SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G/A
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 6)(1)
TRI-COUNTY FINANCIAL CORPORATION
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(Name of Issuer)
COMMON STOCK
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(Title of Class of Securities)
89546L 10 7
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(CUSIP Number)
DECEMBER 31, 2001
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(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)
[X] Rule 13d-1(c)
[ ] Rule 13d-1(d)
(1) 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).
Page 1 of 7 pages
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CUSIP NO. 89546L 10 7 13G PAGE 2 OF 7 PAGES
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1 NAMES OF REPORTING PERSONS:
COMMUNITY BANK OF TRI-COUNTY EMPLOYEE STOCK OWNERSHIP PLAN TRUST
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
52-2054674
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
(a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
STATE OF MARYLAND
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NUMBER OF 5 SOLE VOTING POWER 8,548
SHARES ------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER 45,181
OWNED BY ------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER 8,548
REPORTING ------------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER 45,181
WITH
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
53,729
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.1%
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12 TYPE OF REPORTING PERSON *
EP
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 89546L 10 7 13G PAGE 3 OF 7 PAGES
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1 NAMES OF REPORTING PERSONS:
LOUIS P. JENKINS, JR.
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
(a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES OF AMERICA
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NUMBER OF 5 SOLE VOTING POWER 500
SHARES ------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER 8,548
OWNED BY ------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER 1,100
REPORTING ------------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER 8,548
WITH
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9,648
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.3%
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12 TYPE OF REPORTING PERSON *
IN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 89546L 10 7 13G PAGE 4 OF 7 PAGES
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1 NAMES OF REPORTING PERSONS:
HERBERT N. REDMOND, JR.
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP *
(a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES OF AMERICA
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NUMBER OF 5 SOLE VOTING POWER 540
SHARES ------------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER 8,548
OWNED BY ------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER 5,140
REPORTING ------------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER 8,548
WITH
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,688
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.8%
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12 TYPE OF REPORTING PERSON *
IN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
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PAGE 5 OF 7 PAGES
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Securities and Exchange Commission
Washington, D.C. 20549
ITEM 1(a) NAME OF ISSUER.
Tri-County Financial Corporation
ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES.
3035 Leonardtown Rd.
Waldorf, Maryland 20601
ITEM 2(a) NAME OF PERSON(S) FILING.
Community Bank of Tri-County Employee Stock Ownership Plan Trust ("ESOP"),
and the following individuals who serve as its trustees: Louis P. Jenkins, Jr.
and Herbert N. Redmond, Jr.
ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE.
Same as Item 1(b).
ITEM 2(c) CITIZENSHIP.
See Row 4 of the second part of the cover page provided for each reporting
person.
ITEM 2(d) TITLE OF CLASS OF SECURITIES.
Common Stock, par value $.01 per share.
ITEM 2(e) CUSIP NUMBER.
See the upper left corner of the second part of the cover page provided for
each reporting person.
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b),
OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(f) [X] An employee benefit plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F);
Items (a), (b), (c), (d), (e), (g), (h), (i), and (j) are not applicable.
This Schedule 13G is being filed on behalf of the ESOP identified in Item 2(a),
filing under the Item 3(f) classification, and by each trustee of the trust
established pursuant to the ESOP, filing pursuant to Rule 13d-1(c) and
applicable SEC no-action letters.
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PAGE 6 OF 7 PAGES
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ITEM 4. OWNERSHIP.
(a) Amount Beneficially Owned: See Row 9 of the second part of the cover
page provided for each reporting person.
(b) Percent of Class: See Row 11 of the second part of the cover page
provided for each reporting person.
(c) See Rows 5, 6, 7, and 8 of the second part of the cover page provided
for each reporting person.
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.
The ESOP Committee has the power to determine whether dividends on
allocated shares that are paid to the ESOP trust are distributed to participants
or are used to repay the ESOP loan.
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. CERTIFICATION.
By signing below, each signatory in the capacity of an ESOP trustee
certifies that, to the best of his 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.
By signing below, each signatory in his individual capacity certifies that,
to the best of his 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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PAGE 7 OF 7 PAGES
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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.
COMMUNITY BANK OF TRI-COUNTY
EMPLOYEE STOCK OWNERSHIP PLAN TRUST
By Its Trustees:
/s/ Louis P. Jenkins, Jr. January 31, 2002
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Louis P. Jenkins, Jr., as Trustee Date
/s/ Herbert N. Redmond, Jr. January 29, 2002
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Herbert N. Redmond, Jr., as Trustee Date
/s/ Louis P. Jenkins, Jr. February 7, 2002
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Louis P. Jenkins, Jr., as an Individual Stockholder Date
/s/ Herbert N. Redmond, Jr. January 29, 2002
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Herbert N. Redmond, Jr., as an Individual Stockholder Date