-----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, IeCaPyBGhy73DO9WHS2KCMZHcdkl4+6TCgFjF+o+obhAADmlT6u2udGqPGGQG9UK f+qZKtIRpr9kOH9oJBsY5Q== 0000910647-05-000050.txt : 20050209 0000910647-05-000050.hdr.sgml : 20050209 20050209130145 ACCESSION NUMBER: 0000910647-05-000050 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20050209 DATE AS OF CHANGE: 20050209 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: 05587666 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 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 asb-13ga.txt SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 8)* ASB Financial Corp. - ---------------------------------------------------------------------------- (Name of Issuer) Common shares, no par value - ---------------------------------------------------------------------------- (Title of Class of Securities) 00205P 10 7 - ---------------------------------------------------------------------------- (CUSIP Number) December 31, 2004 - ---------------------------------------------------------------------------- (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). CUSIP No. 00205P 10 7 13G - ---------------------------------------------------------------------------- 1 Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) ASB Financial Corp. Employee Stock Ownership Plan - ---------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] - ---------------------------------------------------------------------------- 3 SEC Use Only - ---------------------------------------------------------------------------- 4 Citizenship or Place of Organization Ohio - ---------------------------------------------------------------------------- Number of 5 Sole Voting Power Shares Beneficially -0- Owned --------------------------------------------------- by Each 6 Shared Voting Power Reporting Person -0- With --------------------------------------------------- 7 Sole Dispositive Power -0- --------------------------------------------------- 8 Shared Dispositive Power 139,646 - ---------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 139,646 - ---------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - ---------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 8.2% - ---------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) EP - ---------------------------------------------------------------------------- 2 CUSIP No. 00205P 10 7 13G - ---------------------------------------------------------------------------- 1 Names of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) First Bankers Trust Services, Inc. - ---------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [X] - ---------------------------------------------------------------------------- 3 SEC Use Only - ---------------------------------------------------------------------------- 4 Citizenship or Place of Organization Illinois - ---------------------------------------------------------------------------- Number of 5 Sole Voting Power Shares Beneficially -0- Owned --------------------------------------------------- by Each 6 Shared Voting Power Reporting Person -0- With --------------------------------------------------- 7 Sole Dispositive Power -0- --------------------------------------------------- 8 Shared Dispositive Power 211,658 - ---------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 211,658 - ---------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - ---------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 12.4% - ---------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) 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). Names of Persons Filing: - --------- First Bankers Trust Services, Inc. ASB Financial Corp. Employee Stock Ownership Plan Item 2(b). Address of Principal Business Office or, if none, Residence: - --------- First Bankers Trust Services, Inc. 2321 Kochs Lane P.O. Box 4005 Quincy, Illinois 62305 ASB Financial Corp. Employee Stock Ownership Plan 2321 Kochs Lane P.O. Box 4005 Quincy, Illinois 62305 Item 2(c). Citizenship: - --------- First Bankers Trust Services, Inc. Organized in Illinois ASB Financial Corp. Employee Stock Ownership Plan Organized in Ohio Item 2(d). Title and Class of Securities: - --------- Common shares, without par value Item 2(e). CUSIP Number: - --------- 00205P 10 7 4 Item 3. If this statement is filed pursuant to [SECTIONS]240.13d-1(b), or - ------ 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Act (15 U.S.C. 78o). (b) [x] 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). Item 4. Ownership: - ------ First Bankers Trust Services, Inc. ---------------------------------- (a) Amount beneficially owned: 211,658 (b) Percent of class: 12.4% 5 (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: 211,658 ASB Financial Corp. Employee Stock Ownership Plan ------------------------------------------------- (a) Amount beneficially owned: 139,646 (b) Percent of class: 8.2% (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: 139,646 There are 139,646 common shares owned by the ASB Financial Corp. Employee Stock Ownership Plan (the "ESOP"). First Bankers Trust Services, Inc. is the Trustee of the ESOP. Under the terms of the ESOP 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 ESOP provides that the Trustee shall vote such shares in the Trustee's discretion. All shares held in the ESOP have been allocated to the accounts of participants. 6 Although the Trustee has general authority to sell assets, because the ESOP provides that the Trustee is to invest primarily in shares of the issuer, the authority to dispose of such shares is limited by the ESOP. There are 72,012 common shares held in the American Savings Bank, fsb Deferred Compensation Plan (the "Deferred Compensation Plan"). First Bankers Trust Services, Inc. is the Trustee of the Deferred Compensation Plan. Under the terms of the Deferred Compensation Plan and the trust agreement, the Trustee votes the shares held in the Deferred Compensation Plan as directed by American Savings Bank, fsb ("American"). The Trustee has the power to sell assets of the Deferred Compensation Plan, however, the plan also grants to American the ability to dispose of assets and to replace assets held in the Deferred Compensation Plan with other assets in American's discretion. Item 5. Ownership of Five Percent or Less of a Class: - ------ Inapplicable 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 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. 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 SERVICES, INC. Date: February 7, 2005 By: /s/ Linda Shultz ---------------------- --------------------------- Linda Shultz, Trust Officer ASB FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN By: First Bankers Trust Services, Inc. Trustee Date: February 7, 2005 By: /s/ Linda Shultz ---------------------- --------------------------- Linda Shultz, 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 SERVICES, INC. Date: February 7, 2005 By: /s/ Linda Shultz ---------------------- --------------------------- Linda Shultz, Trust Officer ASB FINANCIAL CORP. EMPLOYEE STOCK OWNERSHIP PLAN By: First Bankers Trust Services, Inc. Trustee Date: February 7, 2005 By: /s/ Linda Shultz ---------------------- --------------------------- Linda Shultz, Trust Officer 9 -----END PRIVACY-ENHANCED MESSAGE-----