|
1)
|
NAME
OF REPORTING PERSON
Southern
Missouri Bank and Trust Co. Employee Stock Ownership
Plan
|
|
2)
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
a) [ ]
b) [X]
|
|
3)
|
SEC
USE ONLY
|
|
4)
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Not
applicable
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
||
|
5)
|
SOLE
VOTING POWER
10,300
|
|
|
6)
|
SHARED
VOTING POWER
194,919
|
|
|
7)
|
SOLE
DISPOSITIVE POWER
205,219
|
|
|
8)
|
SHARED
DISPOSITIVE POWER
-0-
|
|
9)
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
205,219
|
|
10)
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN
SHARES [
]
|
|
11)
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.8%
|
|
12
|
TYPE
OF REPORTING PERSON
EP
|
|
1)
|
NAME
OF REPORTING PERSON
Southern
Bank
|
|
2)
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
a) [ ]
b) [X]
|
|
3)
|
SEC
USE ONLY
|
|
4)
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Missouri
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
||
|
5)
|
SOLE
VOTING POWER
10,300
|
|
|
6)
|
SHARED
VOTING POWER
194,919
|
|
|
7)
|
SOLE
DISPOSITIVE POWER
194,919
|
|
|
8)
|
SHARED
DISPOSITIVE POWER
-0-
|
|
9)
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
205,219
|
|
10)
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN
SHARES [
]
|
|
11)
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.8%
|
|
12
|
TYPE
OF REPORTING PERSON
BK
|
|
1)
|
NAME
OF REPORTING PERSON
Rebecca
J. Brooks
|
|
2)
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
a) [ ]
b) [X]
|
|
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
10,300 (as
Trustee of ESOP)
|
|
|
6)
|
SHARED
VOTING POWER
194,919 (as
Trustee of ESOP)
|
|
|
7)
|
SOLE
DISPOSITIVE POWER
205,219
|
|
|
8)
|
SHARED
DISPOSITIVE POWER
-0- (as Trustee of
ESOP)
|
|
9)
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
205,219 (as Trustee of
ESOP)
|
|
10)
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN
SHARES [
]
|
|
11)
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.8%
|
|
12
|
TYPE
OF REPORTING PERSON
IN
|
|
1)
|
NAME
OF REPORTING PERSON
L.
Douglas Bagby
|
|
2)
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
a) [ ]
b) [X]
|
|
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
10,300 (as
Trustee of ESOP)
|
|
|
6)
|
SHARED
VOTING POWER
194,919 (as
as Trustee of ESOP)
|
|
|
7)
|
SOLE
DISPOSITIVE POWER
205,219 (as
Trustee of ESOP)
|
|
|
8)
|
SHARED
DISPOSITIVE POWER
-0-
(as Trustee of ESOP)
|
|
9)
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
205,219 (as
Trustee of ESOP)
|
|
10)
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN
SHARES [
]
|
|
11)
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.8%
|
|
12
|
TYPE
OF REPORTING PERSON
IN
|
|
1)
|
NAME
OF REPORTING PERSON
Samuel
H. Smith
|
|
2)
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
a) [ ]
b) [X]
|
|
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
10,300 (as
Trustee of ESOP)
|
|
|
6)
|
SHARED
VOTING POWER
194,919 (as
as Trustee of ESOP)
|
|
|
7)
|
SOLE
DISPOSITIVE POWER
205,219 (as
Trustee of ESOP)
|
|
|
8)
|
SHARED
DISPOSITIVE POWER
-0-
(as Trustee of ESOP)
|
|
9)
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
205,219 (as
Trustee of ESOP)
|
|
10)
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN
SHARES [
]
|
|
11)
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.8%
|
|
12
|
TYPE
OF REPORTING PERSON
IN
|
|
ITEM
1(a)
|
NAME
OF ISSUER:
Southern
Missouri Bancorp, Inc. (the
"Corporation)
|
|
ITEM
1(b)
|
ADDRESS
OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
531
Vine Street, Poplar Bluff, MO 63901
|
|
ITEM
2(a)
|
NAME
OF PERSON FILING:
Southern
Missouri Bank and Trust Co. Employee Stock Ownership Plan (the
"ESOP").
