United States
Securities and Exchange Commission
Washington, D.C. 20549
Under the Securities Exchange Act of 1934
(Amendment No.
10)*
| OMB Number 3235-0145 |
If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box.
Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.
* 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 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 ("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).
CUSIP No. 320866106
LUMPKIN RICHARD ANTHONY
PF OO
United States of America
Number of Shares Beneficially Owned by Each Reporting Person With:
393,789 shares
235,650 shares
393,789 shares
235,650 shares
629,439 shares
10.1%
IN OO
This statement relates to the common stock, par value $4.00 per share (the "Common Stock"), of First Mid-Illinois Bancshares, Inc., a Delaware corporation (the "Company"), whose principal executive offices are located at 1515 Charleston Avenue, Mattoon, Illinois 61938.
This statement is being filed by Richard Anthony Lumpkin individually and as more particularly described in Item 5 below.
His business address is as follows: Consolidated Communications Holdings, Inc., 121 South 17th Street, Mattoon, Illinois 61938.
His principal occupation is serving as the Chairman of Consolidated Communications Holdings, Inc.
Whether or not, during the last five years, such person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) and, if so, give the dates, nature of conviction, name and location of court, and penalty imposed, or other disposition of the case:
During the last five years, Mr. Lumpkin has not been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors.)
Whether or not, during the last five years, such person was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws; and, if so, identify and describe such proceedings and summarize the terms of such judgment, decree or final order:
During the last five years, Mr. Lumpkin has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction resulting in a judgment, decree or final order finding any violation with respect to federal or state securities laws or enjoining future violations of, or prohibiting or mandating activiites subject to, such laws.
Mr. Lumpkin is a citizen of the United States of America.
Since Mr. Lumpkin's most recently filed amendment to this statement on February 9, 2004, shares of Common Stock for which Mr. Lumpkin is reporting beneficial ownership herein have been acquired in the following manner: (i) 1,284 shares have been acquired pursuant to the deferral of director fees under the Company's Deferred Compensation Plan; (ii) 2,435 shares have been acquired pursuant to dividend reinvestment under the Company's Dividend Reinvestment Plan; (iii) 2,250 shares have been awarded in the form of stock options under the Company's Stock Incentive Plan; (iv) 13,125 shares have been acquired pursuant to the exercise of outstanding stock options under the Company's Stock Incentive Plan; (v)24,000 shares have been acquired by gift by The Lumpkin Family Foundation; (vi) 138,802 shares have been acquired pursuant to the three-for-two stock split effected by the Company on July 16, 2004; (vii) 205,586 shares have been acquired pursuant to the three-for-two stock split effected by the Company on June 29, 2007; (viii) 18,160 shares are obtainable through the conversion of 80 shares of Series B 9% Non-Cumulative Perpetual Convertible Preferred Stock of the Company (the "Series B Preferred Stock") that have been acquired by the Richard Adamson Lumpkin Trust dated February 6, 1970 f.b.o. Margaret Keon through a private placement offering by the Company of the Series B Preferred Stock on February 11, 2009; (ix) 22,700 shares are obtainable through the conversion of 100 shares of Series B Preferred Stock that have been acquired by the Richard Adamson Lupkin Trust dated February 6, 1970 f.b.o. Richard Anthony Lumpkin through a private placement offering by the Company of the Series B Preferred Stock on February 11, 2009; and (x) 22,700 shares are obtainable through the conversion of 100 shares of Series B Preferred Stock that have been acquired by The Lumpkin Family Foundation through a private placement offering by the Company of the Series B Preferred Stock on February 11, 2009. No borrowed funds were used for any of the above listed acquisitions. Additionally, Mr. Lumpkin's percentage of beneficial ownership of shares of Common Stock has increased as a result of Common Stock repurchases under the Company's share buy-back program.
Purchases of shares of Common Stock by Mr. Lumpkin have been for investment purposes. Mr. Lumpkin may purchase additional shares from time to time depending upon price, market conditions, availability of funds, evaluation of other investment opportunities, and other factors. Although Mr. Lumpkin has no present intention to sell any shares, he could determine from time to time, based upon the same factors listed above for purchases, to sell some or all of the shares held by him.
Except as set forth above, Mr. lumpkin does not have any plan or proposal which relates to or would result in any of the following matters.
