SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
AMENDMENT TO SCHEDULE 13D
(Amendment No. 8)
Under the Securities Exchange Act of 1934
FIRST INDIANA CORPORATION
(Name of Issuer)
Common Stock, $0.01 par value
-----------------------------
(Title of Class of Securities)
32054R 10 8
(CUSIP Number)
ROBERT H. McKINNEY With a Copy to: DAVID A. BUTCHER
2800 First Indiana Plaza Bose McKinney & Evans LLP
135 North Pennsylvania Street 2700 First Indiana Plaza
Indianapolis, Indiana 46204 135 N. Pennsylvania Street
(317) 634-1400 Indianapolis, Indiana 46204
(317) 684-5123
(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
September 29, 2000
------------------
(Date of event which requires
filing of this statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition which is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1(b)(3) or (4), check the following box: [ ]
Check the following box if a fee is being paid with this statement: [ ]
<PAGE>
CUSIP No. 32054R 10 8
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(1) Name of Reporting Person: Robert H. McKinney
S.S. or I.R.S. Identification No.: ###-##-####
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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) Source of Funds Not Applicable
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(5) Check if Disclosure of Legal Proceedings is Required Pursuant
to Items 2(d) or 2(e): [ ]
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(6) Citizenship or Place of Organization: United States Citizen
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Number of Shares (7) Sole Voting Power 717,883 shares
Beneficially
Owned by Each (8) Shared Voting Power 707,359 shares
Reporting Person
With (9) Sole Dispositive Power 717,883 shares
(10) Shared Dispositive Power 707,359 shares
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(11) Aggregate Amount Beneficially
Owned by Each Reporting Person 1,425,242 shares
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(12) Check if the Aggregate Amount
in Row (11) Excludes Certain Shares [ ]
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(13) Percent of Class Represented by Amount in Row (11) 11.39%
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(14) Type of Reporting Person IN
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<PAGE>
CUSIP No. 32054R 10 8
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(1) Name of Reporting Person: Marni McKinney
S.S. or I.R.S. Identification No.: ###-##-####
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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) Source of Funds Not Applicable
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(5) Check if Disclosure of Legal Proceedings
is Required Pursuant to Items 2(d) or 2(e): [ ]
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(6) Citizenship or Place of Organization: United States Citizen
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Number of Shares (7) Sole Voting Power 661,053 shares
Beneficially
Owned by Each (8) Shared Voting Power 673,041 shares
Reporting Person
With (9) Sole Dispositive Power 661,053 shares
(10) Shared Dispositive Power 673,041 shares
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(11) Aggregate Amount Beneficially
Owned by Each Reporting Person 1,334,094 shares
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(12) Check if the Aggregate Amount
in Row (11) Excludes Certain Shares [ ]
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(13) Percent of Class Represented by Amount in Row (11) 10.65%
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(14) Type of Reporting Person IN
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<PAGE>
CUSIP No. 32054R 10 8
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(1) Name of Reporting Person: Robert H. McKinney Irrevocable
GST Trust
S.S. or I.R.S. Identification No.: 35-6547725
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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) Source of Funds Not Applicable
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(5) Check if Disclosure of Legal Proceedings
is Required Pursuant to Items 2(d) or 2(e): [ ]
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(6) Citizenship or Place of Organization: United States Citizen
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Number of Shares (7) Sole Voting Power 432,007 shares
Beneficially
Owned by Each (8) Shared Voting Power 0 shares
Reporting Person
With (9) Sole Dispositive Power 432,007 shares
(10) Shared Dispositive Power 0 shares
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(11) Aggregate Amount Beneficially
Owned by Each Reporting Person 432,007 shares
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(12) Check if the Aggregate Amount
in Row (11) Excludes Certain Shares [ ]
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(13) Percent of Class Represented by Amount in Row (11) 3.47%
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(14) Type of Reporting Person OO
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<PAGE>
CUSIP No. 32054R 10 8
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(1) Name of Reporting Person: Robert H. McKinney
Irrevocable Family Trust
S.S. or I.R.S. Identification No.: 35-6452993
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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) Source of Funds Not Applicable
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(5) Check if Disclosure of Legal Proceedings
is Required Pursuant to Items 2(d) or 2(e): [ ]
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(6) Citizenship or Place of Organization: United States Citizen
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Number of Shares (7) Sole Voting Power 29,048 shares
Beneficially
Owned by Each (8) Shared Voting Power 0 shares
Reporting Person
With (9) Sole Dispositive Power 29,048 shares
(10) Shared Dispositive Power 0 shares
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(11) Aggregate Amount Beneficially
Owned by Each Reporting Person 29,048 shares
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(12) Check if the Aggregate Amount
in Row (11) Excludes Certain Shares [ ]
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(13) Percent of Class Represented by Amount in Row (11) 0.23%
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(14) Type of Reporting Person OO
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<PAGE>
CUSIP No. 32054R 10 8
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(1) Name of Reporting Person: McKinney Family, L.P.
