-----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, K3oSrLZGg8dAfuI9hqTHTjyvgFdKLFdw+LtMGa3Y4buUVjKXK12nXc3w4XkbragE SbcNAeRLDoYKNtE0sToRgQ== 0000914317-97-000144.txt : 19970402 0000914317-97-000144.hdr.sgml : 19970402 ACCESSION NUMBER: 0000914317-97-000144 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970401 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EAST TEXAS FINANCIAL SERVICES INC CENTRAL INDEX KEY: 0000929646 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 752559089 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-45519 FILM NUMBER: 97572817 BUSINESS ADDRESS: STREET 1: 1200 S BECKHAM AVE CITY: TYLER STATE: TX ZIP: 75701 BUSINESS PHONE: 9035931767 MAIL ADDRESS: STREET 1: 1200 SOUTH BECKHAM AVE CITY: TYLER STATE: TX ZIP: 75701 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FAIR JAMES W CENTRAL INDEX KEY: 0001035450 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: P O BOX 689 CITY: TYLER STATE: TX ZIP: 75710 BUSINESS PHONE: 9035923811 SC 13D 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20552 SCHEDULE 13D Under the Securities Act of 1934 (Amendment No. 1)* East Texas Financial Services, Inc. (Name of Issuer) Common Stock, Par Value $0.01 per share (Title of Class of Securities) 275572 10 5 (CUSIP Number) James W. Fair and Nancy Fair P.O. Box 689, Tyler, Texas 75710 (903) 592-3811 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 14, 1997 (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box |_|. Check the following box if a fee is being paid with this statement |_|. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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). SEC 1745 (12-91) - -------------------------------------------------------------------------------- CUSIP NO. 275572 10 5 13D Page 2 of 5 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON (VOLUNTARY) James W. Fair - -------------------------------------------------------------------------------- 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 PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 12,596 BENEFICIALLY ---------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH REPORTING 1,652 PERSON WITH ---------------------------------------------------- 9 SOLE DISPOSITIVE POWER 12,596 ---------------------------------------------------- 10 SHARED DISPOSITIVE POWER --- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,248 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN\SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 1.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP NO. 275572 10 5 13D Page 3 of 5 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON (VOLUNTARY) Nancy Fair - -------------------------------------------------------------------------------- 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 PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF SHARES 48,863 BENEFICIALLY ---------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH REPORTING --- PERSON WITH ---------------------------------------------------- 9 SOLE DISPOSITIVE POWER 48,863 ---------------------------------------------------- 10 SHARED DISPOSITIVE POWER --- - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 62,066 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.5% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- This statement amends a previous filing dated December 21, 1995 (the "Original Filing"). Item 1. Security and Issuer No material change. Item 2. Identity and Background Item 2 is hereby partially amended by adding the following: A divorce decree with respect to James W. Fair and Nancy Fair was issued on January 14, 1997. Item 3. Source and Amount of Funds or Other Consideration Item 3 is hereby partially amended at the last paragraph to reflect the vesting of 414 restricted shares under the RRP and options to purchase 1,045 shares of the Company's Common Stock under the Stock Option Plan as of July 26, 1996. Item 4. Purpose of Transaction No material change. Item 5. Interest in Securities of the Issuer Item 5 is hereby partially amended to reflect the revised ownership interests of the Company's Common Stock by James W. Fair and Nancy Fair as a result of a settlement agreement in connection with the divorce decree. The amount of shares beneficially owned by James W. Fair includes: (i) 12,596 shares with respect to which Mr. Fair has sole voting and dispositive/investment power; and (ii) 1,652 restricted shares awarded to Mr. Fair pursuant to the RRP with respect to which Mr. Fair has shared voting but no dispositive/investment power. The amount of shares beneficially owned by Nancy Fair includes 48,863 shares with respect to which she has sole vesting and dispositive/investment power. As a result of the settlement agreement, James W. Fair and Nancy Fair are no longer deemed to beneficially own shares held by the other for purposes of this Schedule 13D. As such, neither beneficially owns more than 5.0% of the outstanding Common Stock as of the date hereof. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer No material change. Item 7. Material to be Filed as Exhibits No material change. Page 4 of 5 SIGNATURES 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. Date: March 7, 1997 By: /s/James W. Fair ---------------- James W. Fair Date: March 7, 1997 By: /s/Nancy Fair ------------- Nancy Fair Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----