-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, EX9eNNtkDmB8eUms5qodgmUKTLFKIvp92ElqoufB7TkG0JuwSpcCwLKd/AgRb6bE AYt3Mg3axAKcRuWUf0K5ew== 0001034333-98-000007.txt : 19981207 0001034333-98-000007.hdr.sgml : 19981207 ACCESSION NUMBER: 0001034333-98-000007 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19981204 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RIVER VALLEY BANCORP CENTRAL INDEX KEY: 0001015593 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 351984567 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-47833 FILM NUMBER: 98763919 BUSINESS ADDRESS: STREET 1: 303 CLIFTY DR CITY: MADISON STATE: IN ZIP: 47250 BUSINESS PHONE: 8122734949 MAIL ADDRESS: STREET 1: 303 CLIFTY DR CITY: MADISON STATE: IN ZIP: 47250 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BAY POND INVESTORS BERUMDA L P CENTRAL INDEX KEY: 0001034333 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 14 BERMUDIANA ROD STREET 2: PEMBROKE CITY: BERMUDA BUSINESS PHONE: 6179515000 MAIL ADDRESS: STREET 1: 75 STATE STREET CITY: BOSTON STATE: MA ZIP: 02109 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)1 RIVER VALLEY BANCORP - ------------------------------ (Name of Issuer) COMMON STOCK - --------------------------------- (Title of Class of Securities) 768475105 - ----------------------- (Cusip Number) 11/20/98 - ------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ X ] Rule 13d-1(c) [ ] Rule 13d-1(d) 1The 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.) [Continued on the following page(s)] Page 1 of 10 Pages CUSIP No. 768475105 13G Page 2 of 10 Pages - ---------------------------------------------------------------- 1. Name of reporting persons S.S. or I.R.S. identification no. of above persons Bay Pond Investors (Bermuda) L.P. N/A - ---------------------------------------------------------------- 2. Check the appropriate box if a member of a group* (a)[ ] (b)[ ] - ---------------------------------------------------------------- 3. SEC use only - ---------------------------------------------------------------- 4. Citizenship or place of organization Bermuda - ---------------------------------------------------------------- 5. Sole Voting Power 0 Number of ----------------------------- shares 6. Shared Voting Power beneficially owned by 61,900 each ----------------------------- reporting 7. Sole Dispositive Power person with 0 ----------------------------- 8. Shared Dispositive Power 61,900 - --------------------------------------------------------------- 9. Aggregate amount beneficially owned by each reporting person 61,900 - ---------------------------------------------------------------- 10. Check box if the aggregate amount in row (9) excludes certain shares* [ ] - ---------------------------------------------------------------- 11. Percent of class represented by amount in row 9 5.20 % - ---------------------------------------------------------------- 12. Type of reporting person PN SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)1 RIVER VALLEY BANCORP - ------------------------------ (Name of Issuer) COMMON STOCK - --------------------------------- (Title of Class of Securities) 768475105 - ----------------------- (Cusip Number) 11/20/98 - ------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ X ] Rule 13d-1(c) [ ] Rule 13d-1(d) 1The 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.) [Continued on the following page(s)] Page 3 of 10 Pages CUSIP No. 768475105 13G Page 4 of 10 Pages - ---------------------------------------------------------------- 1. Name of reporting persons S.S. or I.R.S. identification no. of above persons Wellington Global Holdings, Ltd. N/A - ---------------------------------------------------------------- 2. Check the appropriate box if a member of a group* (a)[ ] (b)[ ] - ---------------------------------------------------------------- 3. SEC use only - ---------------------------------------------------------------- 4. Citizenship or place of organization Bermuda - ---------------------------------------------------------------- 5. Sole Voting Power 0 Number of ----------------------------- shares 6. Shared Voting Power beneficially owned by 61,900 each ----------------------------- reporting 7. Sole Dispositive Power person with 0 ----------------------------- 8. Shared Dispositive Power 61,900 - --------------------------------------------------------------- 9. Aggregate amount beneficially owned by each reporting person 61,900 - ---------------------------------------------------------------- 10. Check box if the aggregate amount in row (9) excludes certain shares* [ ] - ---------------------------------------------------------------- 11. Percent of class represented by amount in row 9 5.20 % - ---------------------------------------------------------------- 12. Type of reporting person CO SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1)1 RIVER VALLEY BANCORP - ------------------------------ (Name of Issuer) COMMON STOCK - --------------------------------- (Title of Class of Securities) 768475105 - ----------------------- (Cusip Number) 11/20/98 - ------------------------------------------------------ (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ X ] Rule 13d-1(c) [ ] Rule 13d-1(d) 1The 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.) [Continued on the following page(s)] Page 5 of 10 Pages CUSIP No. 768475105 13G Page 6 of 10 Pages - ---------------------------------------------------------------- 1. Name of reporting persons S.S. or I.R.S. identification no. of above persons Wellington Global Administrator, Ltd. N/A - ---------------------------------------------------------------- 2. Check the appropriate box if a member of a group* (a)[ ] (b)[ ] - ---------------------------------------------------------------- 3. SEC use only - ---------------------------------------------------------------- 4. Citizenship or place of organization Bermuda - ---------------------------------------------------------------- 5. Sole Voting Power 0 Number of ----------------------------- shares 6. Shared Voting Power beneficially owned by 61,900 each ----------------------------- reporting 7. Sole Dispositive Power person with 0 ----------------------------- 8. Shared Dispositive Power 61,900 - --------------------------------------------------------------- 9. Aggregate amount beneficially owned by each reporting person 61,900 - ---------------------------------------------------------------- 10. Check box if the aggregate amount in row (9) excludes certain shares* [ ] - ---------------------------------------------------------------- 11. Percent of class represented by amount in row 9 5.20 % - ---------------------------------------------------------------- 12. Type of reporting person CO CUSIP No. 768475105 13G Page 7 of 10 Pages Item 1(a). Name of Issuer: RIVER VALLEY BANCORP Item 1(b). Address of Issuer's Principal Executive Offices: 303 Clifty Drive Madison, IN 47250 Item 2(a). Name of Person Filing: This schedule is filed on behalf of Bay Pond Investors (Bermuda) L.P. ("Bay Pond"), a Bermuda limited partnership, Wellington Global Holdings, Ltd.("WGH") and Wellington Global Administrator, Ltd.("WGA"), each a Bermuda limited company, which are the general partners of Bay Pond. Item 2(b). Address of Principal Business Office or, if None, Residence: Clarendon House 2 Church Street Hamilton, Bermuda Item 2(c). Citizenship: See above Item 2(a) Item 2(d). Title of Class of Securities: COMMON STOCK Item 2(e). CUSIP Number: 768475105 Item 3. If this statement is filed pursuant to 240.13d-1(b), or 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; CUSIP No. 768475105 13G Page 8 of 10 Pages (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940; (e) [ ] Investment Adviser in accordance with 240.13d- 1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with 240.13d-1(b)(1)(ii)(F); (g) [ ] Parent Holding Company, in accordance with Rule 13d- 1(b)(1)(ii)(G); see Item 7; (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 240.13d-1(b)(1)(ii)(J). If this statement is filed pursuant to 240.13d-1(c), check this box.[ X ] Item 4. Ownership: (a) Amount beneficially owned: Bay Pond, WGH and WGA each beneficially own 61,900 shares of the common stock of the Issuer. (b) Percent of Class: 5.20 % (c) Number of shares as to which such persons have: (i) Sole power to vote or to direct the vote 0 (ii) Shared power to vote or to direct the vote 61,900 (iii) Sole power to dispose or to direct the disposition of 0 (iv) Shared power to dispose or to direct the disposition of 61,900 CUSIP No. 768475105 13G Page 9 of 10 Pages 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 [ ]. Item 6. Ownership of More than Five Percent on Behalf of Another Person. Bay Pond, WGH and WGA each have the right to receive, or the power to direct the receipt of, dividends from, or the proceeds from the sale of, such securities. No other person is known to have such right or power with respect to more than five percent of this class of securities, except as follows: Wellington Management Company, LLP 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. This schedule is not being filed pursuant to Rule 13d-1(b)(1)(ii)(J) or 240.13d-1(d). Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certification. (b) The following certification shall be included if the statement is filed pursuant to []240.13d-1(c): 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. CUSIP No. 768475105 13G Page 10 of 10 Pages 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. Bay Pond Investors (Bermuda) L.P. By: Wellington Global Holdings, Ltd. Its Investment General Partner By: Wellington Global Administrator, Ltd. Its Administrative General Partner By: --//Sara Lou Sherman//-- Name: Sara Lou Sherman Title Vice President Date: 12/04/98 -----END PRIVACY-ENHANCED MESSAGE-----