 1 l05663asc13gza.txt WESTERN OHIO FINANCIAL/FIRST BANKERS TRUST-SC13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (RULE 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Western Ohio Financial Corporation ---------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share ---------------------------------------------------------------- (Title of Class of Securities) 959024-10-0 ---------------------------- (CUSIP Number) December 31, 2003 ---------------------------- Date of Event Which Requires Filing of the 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 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 ("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. 959024-10-0 13G Page 2 of 6 Pages - ----------------------------------- ----------------------------------------------- -------------------------- ------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Western Ohio Financial Corporation Employee Stock Ownership Plan IRS I.D. No. 37-1327807 - ---------------------------------------------------------------------------------------------------------------------------- 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. - ---------------------------------------------------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 22,317 SHARES ----------------------------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 86,527 EACH ----------------------------------------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 108,844 WITH ----------------------------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 108,844 - ---------------------------------------------------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ---------------------------------------------------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.1% - ---------------------------------------------------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON EP - ----------------------------------------------------------------------------------------------------------------------------
- ----------------------------------- ----------------------------------------------- -------------------------- ------ CUSIP No. 959024-10-0 13G Page 3 of 6 Pages - ----------------------------------- ----------------------------------------------- -------------------------- ------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON First Bankers Trust Company, N.A. IRS I.D. No. 37-0622729 - ---------------------------------------------------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X] - ---------------------------------------------------------------------------------------------------------------------------- 3. SEC USE ONLY - ---------------------------------------------------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States. - ---------------------------------------------------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 22,317 SHARES BENEFICIALLY ----------------------------------------------------------------------------------- OWNED BY 6. SHARED VOTING POWER EACH 86,527 REPORTING ----------------------------------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER WITH 108,844 ----------------------------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER 0 - ---------------------------------------------------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 108,844 - ---------------------------------------------------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ---------------------------------------------------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.1% - ---------------------------------------------------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON BK - ----------------------------------------------------------------------------------------------------------------------------
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Item 1(a) Name of Issuer: Western Ohio Financial Corporation (b) Address of Issuer's Principal Executive Offices: 28 East Main Street Springfield, Ohio 45501 Item 2(a) Name of Persons Filing: Western Ohio Financial Corporation Employee Stock Ownership Plan ("ESOP") First Bankers Trust Company, N.A. (the "Trustee"), the trustee of the ESOP. (b) Address of Principal Business Office: The business address of the ESOP is: 28 East Main Street Springfield, Ohio 45501 The business address of the Trustee is: Broadway at 12th Street Quincy, Illinois 62301-3566 (c) Citizenship: The Trustee is a national bank organized under the laws of the United States. d) Title of Class of Securities: Common Stock, par value $0.01 per share (the "Common Stock"). (e) CUSIP Number: 959024-10-0 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a: (a) [__] Broker or dealer registered under Section 15 of the Exchange Act; (b) [__] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [__] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [__] Investment company registered under Section 8 of the Investment Company Act;
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(e) [__] An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) [X] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [__] A parent holding company or control person in accordance with Rule 13d-1(b)(ii)(G); (h) [__] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [__] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [__] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [] Item 4 Ownership: (a) Amount beneficially owned: 108,844 (b) Percent of Class: 6.1% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 22,317 (ii) shared power to vote or to direct the vote: 86,527 (iii) sole power to dispose or to direct the disposition of: 108,844 (iv) shared power to dispose or to direct the disposition of: none The ESOP holds an aggregate of 108,844 shares of Common Stock (6.1% of the outstanding shares). 86,527 shares have been allocated to ESOP accounts and 22,317 are unallocated shares. 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. The ESOP has sole voting and dispositive power with respect to shares held by it which have not been allocated to participant accounts. On each issue with respect to which stockholders are entitled to vote, the Trustee is required to vote the shares held by the ESOP which have not been allocated to participant accounts in the manner directed under the ESOP. The Trustee may be deemed to beneficially own the 108,844 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.
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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. 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. After reasonable inquiry and to the best of its knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated this 17th day of February, 2004 Western Ohio Financial Corporation Employee Stock Ownership Plan By: First Bankers Trust Company, N.A., as Trustee By: /s/ Linda Shultz -------------------------------- Name: Linda Shultz ----------------------- Title: Trust Officer ---------------------- First Bankers Trust Company, N.A. By: /s/ Linda Shultz ---------------------------- Name: Linda Shultz Title: Trust Officer -----END PRIVACY-ENHANCED MESSAGE-----