Major Shareholding Notification • Feb 14, 2013
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Download Source FileSC 13G/A 1 p13-0600sc13ga.htm SOUTHERN MISSOURI BANCORP, INC.
| SECURITIES AND EXCHANGE COMMISSION | |
|---|---|
| Washington, D.C. 20549 | |
| SCHEDULE 13G/A | |
| Under the Securities Exchange Act of 1934 | |
| (Amendment No.2)* | |
| Southern | |
| Missouri Bancorp, Inc. | |
| (Name of Issuer) | |
| Common Stock, | |
| par value $.01 | |
| (Title of Class of Securities) | |
| 843380106 | |
| (CUSIP Number) | |
| December | |
| 31, 2012 | |
| (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) |
| (Page 1 of 11 Pages) |
*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).
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CUSIP No. 843380106 13G/A Page 2 of 11
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| 1 | NAME OF REPORTING PERSON Endicott Opportunity Partners III, L.P. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) ¨ |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER |
| 6 | SHARED VOTING POWER 220,451 | |
| 7 | SOLE DISPOSITIVE POWER | |
| 8 | SHARED DISPOSITIVE POWER 220,451 | |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 220,451 | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.8% | |
| 12 | TYPE OF REPORTING PERSON PN |
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CUSIP No. 843380106 13G/A Page 3 of 11
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| 1 | NAME OF REPORTING PERSON W.R. Endicott III, L.L.C. | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) ¨ |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER |
| 6 | SHARED VOTING POWER 220,451 | |
| 7 | SOLE DISPOSITIVE POWER | |
| 8 | SHARED DISPOSITIVE POWER 220,451 | |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 220,451 | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.8% | |
| 12 | TYPE OF REPORTING PERSON OO |
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CUSIP No. 843380106 13G/A Page 4 of 11
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| 1 | NAME OF REPORTING PERSON Endicott Management Company | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) ¨ |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION Delaware | |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER |
| 6 | SHARED VOTING POWER 220,451 | |
| 7 | SOLE DISPOSITIVE POWER | |
| 8 | SHARED DISPOSITIVE POWER 220,451 | |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 220,451 | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.8% | |
| 12 | TYPE OF REPORTING PERSON CO |
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CUSIP No. 843380106 13G/A Page 5 of 11
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| 1 | NAME OF REPORTING PERSON Wayne K. Goldstein (in the capacity described herein) | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) ¨ |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER |
| 6 | SHARED VOTING POWER 220,451 | |
| 7 | SOLE DISPOSITIVE POWER | |
| 8 | SHARED DISPOSITIVE POWER 220,451 | |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 220,451 | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.8% | |
| 12 | TYPE OF REPORTING PERSON IN |
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CUSIP No. 843380106 13G/A Page 6 of 11
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| 1 | NAME OF REPORTING PERSON Robert I. Usdan (in the capacity described herein) | |
|---|---|---|
| 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP | (a) x (b) ¨ |
| 3 | SEC USE ONLY | |
| 4 | CITIZENSHIP OR PLACE OF ORGANIZATION United States | |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH: | 5 | SOLE VOTING POWER |
| 6 | SHARED VOTING POWER 220,451 | |
| 7 | SOLE DISPOSITIVE POWER | |
| 8 | SHARED DISPOSITIVE POWER 220,451 | |
| 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 220,451 | |
| 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES | ¨ |
| 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.8% | |
| 12 | TYPE OF REPORTING PERSON IN |
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CUSIP No. 843380106 13G/A Page 7 of 11
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| Item 1(a). |
|---|
| The name of the issuer is Southern Missouri Bancorp, Inc. (the "Company"). |
| Item 1(b). |
|---|
| The Company's principal executive offices are located at 531 Vine Street, Poplar Bluff, MO 63901. |
| Item 2(a). | |
|---|---|
| This statement is filed by: | |
| (i) | Endicott Opportunity Partners III, L.P., a Delaware limited partnership ("EOP III"), with respect to Shares directly owned by EOP III; |
| (ii) | W.R. Endicott III, L.L.C., a Delaware limited liability company ("WR III LLC") and general partner of EOP III, with respect to Shares directly owned by EOP III; |
| (iii) | Endicott Management Company, a Delaware S-Corporation ("EMC") and Investment Manager to EOP III, with respect to Shares directly owned by EOP III; |
| (iv) | Wayne K. Goldstein ("Mr. Goldstein"), who serves as a Co-President and a director of EMC and a managing member of WR III LLC, with respect to Shares directly owned by EOP III; and |
| (v) | Robert I. Usdan ("Mr. Usdan"), who serves as a Co-President and a director of EMC and a managing member of WR III LLC, with respect to Shares directly owned by EOP III. |
