-----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, MppDpn/A/OVmsvjhyoWFXJsOqEkzlFBK/quyuK7UZe0WbHLYpYNj65EWf5EOs0vH jGFEzybI6OY60gbLYr+BNg== 0000950134-03-012368.txt : 20030902 0000950134-03-012368.hdr.sgml : 20030901 20030829201041 ACCESSION NUMBER: 0000950134-03-012368 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20030902 GROUP MEMBERS: DH2, INC. GROUP MEMBERS: EMERALD INVESTMENTS LIMITED PARTNERSHIP GROUP MEMBERS: GARY HOKIN GROUP MEMBERS: ROB RUBIN SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTH BANCSHARES INC CENTRAL INDEX KEY: 0000912623 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 363915073 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46122 FILM NUMBER: 03875105 BUSINESS ADDRESS: STREET 1: 100 W NORTH AVE CITY: CHICAGO STATE: IL ZIP: 60610-1399 BUSINESS PHONE: 3126644320 MAIL ADDRESS: STREET 1: 100 W NORTH AVE CITY: CHICAGO STATE: IL ZIP: 60610-1399 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EMERALD INVESTMENTS LTD PARTNERSHIP CENTRAL INDEX KEY: 0001172334 IRS NUMBER: 364003670 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 500 SKOKIE BLVD SUITE 310 CITY: NORTHBROOK STATE: IL ZIP: 60062 BUSINESS PHONE: 8475591002 MAIL ADDRESS: STREET 1: 500 SKOKIE BLVD SUITE 310 CITY: NORTHBROOK STATE: IL ZIP: 60062 SC 13D/A 1 c79378a2sc13dza.txt AMENDMENT TO SCHEDULE 13D OMB APPROVAL --------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response.....14.9 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2 )* -------- NORTH BANCSHARES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 657467-10-6 - -------------------------------------------------------------------------------- (CUSIP Number) Jeffrey Rubenstein, Much Shelist Freed, 200 N. LaSalle St. Suite 2100, Chicago, Illinois 60601 (312) 346-3100 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) August 21, 2003 - -------------------------------------------------------------------------------- (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 Sections 240.13d-1(e), 240.13d-1(f) or 240.13d-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 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 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). PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. SEC 1746 (11-02) CUSIP No. 657467-10-6 Page 2 of 11 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Emerald Investments Limited Partnership - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) WC - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 110,471 OWNED BY EACH ----------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 110,471 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 110,471 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) PN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 657467-10-6 Page 3 of 11 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). DH2, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) Not applicable - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Illinois - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 110,471 OWNED BY EACH ----------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 110,471 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 110,471 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) CO - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 657467-10-6 Page 4 of 11 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Gary Hokin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) Not applicable - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 110,471 OWNED BY EACH ----------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 110,471 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 110,471 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 657467-10-6 Page 5 of 11 - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Rob Rubin - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) Not applicable - -------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------------------- 8 SHARED VOTING POWER BENEFICIALLY 110,471 OWNED BY EACH ----------------------------------------------------------------- 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON ----------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER WITH 110,471 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 110,471 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.7% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- CUSIP No. 657467-10-6 Page 6 of 11 ITEM 1. Security and Issuer The class of securities to which this statement relates is common stock, par value $.01 per share (the "Common Stock") of North Bancshares, Inc. (the "Issuer") whose principal executive offices are 100 W. North Ave., Chicago, Illinois 60610. This statement amends the Schedule 13D filed on May 3, 2002, and amended January 27, 2003, which related solely to the purchase of shares of Common Stock by Emerald Investments Limited Partnership ("Emerald"). Although the reporting persons may file this statement on Schedule 13G, they have elected to file on Schedule 13D. Such election is not a waiver of their rights to utilize Schedule 13G at a later date. ITEM 2. Identity and Background The identity and background for each person filing this statement and each person enumerated in Instruction C to Schedule 13D is as follows: Name: Emerald Investments Limited Partnership State of Organization: Illinois Principal business: General investing activities Address: 500 Skokie Blvd., Suite 310, Northbrook, Illinois 60062 General Partner: DH2, Inc. (see below) Name: DH2, Inc.
