-----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, K8qbP25ydzTC3c3zxqopN2T8Ra/ZVp0Kku1RNhx9RcoWVun7uIMKCXdsRVg7UUd0 XnJBY9Q37mXhGe6e9a9YRA== 0000904211-97-000024.txt : 19970407 0000904211-97-000024.hdr.sgml : 19970407 ACCESSION NUMBER: 0000904211-97-000024 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970404 SROS: NASD GROUP MEMBERS: DAVIS JEROME H GROUP MEMBERS: SUSAN B. DAVIS SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOME CITY FINANCIAL CORP CENTRAL INDEX KEY: 0001022103 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTIONS, NOT FEDERALLY CHARTERED [6036] IRS NUMBER: 341839475 STATE OF INCORPORATION: OH FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47991 FILM NUMBER: 97574559 BUSINESS ADDRESS: STREET 1: 63 WEST MAIN STREET CITY: SPRINGFIELD STATE: OH ZIP: 45502 BUSINESS PHONE: 5133245736 MAIL ADDRESS: STREET 1: 63 WEST MAIN STREET CITY: SPRINGFIELD STATE: OH ZIP: 45502 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: DAVIS JEROME H CENTRAL INDEX KEY: 0000904211 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 11 BALDWIN FARMS NORTH CITY: GREENWICH STATE: CT ZIP: 06831 BUSINESS PHONE: 2036221177 MAIL ADDRESS: STREET 1: 11 BALDWIN FARMS NORTH CITY: GREENWICH STATE: CT ZIP: 06831 SC 13D/A 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D (Rule 13d-101) Under the Securities Exchange Act of 1934 (Amendment No. 2) Home City Financial Corporation (Name of Issuer) Common Stock, having no par value (Title of Class of Securities) 43706C 10 0 (CUSIP Number) Jerome H. Davis c/o David M. Perlmutter, Esq. 200 Park Ave., Suite 4515, New York, NY 10166 (212) 986-4900 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 2, 1997 (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 which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1 (b)(3) or (4), check the following box / /. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) _________________________ 1 The remainder of this cover page shall be filled out for a reporting person's initial filing of 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 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). Page 1 of 7 Pages CUSIP No. 43706C 10 0 _________________________________________________________________ 1. Name of Reporting Person Jerome H. Davis _________________________________________________________________ S.S. or I.R.S. Identification ###-##-#### No. of Above Person _________________________________________________________________ 2. Check the Appropriate Box (a)______ if a Member of a Group (b)___X__ (See Instructions) _________________________________________________________________ 3. SEC Use Only _________________________________________________________________ 4. Source of Funds (See Instructions) PF _________________________________________________________________ 5. Check Box if Disclosure of Legal Proceedings is Required / / Pursuant to Items 2(d) or 2(e) _________________________________________________________________ 6. Citizenship or Place of Organization United States _________________________________________________________________ Number of 7. Sole Voting Power 38,997 Shares 8. Shared Voting Beneficially Power 53,544* Owned by 9. Sole Dispositive Each Report- Power 38,997 ing Person 10. Shared Dispositive with Power 53,544* _________________________________________________________________ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 92,541* _________________________________________________________________ 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain / / Shares (See Instructions) _________________________________________________________________ 13. Percent of Class Represented by amount in Row (11) 9.71% _________________________________________________________________ 14. Type of Reporting Person IN (See Instructions) _________________________________________________________________ * See Items 5(a) and 5(b) of this Statement. For purposes of this Statement Jerome H. Davis may be deemed, pursuant to Rules 13d-3(a)(1) and 13d-3(a)(2) under the Securities Exchange Act of 1934, as amended, to be the beneficial owner of 9,522 shares of the Company's Common Stock, no par value, held in the name of his wife, Susan B. Davis. Page 2 of 7 Pages CUSIP No. 43706C 10 0 _________________________________________________________________ 1. Name of Reporting Person Susan B. Davis _________________________________________________________________ S.S. or I.R.S. Identification ###-##-#### No. of Above Person _________________________________________________________________ 2. Check the Appropriate Box (a)______ if a Member of a Group (b)___X__ (See Instructions) _________________________________________________________________ 3. SEC Use Only _________________________________________________________________ 4. Source of Funds (See Instructions) PF _________________________________________________________________ 5. Check Box if Disclosure of Legal Proceedings is Required / / Pursuant to Items 2(d) or 2(e) _________________________________________________________________ 6. Citizenship or Place of Organization