3 1 c63417e3.txt FORM 3 - ANCHOR BANCORP WISCONSIN INC 1 ------ FORM 3 ------ U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 ------------------------------------------------------------------------------------------------------------------------------------ 1. Name and Address of Reporting Person(1)|2. Date of Event Requiring Statement |5. Relationship of Reporting Person | (Month/Day/Year) | to Issuer (Check all applicable) Anchor Bancorp Wisconsin Inc. | 06-15-2001 | Director X 10% Owner -------------------------------------------------------------------------------------------| ----- ----- (Last) (First) (Middle) |3. IRS Identification |4. Issuer Name and Ticker| Officer (give title below) | Number of | or Trading Symbol | ----- | Reporting Person, | | Other (specify below) | if an Entity | Ledger Capital | ----- 25 West Main Street | (Voluntary) | Corp./"LEDG" | ------------------------------------------| |-------------------------|---------------------------------------- (Street) | |6. If Amendment, Date of |7. Individual or Joint/Group Filing | 39-1726871 | Original | (Check applicable line) | | (Month/Day/Year) | X Form Filed by One Reporting Person | | | -- Madison WI 53703 | | | Form Filed by More Than One ------------------------------------------|------------------------------------------------| -- Reporting Person (City) (State) (Zip) | | | | ------------------------------------------------------------------------------------------------------------------------------------ TABLE I -- NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security | 2. Amount of Securities | 3. Ownership Form: | 4. Nature of Indirect Beneficial Ownership (Instr. 4) | Beneficially Owned | Direct (D) or | (Instr. 4) | (Instr. 4) | Indirect (I) | | | (Instr. 5) | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ----------------------------------|---------------------------|---------------------|----------------------------------------------- | | | ------------------------------------------------------------------------------------------------------------------------------------
2 FORM 3 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative | 2. Date Exercisable | 3. Title and Amount of Securities |4. Conversion |5. Ownership |6. Nature of Security (Instr. 4) | and Expiration Date | Underlying Derivative Securities | or Exercise | Form of | Indirect | (Month/Day/Year) | (Instr. 4) | Price of | Derivative| Beneficial | | | Derivative | Security: | Ownership | | | Security | Direct | (Instr. 5) | | | | (D) or | |------------------------|--------------------------------------| | Indirect | | | | | Amount or | | (I) | | Date | Expiration| | Number of | | (Instr. 5)| | Exercisable| Date | Title | Shares | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- Stock Option | N/A* | N/A* | Common Stock |484,991* | $15.00 | D | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | -----------------------|------------|-----------|-----------------------|--------------|---------------|-------------|-------------- | | | | | | | ------------------------------------------------------------------------------------------------------------------------------------ Explanation of Responses: Douglas J. Timmerman Chairman of the Board President & Chief Executive Officer June 25, 2001 ------------------------------------- ------------- Douglas J. Timmerman [Title] Date Signature of Reporting Person(1) (1) Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Page 2
(Print or Type Responses) *Stock Option Agreement ("Option Agreement") entered into in connection with an Agreement and Plan of Merger dated June 15, 2001 ("Merger Agreement") between Anchor BanCorp Wisconsin Inc. ("Anchor") and Ledger Capital Corp. ("Ledger"). The option granted pursuant to the Option Agreement becomes exercisable upon the occurrence of certain events ("triggering events") as set forth in the Option Agreement and the Merger Agreement. By its terms, the number of shares subject to the Option Agreement shall be limited to 19.9% of the then-issued and outstanding shares of Ledger common stock. As of the date of this Report, none of the triggering events has occurred and, therefore, Anchor disclaims beneficial ownership of all of the securities covered by this Report.