Southern Bank,
Rebecca J. Brooks, L. Douglas Bagby and Samuel H. Smith (the "Trustees"),
the trustees of the ESOP. The Trustees may also be deemed to
beneficially own the shares held by the ESOP.
|
|
ITEM
2(b)
|
ADDRESS
OF PRINCIPAL BUSINESS OFFICE OR, IF NONE,
RESIDENCE:
The business address of the ESOP is:
531
Vine Street, Poplar Bluff, MO 63901
The
Trustees' business address is:
531
Vine Street, Poplar Bluff, MO 63901
|
|
ITEM
2(c)
|
CITIZENSHIP:
Southern
Bank is a trust company with banking powers organized under the laws
of Missouri. Rebecca J. Brooks, L. Douglas Bagby and Samuel H. Smith
are citizens of the United States.
|
|
ITEM
2(d)
|
TITLE
OF CLASS OF SECURITIES
Common
stock, par value $.01 per share (the "Common
Stock")
|
|
ITEM
2(e)
|
CUSIP
NUMBER: 843380 10
6
|
|
ITEM
3
|
IF
THIS STATEMENT IS FILED PURSUANT TO SECTION 240.13d-1(b) OR 240.13d-2(b)
or (c), CHECK WHETHER THE PERSON FILING IS:
|
||
|
(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 Section
240.13d-1(b)(1)(ii)(E);
|
|
|
(f)
|
[X
]
|
An
employee benefit plan or endowment fund in accordance with Section
240.13d-1(b)(1)(ii)(F);
|
|
|
(g)
|
[ ]
|
A
parent holding company or control person in accordance with Section
240.13d-1(b)(1)(ii)(G);
|
|
|
(h)
|
[ ]
|
A
savings association 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); and
|
|
|
(j)
|
[ ]
|
Group,
in accordance with Section
240.13d-1(b)(1)(ii)(J).
|
|
|
ITEM
4
|
OWNERSHIP:
The ESOP holds an aggregate of 205,219 shares of Common Stock
(9.8% of the outstanding shares). The ESOP has sole voting power
with respect to shares held by it which have not been allocated to
participant accounts, shared voting power with respect to shares held by
it which have been allocated to participant accounts and sole dispositive
power with respect to all shares (allocated and unallocated) held by the
ESOP.
The Trustees may be deemed to beneficially own the 205,219
shares held by the ESOP. However, the Trustees expressly disclaim
beneficial ownership of all of such shares.
Other than the shares held by the ESOP (of which the Trustees
expressly disclaim beneficial ownership), below is the beneficial
ownership of the individual Trustees of shares of common stock of the
issuer.
Individual
Trusteetee
Beneficial Ownership
Rebecca J.
Brooks 10,250(1)
L. Douglas
Bagby 14,801
Samuel H.
Smith 80,054
____________
(1)
Includes 5,000 shares underlying currently exercisable stock
options.
Pursuant to the ESOP, participants in the ESOP are entitled to
instruct the Trustees as to the voting of the shares allocated to their
ESOP accounts. On each issue with respect to which shareholders are
entitled to vote, the Trustees are required to vote the shares held by the
ESOP which have not been allocated to participant accounts in the manner
directed under the ESOP.
|
||
|
ITEM
5
|
OWNERSHIP
OF FIVE PERCENT OR LESS OF A CLASS:
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:
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 acquired and are held in the ordinary
course of business and 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:
February 16, 2010
|
SOUTHERN
MISSOURI BANK AND TRUST CO.
EMPLOYEE
STOCK OWNERSHIP PLAN
|
||
|
By:
By:
|
Southern
Bank, as Trustee
/s/ Greg
A.
Steffens
|
||
| Name: | Greg A. Steffens | ||
| Title: | President | ||
|
Date:
February 16, 2010
|
By:
|
/s/ Rebecca
J.
Brooks
|
|
| Name: | Rebecca J. Brooks | ||
| Title: | Trustee |
|
Date:
February 16, 2010
|
By:
|
/s/ L.
Douglas
Bagby
|
|
| Name: | L. Douglas Bagby | ||
| Title: | Trustee |
|
Date:
February 16, 2010
|
By:
|
/s/ Samuel
H.
Smith
|
|
| Name: | Samuel H. Smith | ||
| Title: | Trustee |
| By: | /s/ Greg A. Steffens |
|
Name:
Greg A. Steffens
Title: President
|
| By: | /s/ Rebecca J. Brooks |
|
Name:
Rebecca J. Brooks
Title: Trustee
|
| By: | /s/ L. Douglas Bagby |
|
Name: L.
Douglas Bagby
Title: Trustee
|
| By: | /s/ Samuel H. Smith |
|
Name:
Samuel H. Smith
Title: Trustee
|