United States _________________________________________________________________ Number of 7. Sole Voting Power 9,522 Shares 8. Shared Voting Beneficially Power 83,019* Owned by 9. Sole Dispositive Each Report- Power 9,522 ing Person 10. Shared Dispositive with Power 83,019* _________________________________________________________________ 11. Aggregate Amount Beneficially Owned by Each Reporting Person 92,541* _________________________________________________________________ 12. Check Box if the Aggregate Amount in Row (11) Excludes Certain / / Shares (See Instructions) _________________________________________________________________ 13. Percent of Class Represented by amount in Row (11) 9.71% _________________________________________________________________ 14. Type of Reporting Person IN (See Instructions) _________________________________________________________________ * See Items 5(a) and 5(b) of this Statement. For purposes of this Statement Susan B. Davis may be deemed, pursuant to Rules 13d-3(a)(1) and 13d-3(a)(2) under the Securities Exchange Act of 1934, as amended, to be the beneficial owner of 38,997 shares of the Company's Common Stock, no par value, held in the name of her husband, Jerome H. Davis. Page 3 of 7 Pages The Statement on Schedule 13D (the "Statement") of Jerome H. Davis, with respect to the Common Stock, no par value ("Common Stock") of Home City Financial Corporation, an Ohio corporation ("Home City") is hereby amended as set forth below. Item 3. Source and Amount of Funds or Other Consideration. Item 3 is hereby supplemented by the addition of the following: "Mr. Davis paid an aggregate of $203,957.50 for an aggregate of 15,500 shares of Common Stock owned by him. In addition, Mr. Davis and Mrs. Davis paid an aggregate of $27,250.00 for an aggregate of 2,000 shares of Common Stock owned by them. All shares were purchased in over-the-counter transactions through standard brokerage accounts maintained by them. All such shares were purchased with personal funds of Mr. and Mrs. Davis." Item 5. Interest in Securities of the Issuer. A. Paragraphs (a) and (b) of Item 5 of the Statement are amended and restated in their entirety to read as follows: "(a) The aggregate number of shares of Common Stock deemed to be beneficially owned by Mr. and Mrs. Davis for the purposes of this Statement is 92,541 shares, representing 9.71 percent of the outstanding shares of Common Stock based on 952,200 shares of Common Stock disclosed by Home City as outstanding on April 2, 1997. Of such shares, 9,522 (1.0%) are held in the name of Mrs. Davis, 38,997 (4.09%) are held in the name of Mr. Davis, and 44,022 (4.62%) are held in the name of Mr. and Mrs. Davis. (b) (i) Subject to the matters referred to in paragraph (a) hereof, Mr. and Mrs. Davis have shared power to vote or to direct the vote and shared power to dispose of or to direct the disposition of the 44,022 shares of Common Stock jointly held by them. (ii) Subject to the matters referred to in paragraphs (a) and (b)(i) hereof, Mr. Davis has the sole power to vote or to direct the vote and sole power to dispose or to direct the disposition of the 38,997 shares of Common Stock owned by him, and may be deemed to have shared power to vote or direct the vote and shared power to dispose or direct the disposition of the 9,522 shares of Common Stock owned by Mrs. Davis. Page 4 of 7 Pages (iii) Subject to the matters referred to in paragraphs (a) and (b)(i) and (ii) hereof, Mrs. Davis has the sole power to vote or to direct the vote and sole power to dispose or to direct the disposition of the 9,522 shares of Common Stock owned by her, and may be deemed to have shared power to vote or direct the vote and shared power to dispose or direct the disposition of the 38,997 shares of Common Stock owned by Mr. Davis." B. Paragraph (c) of Item 5 is hereby supplemented by the addition of the following: "A description of all transactions in the shares of Common Stock which have been effected by Mr. and Mrs. Davis since February 20, 1997 (the date of the most recent amendment to the Statement) is set forth in Schedule A attached hereto and is incorporated herein by reference." Page 5 of 7 Pages Signature. After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certify that the information set forth in this amendment is true, complete and correct. 4/2/97 Jerome H. Davis Date (Signature) 4/2/97 Susan B. Davis Date (Signature) Page 6 of 7 Pages Schedule A Information with Respect to Transaction in the Common Stock of Home City Financial Corporation By Jerome H. Davis and Susan B. Davis
Date of No. of Shrs Price Per Shr Where How Transa- Purchased (excl. commis- Trans- Trans- tion (Sold) sions) acted acted Mr. and Mrs. Davis: 1. 3/27/97 2,000 $13.625 OTC * Jerome Davis: 2. 4/1/97 5,000 $13.19 OTC * 3. 4/2/97 3,000 $13.19 OTC * 4. 4/2/97 7,500 $13.125 OTC * __________________________________ * Transaction effected in the over-the-counter market ("OTC") through a standard brokerage account maintained by Mr. Davis or jointly by Mr. and Mrs. Davis.
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