| The foregoing persons are hereinafter sometimes collectively referred to as the "Reporting Persons." Any disclosures herein with respect to persons other than the Reporting Persons are made on information and belief after making inquiry to the appropriate party. | |
| The filing of this statement should not be construed as an admission that any of the Reporting Persons are, for the purposes of Section 13 of the Act, the beneficial owner of the Common Stock reported herein. |
| Item 2(b). |
|---|
| The address of the principal business offices of each of: (i) EOP III; (ii) WR III LLC; (iii) EMC, (iv) Mr. Goldstein; and (v) Mr. Usdan is 360 Madison Avenue, 21st Floor, New York, NY 10017. |
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CUSIP No. 843380106 13G/A Page 8 of 11
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| Item 2(c). |
|---|
| EOP III - a Delaware limited partnership WR III LLC - a Delaware limited liability company EMC - a Delaware S-Corporation Mr. Goldstein - United States Mr. Usdan - United States |
| Item 2(d). |
|---|
| Common Stock, par value $.01 (the "Shares"). |
| Item 2(e). |
|---|
| 843380106 |
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO Rules 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
| (a) | ¨ | Broker or dealer registered under Section 15 of the Act; |
|---|---|---|
| (b) | ¨ | Bank as defined in Section 3(a)(6) of the Act; |
| (c) | ¨ | Insurance company as defined in Section 3(a)(19) of the Act; |
| (d) | ¨ | Investment company registered under Section 8 of the Investment Company Act of 1940; |
| (e) | ¨ | An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); |
| (f) | ¨ | An employee benefit plan or endowment |
| fund in accordance with Rule 13d-1(b)(1)(ii)(F); | ||
| (g) | ¨ | A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); |
| (h) | ¨ | A savings association as defined in Section |
| 3(b) of the Federal Deposit Insurance Act; | ||
| (i) | ¨ | A church plan that is excluded from the |
| definition of an investment company under Section 3(c)(14) of the Investment Company Act; | ||
| (j) | ¨ | A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J); |
| (k) | ¨ | Group, in accordance with Rule 13d-1(b)(1)(ii)(K). |
If filing as a non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution:
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CUSIP No. 843380106 13G/A Page 9 of 11
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| Item 4. |
|---|
| The information required by Items 4(a) - (c) is set forth in Rows 5 - 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person. |
| The Company's Form 8-K, filed on January 28, 2013, indicates that the total number of outstanding shares of Common Stock as of December 31, 2012 was 3,254,000. The percentages used herein and in the rest of the Schedule 13G/A are based upon such number of shares of Common Stock outstanding. |
| Item 5. |
|---|
| Not applicable. |
| Item 6. |
|---|
| EOP III is a private investment partnership, the general partner of which is WR III LLC. As the general partner of EOP III, WR III LLC has the power to vote and dispose of the securities owned by EOP III and, accordingly, may be deemed the "beneficial owner" of such securities. |
| The managing members of WR III are Mr. Goldstein and Mr. Usdan. |
| EMC, the Investment Manager of EOP III has the power to vote and direct the disposition of the proceeds from the sale of the shares of Common Stock owned by EOP III, and accordingly may be deemed the "beneficial owner" of such shares of Common Stock. Mr. Goldstein and Mr. Usdan are the Co-Presidents, sole directors and sole shareholders of EMC. |
| The limited partners and the general partners of EOP III have the right to participate in the receipt of dividends from, or proceeds from the sale of, the securities held for the account of EOP III in accordance with their ownership interests in such entities. |
| Item 7. |
|---|
| Not applicable. |
| Item 8. |
|---|
| See Item 2. |
| Item 9. |
|---|
| Not applicable. |
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CUSIP No. 843380106 13G/A Page 10 of 11
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ITEM 10. CERTIFICATION
| Each of the Reporting Persons hereby makes the following certification: |
|---|
| By signing below each Reporting Person certifies that, to the best of its 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. |
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CUSIP No. 843380106 13G/A Page 11 of 11
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SIGNATURES
After reasonable inquiry and to the best of his or its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
DATE: February 14, 2013
| ENDICOTT OPPORTUNITY PARTNERS III, L.P. |
|---|
| BY: W.R. Endicott III, L.L.C. |
| its general partner |
| BY: /s/ Wayne K. Goldstein |
| Wayne K. Goldstein |
| Managing Member |
| W.R. ENDICOTT III, L.L.C. |
| BY: /s/ Wayne K. Goldstein |
| Wayne K. Goldstein |
| Managing Member |
| ENDICOTT MANAGEMENT COMPANY |
| BY: /s/ Wayne K. Goldstein |
| Wayne K. Goldstein |
| Co-President |
| WAYNE K. GOLDSTEIN, INDIVIDUALLY |
| BY: /s/ Wayne K. Goldstein |
| Wayne K. Goldstein |
| ROBERT I. USDAN, INDIVIDUALLY |
| BY: / s/ Robert I. Usdan |
| Robert I. Usdan |
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