S.S. or I.R.S. Identification No.: 35-1967612
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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
-------------------------------------------------------------------------------
(4) Source of Funds Not Applicable
-------------------------------------------------------------------------------
(5) Check if Disclosure of Legal Proceedings
is Required Pursuant to Items 2(d) or 2(e): [ ]
-------------------------------------------------------------------------------
(6) Citizenship or Place of Organization: United States Citizen
-------------------------------------------------------------------------------
Number of Shares (7) Sole Voting Power 673,041 shares
Beneficially
Owned by Each (8) Shared Voting Power 0 shares
Reporting Person
With (9) Sole Dispositive Power 673,041 shares
(10) Shared Dispositive Power 0 shares
-------------------------------------------------------------------------------
(11) Aggregate Amount Beneficially
Owned by Each Reporting Person 673,041 shares
-------------------------------------------------------------------------------
(12) Check if the Aggregate Amount
in Row (11) Excludes Certain Shares [ ]
-------------------------------------------------------------------------------
(13) Percent of Class Represented by Amount in Row (11) 5.41%
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(14) Type of Reporting Person OO
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<PAGE>
Item 1. Security and Issuer. This statement relates to the common stock, $0.01
par value of First Indiana Corporation (the "Issuer"), whose principal executive
offices are located at 135 North Pennsylvania Street, Suite 2800, Indianapolis,
Indiana 46204.
Item 2. Identity and Background. This statement is filed jointly by the
following persons (individually a "Reporting Person," collectively the
"Reporting Persons"):
(a) Robert H. McKinney, a United States Citizen whose business
address is 135 N. Pennsylvania Street, Indianapolis, Indiana
46204. Mr. McKinney's present principal occupations are Chairman
of the Issuer and Chairman of the Executive Committee of First
Indiana Bank
(b) Marni McKinney (formerly known as Marni M. Jakubovie), a United
States Citizen whose business address is 135 N. Pennsylvania
Street, Suite 2800, Indianapolis, Indiana 46204. Ms. McKinney's
present principal occupation is Vice Chairman and Chief Executive
Officer of the Issuer and Chairman of First Indiana Bank
(c) The Robert H. McKinney Irrevocable GST Trust under agreement
dated January 4, 1993 (the "GST Trust"), a trust organized under
the laws of the State of Indiana. Marni McKinney is the sole
trustee of the GST Trust and has a business address of 135 N.
Pennsylvania Street, Suite 2800, Indianapolis, Indiana 46204. Ms.
McKinney has sole power to dispose of and to vote any shares of
stock held in the GST Trust.
(d) The Robert H. McKinney Irrevocable Family Trust under agreement
dated July 1, 1993 (the "Family Trust"), a trust organized under
the laws of the State of Indiana. Marni McKinney is the sole
trustee of the Family Trust and has a business address of 135 N.
Pennsylvania Street, Suite 2800, Indianapolis, Indiana 46204. Ms.
McKinney has sole power to dispose of and to vote any shares of
stock held in the Family Trust.
