-----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, PXLPPnFfBIHmACIOT821gFs0dqVfj68AWvwFeYyx16ptrthAhn7ttBXxV2GKNLvP eIxy5l6uYI+dXNbLEwINUg== 0000896463-97-000056.txt : 19970222 0000896463-97-000056.hdr.sgml : 19970222 ACCESSION NUMBER: 0000896463-97-000056 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASB FINANCIAL CORP /OH CENTRAL INDEX KEY: 0000944304 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 311429488 STATE OF INCORPORATION: OH FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50215 FILM NUMBER: 97535966 BUSINESS ADDRESS: STREET 1: 503 CHILLICOTHE ST CITY: PORTSMOUTH STATE: OH ZIP: 45662 BUSINESS PHONE: 6143543177 MAIL ADDRESS: STREET 1: 503 CHILLICTHE ST CITY: PORTSMOUTH STATE: OH ZIP: 45662 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST BANKERS TRUST CO NA CENTRAL INDEX KEY: 0000941473 STANDARD INDUSTRIAL CLASSIFICATION: [] 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 -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response...14.90 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1 )* ASB Financial Corp. __________________________________________ (Name of Issuer) Common shares, no par value __________________________________________ (Title of Class of Securities) 00205P 10 7 (CUSIP Number) 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). * 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). -1- CUSIP No. 00205P 10 7 13G 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ASB Financial Corp. Employee Stock Ownership Plan 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) _____ (b) __X__ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Ohio 5 SOLE VOTING POWER -0- NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED -0- BY EACH REPORTING PERSON 7 SOLE DISPOSITIVE POWER WITH -0- 8 SHARED DISPOSITIVE POWER 126,960 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 126,960 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.4% 12 TYPE OF REPORTING PERSON* EP -2- CUSIP No. 00205P 10 7 13G 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON First Bankers Trust Company, N.A. 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 109,069 NUMBER OF SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED -0- BY EACH REPORTING PERSON 7 SOLE DISPOSITIVE POWER WITH -0- 8 SHARED DISPOSITIVE POWER 109,069 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 126,960 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.4% 12 TYPE OF REPORTING PERSON* BK -3- ITEM 1(A). Name of Issuer: ASB Financial Corp. ITEM 1(B). Address of Issuer's Principal Executive Offices: 503 Chillicothe Street Portsmouth, Ohio 45662 ITEM 2(A). Name of Persons Filing: First Bankers Trust Company, N.A. ASB Financial Corp. Employee Stock Ownership Plan ITEM 2(B). Address of Principal Business Office or, if none, Residence: First Bankers Trust Company, N.A. 1201 Broadway Quincy, Illinois 62301 ASB Financial Corp. Employee Stock Ownership Plan First Bankers Trust Company, N.A., Trustee 1201 Broadway Quincy, Illinois 62301 ITEM 2(C). Citizenship: First Bankers Trust Company, N.A. Organized under the laws of the United States ASB Financial Corp. Employee Stock Ownership Plan: Organized in Ohio ITEM 2(D). Title and Class of Securities: Common shares, no par value ITEM 2(E). CUSIP Number: 00205P 10 7 -4- ITEM 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [X] Bank as defined in section 3(a)(19) of the Act (c) [ ] Insurance Company as defined in section 3(a)(19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Advisor registered under section 203 of the Investment Advisers Act of 1940 (f) [X] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see ss. 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with ss. 240.13d-1(b)(1)(ii)(G) (h) [ ] Group, in accordance with ss.240.13d-1(b)(1)(ii)(H) ITEM 4. Ownership: FIRST BANKERS TRUST COMPANY, N.A. (a) Amount Beneficially Owned: 126,960 (b) Percent of Class: 7.4 (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 109,069 (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: -0- -5- (iv) shared power to dispose or to direct the disposition of: 126,960 ASB FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN (a) Amount Beneficially Owned: 126,960 (b) Percent of Class: 7.4% (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: -0- (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 126,960 There are 126,960 common shares owned by the ASB Financial Corp. Employee Stock Ownership Plan (the "Plan"). First Bankers Trust Company, N.A., is the Trustee of the Plan. Under the terms of the Plan and the Trust Agreement, the Trustee votes all of the shares allocated to the accounts of participants as directed by the participants to whose accounts such shares have been allocated. With respect to unallocated shares or allocated shares with respect to which no instructions have been received, the Plan provides that the Trustee shall vote such shares in the Trustee's discretion. As of December 31, 1996, 17,891 shares had been allocated to Plan participants. Although the Trustee has general authority to sell assets, because the Plan provides that the Trustee is to invest primarily in shares of the issuer, the authority to dispose of such shares is limited by the Plan. ITEM 5. Ownership of Five Percent or Less of a Class: Inapplicable -6- ITEM 6. Ownership of More Than Five Percent on Behalf of Another Person: Inapplicable ITEM 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company: Inapplicable ITEM 8. Identification and Classification of Members of the Group: Inapplicable ITEM 9. Notice of Dissolution of Group: Inapplicable ITEM 10. Certification: By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. -7- 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 BANKERS TRUST COMPANY, N.A. 2/14/97 By: /s/ Carmen Walch ____________________ ________________________________________ Date Carmen Walch Trust Officer ASB FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN By First Bankers Trust Company, N.A., Trustee 2/14/97 By: /s/ Carmen Walch ____________________ ________________________________________ Date Carmen Walch Trust Officer -8- EXHIBIT A AGREEMENT FOR JOINT FILING OF SCHEDULE 13G The undersigned hereby agree that the Schedule 13G being filed with the Securities and Exchange Commission to report their beneficial ownership of more than 5% of the common shares of ASB Financial Corp., an Ohio corporation, shall be, and is, filed on behalf of each of the undersigned. FIRST BANKERS TRUST COMPANY, N.A. 2/14/97 By: /s/ Carmen Walch ____________________ ________________________________________ Date Carmen Walch Trust Officer ASB FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN By First Bankers Trust Company, N.A., Trustee 2/14/97 By: /s/ Carmen Walch ____________________ ________________________________________ Date Carmen Walch Trust Officer -----END PRIVACY-ENHANCED MESSAGE-----