Amended Statement of Ownership (sc 13g/a)
February 14 2013 - 4:23PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
Southern Missouri Bancorp, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
843380 10 6
(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:
[X] Rule 13d-1(b)
[_] 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 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
).
SCHEDULE 13G/A
1
|
Names of Reporting Persons
Raffles Associates, L.P.
|
2
|
Check the appropriate box if a member of a Group (see instructions)
(a) [ ]
(b) [x ]
|
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
184,979
|
6
|
Shared Voting Power
0
|
7
|
Sole Dispositive Power
184,979
|
8
|
Shared Dispositive Power
0
|
9
|
Aggregate Amount Beneficially Owned by Each Reporting Person
184,979
|
10
|
Check box if the aggregate amount in row (9) excludes certain shares (See Instructions)
[ ]
|
11
|
Percent of class represented by amount in row (9)
5.7%
|
12
|
Type of Reporting Person (See Instructions)
PN
|
Page 2 of 5
Item 1.
(a)
|
Name of Issuer: Southern Missouri Bancorp, Inc
.
|
|
|
(b)
|
Address of Issuers Principal Executive Offices: 531
Vine Street, Poplar Bluff, MO 63901
|
Item 2.
(a)
|
Name of Person Filing: Raffles Associates,
L.P.
|
|
|
(b)
|
Address of Principal Business Office or, if None,
Residence:
One Penn Plaza, Suite 1628, New York NY 10119
|
|
|
(c)
|
Citizenship: Not applicable
|
|
|
(d)
|
Title and Class of Securities: Common
Stock
|
|
|
(e)
|
CUSIP No.: 843380 10 6
|
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;
|
|
|
|
|
|
(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)
|
[X]
|
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 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;
|
|
|
|
|
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(j)
|
[_]
|
A non-U.S. institution in accordance with Rule
240.13d-1(b)(1)(ii)(J);
|
|
|
|
|
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(k)
|
[_]
|
Group, in accordance with Rule
240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance
with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution:
|
Page 3 of 5
(a)
|
Amount Beneficially Owned:
184,979
|
|
|
(b)
|
Percent of Class: 7.3%
|
|
|
|
(c)
|
Number of shares as to which such person has:
|
|
|
|
|
(i)
|
Sole power to vote or to direct the vote:
184,979
|
|
|
|
|
(ii)
|
Shared power to vote or to direct the vote: 0
|
|
|
|
|
(iii)
|
Sole power to dispose or to direct the disposition of:
184,979
|
|
|
|
|
(iv)
|
Shared power to dispose or to direct the disposition of: 0
|
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 [ ].
Item 6.
|
Ownership of more than Five Percent on Behalf of Another Person.
|
Item 7.
|
Identification and classification of the subsidiary which acquired the security being reported on by the parent holding company or control person.
|
Item 8.
|
Identification and classification of members of the group.
|
Item 9.
|
Notice of Dissolution of Group.
|
Page 4 of 5
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.
Dated: 2/13/2013
RAFFLES ASSOCIATES, L.P.
By:
RAFFLES CAPITAL ADVISORS, LLC,
General Partner
By: /s/ Paul H. OLeary
Name: Paul
H. OLeary
Title: Managing Member
The original statement shall be signed by each person on whose
behalf the statement is filed or his authorized representative. If the statement
is signed on behalf of a person by his authorized representative (other than an
executive officer or general partner of this filing person), evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
Attention: Intentional misstatements or omissions of fact
constitute Federal criminal violations (See 18 U.S.C. 1001).
Page 5 of 5
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