(e) McKinney Family, L.P. (the "Partnership"), a limited partnership
organized under the laws of the State of Indiana. Robert H.
McKinney and the Family Trust are the sole general partners of
the Partnership and have a business address of 135 N.
Pennsylvania Street, Suite 2800, Indianapolis, Indiana 46204.
During the last five years none of the Reporting Persons has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors), nor have any of them, during the last five years, been party to a
civil proceeding of a judicial or administrative body of competent jurisdiction
and as a result thereof been 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.
Item 3. Source and Amount of Funds or Other Consideration. Not applicable; see
Item 4 below.
Item 4. Purpose of Transaction. The transactions which are the subject of this
Amendment No. 8 to Schedule 13D involve the acquisition of the Issuer's common
shares through the merger of The Somerset Group, Inc. with and into the Issuer
effective September 29, 2000 (the "Somerset Merger").
None of the Reporting Persons has any present plans or proposals
which relate to or would result in: (i) the acquisition by any person of
additional securities of the Issuer, or the disposition of securities of the
Issuer; (ii) an extraordinary corporate transaction, such as a merger,
reorganization or liquidation, involving the Issuer or any of its subsidiaries;
(iii) a sale or transfer of a material amount of assets of the Issuer or any of
its subsidiaries; (iv) 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; (v) any
material change in the present capitalization or dividend policy of the Issuer;
(vi) any other material change in the Issuer's business or corporate structure;
(vii) changes in the Issuer's charter, by-laws or other instruments
corresponding thereto or other actions which may impede the acquisition of
control of the Issuer by any person; (viii) 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 interdealer quotation system of a registered
national securities association; (ix) a class of equity securities of the Issuer
becoming eligible for termination of registration pursuant to Section 12(g)(4)
of the Securities Exchange Act of 1934; or (x) any action similar to any of
those enumerated above. Item 4 disclosure provisions regarding any plans or
proposals to make any changes in a company's investment policy for which a vote
is required by Section 13 of the Investment Company Act of 1940 are
inapplicable.
Item 5. Interest in Securities of the Issuer.
------ ------------------------------------
(a) Robert H. McKinney beneficially owns 1,425,242 shares
(11.39%) of the Issuer, including 650,108 shares which are
individually owned by Mr. McKinney, 673,041 shares which are
owned by the Partnership, 2,139 shares which are owned
through a managed account, 34,318 shares which are owned by
Mr. McKinney's spouse and 65,636 shares as to which Mr.
McKinney has the right to acquire beneficial ownership as
specified in Rule 13d-3(d)(1) under the Securities Exchange
Act of 1934 (the "Exchange Act") or which are restricted
stock.
Marni McKinney beneficially owns 1,334,094 shares (10.65%)
of the Issuer, including 116,269 shares which are
individually owned by Ms. McKinney, 133 shares which are
owned through a managed account, 673,041 shares which are
owned by the Partnership, 432,007 shares which are owned by
the GST Trust, 29,048 shares which are owned by the Family
Trust and 83,596 shares as to which Ms. McKinney has the
right to acquire beneficial ownership as specified in Rule
13d-3(d)(1) under the Exchange Act or which are restricted
stock.
The GST Trust beneficially owns 432,007 shares (3.47%) of
the Issuer.
The Family Trust beneficially owns 29,048 shares (0.23%) of
the Issuer.
The Partnership beneficially owns 673,041 shares (5.41%) of
the Issuer.
All of the Reporting Persons in the aggregate beneficially
own a total of 2,086,295 shares (16.57%) of the Issuer.
