OMB Approval
OMB Number: 3235-0145
Expires: October 31, 2002
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 1*)
HMN FINANCIAL, INC.
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(Name of Issuer)
COMMON STOCK
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(Title of Class of Securities)
40424G108
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(CUSIP Number)
December 31, 2001
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(Date of Event Which Required Filing of this Statement)
Check the following box to designate the rule pursuant to which this Schedule
is filed:
[ ] Rule 13d-1(b)
[ ] Rule 13d-1(c)
[x] Rule 13d-1(d)
*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).
POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF
INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND
UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER.
SEC 1745 (3-98) Page 1 of 6
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CUSIP No. 40424G108 13G
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Roger P. Weise
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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
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NUMBER OF 5 SOLE VOTING POWER
SHARES
BENEFICIALLY 193,920
OWNED BY -------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING
PERSON 2,100
WITH -------------------------------------------------
7 SOLE DISPOSITIVE POWER
193,920
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8 SHARED DISPOSITIVE POWER
2,100
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
196,020
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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
4.46%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
Page 2 of 6
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ITEM 1.
(a) Name of Issuer
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HMN Financial, Inc.
(b) Address of Issuer's Principal Executive Offices
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1016 Civic Center Drive Northwest
Rochester, Minnesota 55901
ITEM 2.
(a) Name of Person Filing
---------------------
Roger P. Weise
(b) Address of Principal Business Office or, if None,
Residence
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The business address of the ESOP is:
305 East Hillcrest Dr.
Spring Valley, Minnesota 55975
(c) Citizenship
-----------
United States
(d) Title of Class of Securities
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Common stock, par value $.01 per share.
(e) CUSIP Number
-----------------
40424G108
ITEM 3. If this statement is filed pursuant to Section
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.
(b) / / Bank as defined in section 3(a)(6) of the Act.
(c) / / Insurance company as defined in section 3(a)(19) of
the Act.
(d) / / Investment company registered under section 8 of
the Investment Company Act of 1940.
(e) / / An investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E).
(f) / / An employee benefit plan or endowment fund in
accordance with Section 240.13d-1(b)(1)(ii)(F).
(g) / / A parent holding company or control person in
accordance with Section 240.13d-1(b)(1)(ii)(G).
(h) / / A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act.
(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.
(j)/ / Group, in accordance with Section 240.13d-1(b)
(1)(ii)(J).
ITEM 4. Ownership
(a) Amount Beneficially Owned
196,020
(b) Percent of Class
4.46%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote
193,920
(ii) Shared power to vote or to direct the vote
2,100
(iii) Sole power to dispose or to direct the
disposition of
193,920
(iv) Shared power to dispose or to direct the
disposition of
2,100
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 / X /.
ITEM 6. Ownership of More than Five Percent on Behalf of Another
Person.
Not applicable.
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
The following certificate shall be included if the statement is
filed pursuant to Rule 13d-1(d):
By signing below I certify that, to the best of my 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.
Page 4 of 6
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: February 14, 2002 By:/s/Roger P. Weise
---------------------------------
Roger P. Weise
Page 5 of 6
The original statement shall be signed by each person on whose
behalf the statement is filed or his authorized representative.
If the statement is signed on behalf of a person by his
authorized representative other than an executive officer or
general partner of the filing person, evidence of the
representative's authority to sign on behalf of such person
shall be filed with the statement, provided, however, that
a power of attorney for this purpose which is already on
file with the Commission may be incorporated by reference.
The name and any title of each person who signs the
statement shall be typed or printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed
original and five copies of the schedule, including all
exhibits. See Section 240.13d-7 for other parties for whom copies
are to be sent.
ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF
FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001)
Page 6 of 6