The acquisition by any person of additional securities of the issuer, or the disposition of securities of the issuer;
An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the issuer or any of its subsidiaries;
A sale or transfer of a material amount of assets of the issuer or any of its subsidiaries;
Any change in the present board of directors or management of the issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board;
Any material change in the present capitalization or dividend policy of the issuer;
Any other material change in the issuer's business or corporate structure including but not limited to, if the issuer is a registered closed-end investment company, any plans or proposals to make any changes in its investment policy for which a vote is required by section 13 of the Investment Company Act of 1940;
Changes in the issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the issuer by any person;
Causing a class of securities of the issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association;
A class of equity securities of the issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Act; or
Any action similar to any of those enumerated above.
State the aggregate number and percentage of the class of securities identified pursuant to Item 1 (which may be based on the number of securities outstanding as contained in the most recently available filing with the Commission by the issuer unless the filing person has reason to believe such information is not current) beneficially owned (identifying those shares which there is a right to acquire) by each person named in Item 2. The above mentioned information should also be furnished with respect to persons who, together with any of the persons named in Item 2, comprise a group within the meaning of Section 13(d)(3) of the Act;
Mr. Lumpkin's total beneficial ownership amounts to 629,439 shares of Common Stock, or 10.1% of the outstanding shares.
For each person named in response to paragraph (a), indicate the number of shares as to which there is sole power to vote or to direct the vote, shared power to vote or to direct the vote, sole power to dispose or to direct the disposition, or shared power to dispose or to direct the disposition. Provide the applicable information required by Item 2 with respect to each person with whom the power to vote or to direct the vote or to dispose or direct the disposition is shared;
Mr. Lumpkin holds sole voting and investment power over the following shares of Common Stock: (i) 44,458 shares held individually; (ii) 1,665 shares held for the account of Mr. Lumpkin under the Company's Deferred Compensation Plan; (iii) 306,806 shares held by the Richard Adamson Lumpkin Trust dated February 6, 1970 f.b.o. Richard Anthony Lumpkin; (iv) 22,700 shares of Common Stock obtainable through the conversion of 100 shares of Series B Preferred Stock held by the Richard Adamson Lumpkin Trust dated February 6, 1970 f.b.o. Richard Anthony Lumpkin; and (v) 18,160 shares of Common Stock obtainable through the conversion of 80 shares of Series B Preferred Stock held by the Richard Adamson Lumpkin Trust dated February 6, 1970 f.b.o. Margaret Keon; however, Mr. Lumpkin disclaims beneficial ownership of these 18,160 shares. In his capacity as a director of The Lumpkin Family Foundation, Mr. Lumpkin is reporting shared voting and investment power over the 112,467 shares held by The Lumpkin Family Foundation and 22,700 shares of Common Stock obtainable through the conversion of 100 shares of Series B Preferred Stock held by The Lumpkin Family Foundation; however, Mr. Lumpkin disclaims beneficial ownership of these 135,167 shares. Mr. Lumpkin's beneficial ownership reported herein includes 100,483 shares held by SKL Investment Group, LLC over which shares Mr. Lumpkin has shared voting and investment power.
During the past 60 days, Mr. Lumpkin has effected no transactions in the Common Stock other than the following: (i) On February 11, 2009, The Lumpkin Family Foundation purchased 100 shares of Series B Preferred Stock of the Company, which are convertible into 22,700 shares of Common Stock. The purchase was consummated in a private placement offering of the Company's Series B Preferred Stock. The price per share of the Series B Preferred Stock was $5,000; (ii) On February 11, 2009, the Richard Adamson Lumpkin Trust dated February 6, 1970 f.b.o. Richard Anthony Lumpkin purchased 100 shares of Series B Preferred Stock of the Company, which are convertible into 22,700 shares of Common Stock. The purchase was consummated in a private placement offering of the Company's Series B Preferred Stock. The price per share of the Series B Preferred Stock was $5,000; and (iii) On February 11, 2009, the Richard Adamson Lumpkin Trust dated February 6, 1970 f.b.o. Margaret Keon purchased 80 shares of Series B Preferred Stock of the Company, which are convertible into 18,160 shares of Common Stock. The purchase was consummated in a private placement offering of the Company's Series B Preferred Stock. The purchase price per share of the Series B Preferred Stock was $5,000.
| Transaction Date | Shares or Units Purchased (Sold) | Price Per Share or Unit |
Other than the entities described in sub-items (a) & (b) above, to the knowledge of Mr. Lumpkin, no other person has the right to receive or the power to direct the receipt of dividends from, or proceeds from the sale of, the shares of Common Stock beneficially owned by Mr. Lumpkin.
Not applicable.
There are no contracts, arrangements, understandings or relationships (legal or otherwise) between Mr. Lumpkin and any person with respect to any securities of the issuer.
None.
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.
Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)