| Item 1. | |
| (a) | Name of issuer:
SB Financial Group, Inc. |
| (b) | Address of issuer's principal executive offices:
401 Clinton Street, Defiance, Ohio 43512 |
| Item 2. | |
| (a) | Name of person filing:
The State Bank and Trust Company
SB Financial Group, Inc. Employee Stock Ownership Plan |
| (b) | Address or principal business office or, if none, residence:
The State Bank and Trust Company
401 Clinton Street
Defiance, Ohio 43512
SB Financial Group, Inc. Employee Stock Ownership Plan
The State Bank and Trust Company, Trustee
401 Clinton Street
Defiance, Ohio 43512 |
| (c) | Citizenship:
The State Bank and Trust Company -
Organized under the laws of Ohio
SB Financial Group, Inc. Employee Stock Ownership Plan -
Organized under the laws of Ohio |
| (d) | Title of class of securities:
Common Shares, without par value |
| (e) | CUSIP No.:
78408D105 |
| Item 3. | If this statement is filed pursuant to §§ 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
| (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 § 240.13d-1(b)(1)(ii)(E);
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| (f) | An employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F);
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| (g) | A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
|
| (h) | A savings associations 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);
|
| (j) | A non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J). If filing as a non-U.S. institution in accordance with § 240.13d-1(b)(1)(ii)(J),
please specify the type of institution:
|
| (k) | Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K).
|
| | |
| Item 4. | Ownership |
| (a) | Amount beneficially owned:
The State Bank and Trust Company: 304,286
SB Financial Group, Inc. Employee Stock Ownership Plan: 304,286 |
| (b) | Percent of class:
The State Bank and Trust Company: 4.67%
SB Financial Group, Inc. Employee Stock Ownership Plan: 4.67% |
| (c) | Number of shares as to which the person has:
|
| | (i) Sole power to vote or to direct the vote:
The State Bank and Trust Company: -0-
SB Financial Group, Inc. Employee Stock Ownership Plan: -0-
|
| | (ii) Shared power to vote or to direct the vote:
The State Bank and Trust Company: -0-
SB Financial Group, Inc. Employee Stock Ownership Plan: -0-
|
| | (iii) Sole power to dispose or to direct the disposition of:
The State Bank and Trust Company: -0-
SB Financial Group, Inc. Employee Stock Ownership Plan: -0-
|
| | (iv) Shared power to dispose or to direct the disposition of:
The State Bank and Trust Company: 304,286
SB Financial Group, Inc. Employee Stock Ownership Plan: 304,286
|
| Item 5. | Ownership of 5 Percent or Less of a Class. |
| | |
| Item 6. | Ownership of more than 5 Percent on Behalf of Another Person. |
| |
Not Applicable
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| Item 7. | Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. |
| |
Not Applicable
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| Item 8. | Identification and Classification of Members of the Group. |
| |
Not Applicable
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| Item 9. | Notice of Dissolution of Group. |
| |
Not Applicable
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