(b) Number of shares as to which Robert H. McKinney (including
shares of his spouse) has:
(i) Sole power to vote or to
direct the vote ...................717,883
(ii) Shared power to vote or to
direct the vote ...................707,359
(iii) Sole power to dispose or to
direct the disposition of ........717,883
(iv) Shared power to dispose or to
direct the disposition of .........707,359
Number of shares as to which Marni McKinney has:
(i) Sole power to vote or to
direct the vote ...................661,053
(ii) Shared power to vote or to
direct the vote ...................673,041
(iii) Sole power to dispose or to
direct the disposition of .........661,053
(iv) Shared power to dispose or to
direct the disposition of .........673,041
Number of shares as to which the GST Trust has:
(i) Sole power to vote or to
direct the vote ...................432,007
(ii) Shared power to vote or to
direct the vote .........................0
(iii) Sole power to dispose or to
direct the disposition of .........432,007
(iv) Shared power to dispose or to
direct the disposition of ...............0
Number of shares as to which the Family Trust has:
(i) Sole power to vote or to
direct the vote ....................29,048
(ii) Shared power to vote or to
direct the vote .........................0
(iii) Sole power to dispose or to
direct the disposition of ..........29,048
(iv) Shared power to dispose or to
direct the disposition of ...............0
Number of shares as to which the Partnership has:
(i) Sole power to vote or to
direct the vote ...................673,041
(ii) Shared power to vote or to
direct the vote .........................0
(iii) Sole power to dispose or to
direct the disposition of .........673,041
(iv) Shared power to dispose or to
direct the disposition of ...............0
(c) Within the last 60 days none of the Reporting Persons has
engaged in any transactions involving the Issuer's
securities, other than the Somerset Merger and a partial
distribution by the Family Trust to beneficiaries (which
included Marni McKinney).
(d) Not Applicable.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to
Securities of the Issuer. Robert H. McKinney is the father of Marni McKinney and
each is an executive officer and director of the Issuer. Marni McKinney is the
trustee of the GST Trust and of the Family Trust. Robert H. McKinney and the
Family Trust are the general partners of the Partnership.
Except to the extent that the Reporting Persons are deemed to constitute a
group by virtue of their personal and business relationships, each Reporting
Person expressly disclaims membership in a group and beneficial ownership of the
shares of common stock of the Issuer owned individually by the other Reporting
Persons.
Item 7. Material to be Filed as Exhibits.
The following exhibit is filed with this statement:
Exhibit A Written Agreement Relating to the Filing of Joint 13D Statement.
<PAGE>
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: December 18, 2000 /s/ Robert H. McKinney
-------------------------
Robert H. McKinney
/s/ Marni McKinney
-------------------------
Marni McKinney
THE ROBERT H. McKINNEY
IRREVOCABLE GST TRUST
/s/ Marni McKinney
By: ______________________
Marni McKinney,
Trustee
THE ROBERT H. McKINNEY
IRREVOCABLE FAMILY TRUST
/s/ Marni McKinney
By: ________________________
Marni McKinney
Trustee
McKINNEY FAMILY, L.P.
/s/ Robert H. McKinney
By: ________________________
Robert H. McKinney
General Partner
<PAGE>
Exhibit A
WRITTEN AGREEMENT RELATING TO THE FILING
OF JOINT 13D STATEMENT -- SEC RULE 13d-1(f)
Pursuant to Rule 13d-1(f) of the Securities and Exchange Commission,
each of the undersigned hereby agrees to the joint filing of a Schedule 13D
statement under the Securities Exchange Act of 1934 and any amendments thereto
relating to acquisitions of the equity securities of First Indiana Corporation,
and such Schedule 13D statement and amendments thereto when signed and filed by
the undersigned shall be deemed filed on behalf of each of them.
Date: December 18, 2000 /s/ Robert H. McKinney
-------------------------
Robert H. McKinney
/s/ Marni McKinney
-------------------------
Marni McKinney
THE ROBERT H. McKINNEY
IRREVOCABLE GST TRUST
/s/ Marni McKinney
By: ______________________
Marni McKinney,
Trustee
THE ROBERT H. McKINNEY
IRREVOCABLE FAMILY TRUST
/s/ Marni McKinney
By: ________________________
Marni McKinney
Trustee
McKINNEY FAMILY, L.P.
/s/ Robert H. McKinney
By: ________________________
Robert H. McKinney
General Partner
