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CUSIP No. 88650R108 |
13G/A |
Page 1 of 5 Pages |
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UNITED STATES |
SECURITIES AND EXCHANGE COMMISSION |
Washington, D.C. 20549 |
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SCHEDULE 13G/A |
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Under the Securities Exchange Act of 1934 |
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(Amendment No. 2)* |
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TierOne Corporation |
(Name of Issuer) |
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Common Stock, $0.01 par value per share |
(Title of Class of Securities) |
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88650R108 |
(CUSIP Number) |
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December 31, 2009 |
(Date of Event Which Requires Filing of this Statement) |
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Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |
X Rule 13d-1(b) |
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Rule 13d-1(c) |
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Rule 13d-1(d) |
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*The remainder of this cover page shall be filled out for a reporting persons 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. |
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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). |
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CUSIP No. 88650R108 |
13G/A |
Page 2 of 5 Pages |
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1. Name of Reporting Persons. |
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I.R.S. Identification No. of above persons (entities only). |
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Delaware Charter Guarantee & Trust Company dba Principal Trust Company as |
Trustee for the TierOne Corporation Employee Stock Ownership Plan and the TierOne |
Bank Savings Plan, IRS No. 51-0099493. |
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2. Check the Appropriate Box if a Member of a Group: |
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(a) |
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(b) |
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3. SEC Use Only |
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4. Citizenship or Place of Organization: Delaware |
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Number of Shares Beneficially Owned by Each Reporting Person With: |
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5. Sole Voting Power: |
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0 |
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Number of |
6. Shared Voting Power: |
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Shares |
2,306,995 |
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Beneficially |
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Owned By |
7. Sole Dispositive Power: |
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Each |
0 |
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Reporting |
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Person With: |
8. Shared Dispositive Power: |
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2,306,995 |
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9. Aggregate Amount Beneficially owned by Each Reporting Person 2,306,995 |
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10. Check if Aggregate Amount in Row (9) Excludes Certain Shares: |
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11. Percent of Class Represented by Amount in Row (9): 12.79% |
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12. Type of Reporting Person: EP |
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CUSIP No. 88650R108 |
13G/A |
Page 3 of 5 Pages |
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Item 1. |
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(a) Name of Issuer: |
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TierOne Corporation |
(b) Address of Issuers Principal Executive Offices: |
1235 N Street |
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Lincoln, NE 68508-2008 |
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Item 2. |
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(a) (c) Name, Principal Business Address and Citizenship of Person Filing: |
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Delaware Charter Guarantee & Trust Company dba Principal Trust Company as Trustee |
for the TierOne Corporation Employee Stock Ownership Plan and the TierOne Bank |
Savings Plan |
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1013 Centre Road |
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Wilmington, Delaware 19805 |
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Citizenship: |
Delaware |
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(d) Title of Class of Securities: |
Common Stock, $0.01 par value per share |
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(e) CUSIP Number: |
88650R108 |
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Item 3. If this statement is filed pursuant to Rule 13D-1(b) or 13D-2(b) or (c), check whether the |
person filing is a: |
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(f) An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); |
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Item 4. Ownership - Provide the following information regarding the aggregate number and |
percentage of the class of securities of the issuer identified in Item 1. |
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(a) The TierOne Corporation Employee Stock Ownership Plan (ESOP Plan) and the TierOne |
Bank Savings Plan (401(k) Plan) (collectively, the Plans) are each subject to the |
Employee Retirement Income Security Act of 1974 (ERISA). Delaware Charter Guarantee |
& Trust Company dba Principal Trust Company acts as the Trustee for the ESOP Plan |
Trust and the 401(k) Plan Trust. As of December 31, 2009, the ESOP Plan Trust held |
1,733,184 shares of the Issuers common stock and the 401(k) Plan Trust held 573,811 shares |
of the Issuers common stock for an aggregate of 2,306,995 shares of the Issuers common |
stock. The securities reported include all shares held of record by the Trustee as trustee of |
the Trusts. The Trustee follows the directions of the Issuer and/or Plan participants with |
respect to voting and disposition of shares. The Trustee, however, is subject to fiduciary |
duties under ERISA. The Trustee disclaims beneficial ownership of the shares of common |
stock that are the subject of this Schedule 13G. |
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(b) The 2,306,995 shares of common stock represent 12.79% of the Issuers outstanding shares of |
common stock. The percent of class is based on shares outstanding as of December 31, 2009, |
as provided by the Issuer. |
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CUSIP No. 88650R108 |
13G/A |
Page 4 of 5 Pages |
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(c) Number of shares as to which such person has: |
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(i) |
Sole power to vote or direct the vote: 0 |
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(ii) |
Shared power to vote or direct the vote: 2,306,995 |
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(iii) |
Sole power to dispose or direct the disposition of: 0 |
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(iv) |
Shared power to dispose or direct the disposition of: 2,306,995 |
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Item 5. Ownership of Five Percent or Less of Class |
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Not Applicable |
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Item 6. Ownership of More Than Five Percent on Behalf of Another Person |
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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 |
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Not Applicable |
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Item 8. Identification and Classification of Members of the Group |
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Not Applicable |
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Item 9. Notice of Dissolution of Group |
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Not Applicable |
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Item 10. Certification |
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By signing below I certify that, to the best of my knowledge and belief, the securities referred to above |
were acquired and are held in the ordinary course of business and were not acquired and are not held |
for the purpose of or with the effect of having or influencing the control of the issuer of the securities |
and are not acquired and are not held in connection with or as a participant in any transaction having |
that purpose or effect. |
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