CUSIP No. 657467-10-6 Page 7 of 11 State of Incorporation: Illinois Principal business: General investing activities Address: 500 Skokie Blvd., Suite 310, Northbrook, Illinois 60062 Directors: Gary Hokin (see below) Officers: Gary Hokin (President); Rob Rubin (Managing Director) Name: Gary Hokin Business address: 500 Skokie Blvd., Suite 310, Northbrook, Illinois 60062 Principal Occupation: President of DH2, Inc. Employer: DH2, Inc. Employer principal business: General investing activities Address of employer: 500 Skokie Blvd., Suite 310, Northbrook, Illinois 60062 Citizenship: United States Name: Rob Rubin Business address: 500 Skokie Blvd., Suite 310, Northbrook, Illinois 60062 Principal Occupation: Managing Director of DH2, Inc. Employer: DH2, Inc. Employer principal business: General investing activities Address of employer: 500 Skokie Blvd., Suite 310, Northbrook, Illinois 60062 Citizenship: United States
During the last five years, none of the reporting persons nor any person enumerated in Instruction C to Schedule 13D have been convicted in a criminal proceeding or were a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding were or are 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. ITEM 3. Source and Amount of Funds or Other Consideration The aggregate purchase price of the 110,471 shares (the "Shares") of Common Stock beneficially owned by Emerald is approximately $1,489,579. The sources of funds used to purchase the Shares were the working capital of Emerald and its wholly-owned subsidiary Sterlingworth, LLC ("Sterlingworth"). ITEM 4. Purpose of Transaction Emerald purchased the Shares for general investment purposes. Emerald may, from time to time, depending on market conditions and other investment considerations, purchase additional shares of Common Stock in private or open-market transactions for investment or other purposes, or dispose of shares of Common Stock. Emerald may, in the future, take further action that it deems appropriate at the time which may relate to or result in one or more of the following: (a) the acquisition of additional securities of the Issuer or the disposition of securities of the CUSIP No. 657467-10-6 Page 8 of 11 Issuer; (b) an extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or transfer of a material amount of assets of the Issuer or any of its subsidiaries; (d) a change in the present board of directors or management of the Issuer; (e) other material changes in the present capitalization or dividend policy of the Issuer; (f) other material changes in the Issuer's business or corporate structure; (g) changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (h) causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (i) causing a class of equity securities of the Issuer to become eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or (j) others actions similar to one or more of those enumerated above. Except as set forth above, as of the filing date, Emerald has no plan or proposal with respect to any of the matters set forth in paragraphs (a) through (j) of Item 4 of this Statement. ITEM 5. Interest in securities of the Issuer (a) Emerald beneficially owns 110,471 Shares which represent 9.7% of the 1,143,881 shares of Common Stock outstanding (as reflected in the Issuer's Form 10-QSB filed on August 13, 2003). Emerald beneficially owns 26,613 of these Shares through the ownership of these Shares by its wholly-owned subsidiary, Sterlingworth. DH2, Inc. ("DH2") is the general partner of Emerald and the manager of Sterlingworth and in this capacity may be deemed to have beneficial ownership of the Shares. Gary Hokin is the sole director and the President of DH2 and in this capacity may be deemed to have beneficial ownership of the Shares. Rob Rubin is the Managing Director of DH2 and in this capacity may be deemed to have beneficial ownership of the Shares. Each of DH2, Gary Hokin, and Rob Rubin disclaim beneficial ownership of the Shares. (b) Emerald, as owner of the Shares and Parent of Sterlingworth, has shared power to vote and to dispose of the Shares. Sterlingworth as owner of 26,613 of the Shares, has shared power to vote and dispose of these Shares. DH2 in its capacity as general partner of Emerald and manager of Sterlingworth may be deemed to have shared power to vote and to dispose of the Shares. Gary Hokin, in his capacity as a director and officer of DH2 may be deemed to have shared power to vote and to dispose of the Shares. Rob Rubin, in his capacity as an officer of DH2, may be deemed to have shared power to vote and to dispose of the Shares. The information disclosed in Item 2 of this Schedule 13D is incorporated by reference herein. CUSIP No. 657467-10-6 Page 9 of 11 (c) Other than as disclosed in the attached Exhibit (1) there have been no transactions in the Common Stock effected during the past sixty days by any persons named in paragraph (a) of this Item 5. (d) No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Shares. (e) No applicable. ITEM 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Other than the agreement attached as Exhibit (2) to Schedule 13D, there are no contracts, arrangements, understandings or relationships (legal or otherwise) among the persons named in Item 2 and between such persons and any person with respect to any securities of the Issuer, including but not limited to transfer or voting of any of the securities, finder's fees, joint ventures, loan or option arrangements, puts or calls, guarantees of profits, division of profits or loss, or the giving or withholding of proxies, naming the persons with whom such contracts, arrangements, understandings or relationships have been entered into. ITEM 7. Material to Be Filed as Exhibits (1) List of transactions in the Common Stock effected during past sixty days. (2) Written agreement relating to the filing of joint acquisition by Section 240.13d-1(k). *Previously filed as Exhibit (2) to Schedule 13D filed May 3, 2003. 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. Emerald Investments Limited Partnership By: DH2, Inc., general partner Date: /s/ Rob Rubin August 29, 2003 - ------------------------------ By: Rob Rubin, Managing Director DH2, Inc. Date: /s/ Rob Rubin August 29, 2003 - ------------------------------ By: Rob Rubin, Managing Director /s/ Gary Hokin Date: - ------------------------------ August 29, 2003 Gary Hokin CUSIP No. 657467-10-6 Page 10 of 11 /s/ Rob Rubin Date: - ------------------------------ August 29, 2003 Rob Rubin EX-1 3 c79378a2exv1.txt EXHIBIT 1 CUSIP No. 657467-10-6 Page 11 of 11 Exhibit (1) Required by Item 5(c) of Schedule 13D Transactions in the Common Stock during the 60 days prior to the date hereof. Unless otherwise noted, all transactions where effected as open market transaction:
Number of Price per Date Shares Buy/Sell Share ($) Owner - -------------- ----------- ------------ ------------- --------------- 6/27/03 700 Buy 15.58 Emerald 7/01/03 100 Buy 15.91 Emerald 7/01/03 500 Buy 15.98 Sterlingworth 7/02/03 100 Buy 15.91 Emerald 7/08/03 300 Buy 15.32 Emerald 7/09/03 300 Buy 15.50 Emerald 7/14/03 600 Buy 15.27 Sterlingworth 7/28/03 200 Buy 15.39 Emerald 7/29/03 900 Buy 15.31 Emerald 7/31/03 600 Buy 15.07 Emerald 8/06/03 100 Buy 15.86 Emerald 8/20/03 600 Buy 17.00 Emerald 8/20/03 5,000 Buy 17.01 Sterlingworth 8/21/03 1,000 Buy 15.98 Emerald 8/21/03 3,500 Buy 16.24 Sterlingworth 8/22/03 5,750 Buy 15.77 Sterlingworth 8/22/03 400 Buy 16.45 Emerald
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