-----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, CjH9FwN7z37UDPMoFmN4or2YVzk/SDiNnbpx81q+K6QOwu01sAtsfYU1BtHmbBl7 lG0faruxBVNY6cpHrwr+pw== 0001140361-07-008384.txt : 20070426 0001140361-07-008384.hdr.sgml : 20070426 20070426111714 ACCESSION NUMBER: 0001140361-07-008384 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070426 DATE AS OF CHANGE: 20070426 GROUP MEMBERS: HARVEY HANERFELD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CMS Bancorp, Inc. CENTRAL INDEX KEY: 0001350072 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-82825 FILM NUMBER: 07789873 BUSINESS ADDRESS: STREET 1: 123 MAIN STREET STREET 2: SUITE 750 CITY: WHITE PLAINS STATE: NY ZIP: 10601 BUSINESS PHONE: 914-422-2700 MAIL ADDRESS: STREET 1: 123 MAIN STREET STREET 2: SUITE 750 CITY: WHITE PLAINS STATE: NY ZIP: 10601 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FELDMAN ROGER CENTRAL INDEX KEY: 0001098385 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 700 ELEVENTH ST. STREET 2: SUITE 640 CITY: WASHINGTON STATE: DC ZIP: 20201 MAIL ADDRESS: STREET 1: 1260 MERCER STREET STREET 2: C/O ONVIA COM CITY: SEATTLE STATE: WA ZIP: 98109 SC 13G 1 formsc13g.htm CMS BANCORP SC13G 4-25-2007 (FELDMAN) CMS Bancorp SC13G 4-25-2007 (Feldman)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No.    )*


CMS BANCORP, INC.
(Name of Issuer)

Common Stock, $0.01 par value per share
(Title of Class of Securities)

12600U102
(CUSIP Number)

April 25, 2007
(Date of Event which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
 
[   ]  Rule 13d-1(b)
[
X
]  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 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).
 


 
 
SCHEDULE 13G
CUSIP No. 12600U102

  1. Names of Reporting Persons.
Roger Feldman
I.R.S. Identification Nos. of above persons (entities only).

  2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)  [    ]       (b)  [    ]

  3. SEC USE ONLY

  4. Citizenship or Place of Organization
United States citizen

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With:
5. Sole Voting Power
1,104

6. Shared Voting Power
193,979

7. Sole Dispositive Power
1,104

8. Shared Dispositive Power
193,979

  9. Aggregate Amount Beneficially Owned by Each Reporting Person
195,083

  10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [    ]

  11. Percent of Class Represented by Amount in Row (9)
9.8%

  12. Type of Reporting Person
IN


2



SCHEDULE 13G
CUSIP No. 12600U102

  1. Names of Reporting Persons.
Harvey Hanerfeld
I.R.S. Identification Nos. of above persons (entities only).

  2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a)  [    ]       (b)  [    ]

  3. SEC USE ONLY

  4. Citizenship or Place of Organization
United States citizen

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With:
5. Sole Voting Power
1,105

6. Shared Voting Power
193,979

7. Sole Dispositive Power
1,105

8. Shared Dispositive Power
193.979

  9. Aggregate Amount Beneficially Owned by Each Reporting Person
195,084

  10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [    ]

  11. Percent of Class Represented by Amount in Row (9)
9.8%

  12. Type of Reporting Person
IN


3



Item 1.
 
(a)
Name of Issuer

CMS BANCORP, INC.
 
(b)
Address of Issuer's Principal Executive Offices

123 Main Street, Suite 750
White Plains, NY 10601

Item 2.
 
(a)
Name of Person Filing

This schedule 13G is being filed jointly by Roger Feldman and Harvey Hanerfeld (the "Reporting Persons").
 
(b)
Address of Principal Business Office or, if none, Residence

The address of each of the Reporting Persons is 1919 Pennsylvania Avenue, NW, Suite 725, Washington, DC 20006
 
(c)
Citizenship

Each of the Reporting Persons is a United States citizen
 
(d)
Title of Class of Securities

Common Stock, $0.001 par value per share
 
(e)
CUSIP Number

12600U102

Item 3.
If this statement is filed pursuant to §§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)
[    ]
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 §240.13d-1(b)(1)(ii)(E);
 
(f)
[    ]
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
 
(g)
[    ]
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
 
(h)
[    ]
A savings associations 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 §240.13d-1(b)(1)(ii)(J).

Item 4.
Ownership.
 
(a)
Amount beneficially owned:

* See Attachment A
 
(b)
Percent of class:

* See Attachment A
 
(c)
Number of shares as to which the person has:
 
 
(i)
Sole power to vote or to direct the vote

* See Attachment A
 
 
(ii)
Shared power to vote or to direct the vote

* See Attachment A
 
 
(iii)
Sole power to dispose or to direct the disposition of

* See Attachment A
 
 
(iv)
Shared power to dispose or to direct the disposition of

* See Attachment A

Item 5.
Ownership of Five Percent or Less of a Class
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [    ].

Instruction: Dissolution of a group requires a response to this item.

                                 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 or Control Person
 
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.
Certifications
 
By signing below I certify that, to the best of my knowledge and belief, the securities referred to above 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.

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.
 
Date:   April 25, 2007
  Roger Feldman
 
  By: /s/ Roger Feldman
      Roger Feldman
 
 
Harvey Hanerfeld
 
  By: /s/ Harvey Hanerfeld
      Harvey Hanerfeld
 


4

 

ATTACHMENT A
 
As of April 25, 2007, Roger Feldman is the beneficial owner of 195,083 shares of Common Stock, constituting 9.8% of the issued and outstanding shares of Common Stock and Harvey Hanerfeld is the beneficial owner of 195,084 shares of Common Stock, constituting 9.8% of the issued and outstanding shares of Common Stock. Roger Feldman has the sole power to vote or direct the voting of and to dispose and to direct the disposition of the 1,104 shares beneficially owned by him as an individual. Harvey Hanerfeld has the sole power to vote or direct the voting of and to dispose and to direct the disposition of the 1,105 shares beneficially owned by him as an individual. As sole stockholders, directors and executive officers of West Creek Capital, Inc., a Delaware corporation that is the general partner of West Creek Capital, L.P., a Delaware limited partnership that is the investment adviser to (i) West Creek Partners Fund L.P., a Delaware limited partnership ("Partners Fund"), and (ii) WC Select L.P., a Delaware limited partnership ("Select"), Mr. Feldman and Mr. Hanerfeld may be deemed to have the shared power to direct the voting and disposition of the 62,000 shares of Common Stock owned by Partners Fund, and the 131,979 shares of Common Stock owned by Select.
 
 
5
 
 
AGREEMENT OF JOINT FILING
 
In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree to the joint filing with all other persons signatory below of a statement on Schedule 13G or any amendments thereto, with respect to the Common Stock of CMS BANCORP, INC., and that this Agreement be included as an attachment to such filing.
 
This Agreement may be executed in any number of counterparts each of which shall be deemed to be an original and all of which together shall be deemed to constitute one and the same Agreement.
 
IN WITNESS WHEREOF, the undersigned hereby execute this Agreement on the 25 day of April, 2007.
 

 
/s/ Roger Feldman
 
ROGER FELDMAN
   
   
 
/s/ Harvey Hanerfeld
 
HARVEY HANERFELD
   
   
 
6

 
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