SECURITIES AND EXCHANGE COMMISSION
Washington, D. C. 20549
SCHEDULE l3D
Under the Securities Exchange Act of 1934
(Amendment No. 4 )*
THREE RIVERS FINANCIAL CORP.
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(Name of Issuer)
Common Stock, par value $0.01 per share
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(Title of Class of Securities)
88562H107
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(CUSIP Number)
with a copy to:
Robert G. Minion, Esq.
Jeffrey S. Halis Lowenstein Sandler PC
10 East 50th Street 65 Livingston Avenue
New York, New York 10022 Roseland, New Jersey 07068
(212) 588-9697 (973) 597-2500
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(Name, Address and Telephone Number
of Person Authorized to Receive
Notices and Communications)
May 3, 1999
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(Date of Event which Requires Filing
of this Statement)
If the filing person has previously filed a statement on Schedule l3G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), (f) or (g), check the following box [ ].
Note: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule l3d-7(b) 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).
<PAGE>
CUSIP NO. 88562H107
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1) Names of Reporting Persons I.R.S. Identification Nos. of Above Persons
(entities only):
Jeffrey S. Halis
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2) Check the Appropriate Box if a Member of a Group (See Instructions): N/A
(a) (b)
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3) SEC Use Only
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4) Source of Funds (See Instructions):WC
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5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items
2(d) or 2(e):
Not Applicable
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6) Citizenship or Place of Organization: United States
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Number of 7) Sole Voting Power: 52,930*
Shares Beneficially --------------------------------------
Owned by 8) Shared Voting Power: 0
Each Reporting --------------------------------------
Person With:
9) Sole Dispositive Power: 52,930*
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10) Shared Dispositive Power: 0
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11) Aggregate Amount Beneficially Owned by Each Reporting Person:
52,930*
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12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See
Instructions):
Not Applicable
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13) Percent of Class Represented by Amount in Row (11):
6.7%*
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14) Type of Reporting Person (See Instructions): IA
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*34,460 shares (4.3%) of Three Rivers Financial Corp. common stock are owned by
Tyndall Partners, L.P., a Delaware limited partnership ("Tyndall"). 13,850
shares (1.7%) of Three Rivers Financial Corp. common stock are owned by Tyndall
Institutional Partners, L.P., a Delaware limited partnership ("Tyndall
Institutional"). 4,620 shares (0.6%) of Three Rivers Financial Corp. common
stock are owned by Madison Avenue Partners, L.P., a Delaware limited partnership
("Madison"). Pursuant to the Agreement of Limited Partnership of each of
Tyndall, Tyndall Institutional and Madison, Jeffrey S. Halis possesses sole
voting and investment control over all securities owned by each of Tyndall,
Tyndall Institutional and Madison, respectively. Jeffrey S. Halis' interest in
the shares set forth herein is limited to the extent of his pecuniary interest,
if any, in Tyndall, Tyndall Institutional and Madison, respectively. See Item 5
for further information on the computation of percentages set forth herein.
<PAGE>
Item 5. Interest in Securities of the Issuer
Based upon the information set forth in Three Rivers Financial Corp.'s
10-QSB dated December 31, 1998, as of February 12, 1999 there were issued and
outstanding 792,734 shares of common stock of Three Rivers Financial Corp. As of
May 3, 1999, Tyndall Partners, L.P. owned 34,460 of such shares, or 4.3% of
those outstanding, Tyndall Institutional Partners, L.P. owned 13,850 of such
shares, or 1.7% of those outstanding and Madison Avenue Partners, L.P. owned
4,620 of such shares, or 0.6% of those outstanding. Jeffrey Halis possesses sole
power to vote and direct the disposition of all shares of common stock of Three
Rivers Financial Corp. owned by each of Tyndall Partners, L.P., Tyndall
Institutional Partners, L.P. and Madison Avenue Partners, L.P. The following
table details the transactions by Tyndall Partners, L.P. in shares of common
stock of Three Rivers Financial Corp. since the most recent filing of Schedule
13D Amendment No. 3 (each of which were effected in ordinary brokers
transactions):
A. Tyndall Partners, L.P.
Date Quantity Price
(Purchases)
NONE
(Sales)
May 3, 1999 742 $13.71
May 3, 1999 13,857 $13.70
<PAGE>
B. Tyndall Institutional Partners, L.P.
Date Quantity Price
(Purchases)
NONE
(Sales)
May 3, 1999 13,700 $13.70
C. Madison Avenue Partners, L.P.
Date Quantity Price
(Purchases)
NONE
(Sales)
NONE
<PAGE>
SIGNATURE
After reasonable inquiry and to the best of the undersigned's
knowledge and belief, the undersigned hereby certify that the information set
forth in this statement is true, complete and correct.
May 5, 1999
/s/ Jeffrey S. Halis
Jeffrey S. Halis, as a
general partner of Halo
Capital Partners, L.P., the
general partner of each of
Tyndall Partners, L.P.,
Tyndall Institutional
Partners, L.P., and Madison
Avenue Partners, L.P.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE
FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001).
