-----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, K3mOrOBGqmkYY90xy7eQzR1wqjuns6qO+FunrgXxF9WhBwR7MFgTM2AHpDOOtIy6 e9JMgSk1FKDFgzS2M+m6XA== 0000939057-98-000019.txt : 19980203 0000939057-98-000019.hdr.sgml : 19980203 ACCESSION NUMBER: 0000939057-98-000019 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980202 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RIVERVIEW BANCORP INC CENTRAL INDEX KEY: 0001041368 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 911838969 STATE OF INCORPORATION: WA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52497 FILM NUMBER: 98518969 BUSINESS ADDRESS: STREET 1: 700 NE FOURTH AVENUE CITY: CAMUS STATE: WA ZIP: 98607 BUSINESS PHONE: 3608342231 MAIL ADDRESS: STREET 1: 700 N W FOURTH AVENUE CITY: CAMUS STATE: WA ZIP: 98607 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RIVERVIEW BANCORP INC CENTRAL INDEX KEY: 0001041368 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 911838969 STATE OF INCORPORATION: WA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 700 NE FOURTH AVENUE CITY: CAMUS STATE: WA ZIP: 98607 BUSINESS PHONE: 3608342231 MAIL ADDRESS: STREET 1: 700 N W FOURTH AVENUE CITY: CAMUS STATE: WA ZIP: 98607 SC 13G 1 RIVERVIEW BANCORP, INC. FORM 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___) RIVERVIEW BANCORP, INC. ----------------------- (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 769397 10 0 ----------------- (CUSIP Number) Check the following box if a fee is being paid with this statement. [ ] (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) Page 2 of 5 Pages 1. Name of Reporting Person: Riverview Savings Bank, FSB Employee Stock Ownership Plan and Trust ("ESOP) S.S. or I.R.S. Identification No. of above person: 91-1804588 2. Check the appropriate box if a member of a group* (a) [X] (b) [ ] 3. SEC USE ONLY 4. Citizenship or Place of Organization: State of Washington Number of Shares Beneficially Owned by Each Reporting Person with: 5. Sole Voting Power: 344,857 6. Shared Voting Power: 128,773 7. Sole Dispositive Power: 344,857 8. Shared Dispositive Power: 128,773 9. Aggregate Amount Beneficially Owned by Each Reporting Person: 473,630 10. Check Box if the Aggregate Amount in Row (9) excludes Certain Shares* [ ] 11. Percent of Class Represented by Amount in Row 9: 7.7% 12. Type of Reporting Person*: EP *SEE INSTRUCTION Page 3 of 5 Pages Securities and Exchange Commission Washington, D.C. 20549 Item 1(a). Name of Issuer. Riverview Bancorp, Inc. Item 1(b). Address of Issuer's Principal Executive Offices. 700 N.E. Fourth Avenue Camas, Washington 98607 Item 2(a). Name of Person Filing. Riverview Savings Bank, FSB Employee Stock Ownership Plan and Trust. Item 2(b). Address of Principal Business Office. Same as Item 1(b). Item 2(c). Citizenship. See Row 4 of page 2. Item 2(d). Title of Class of Securities. Common Stock, $.01 par value per share. Item 2(e). CUSIP Number. See the cover page. Item 3. The person filing is an: Employee Benefit Plan which is subject to the provisions of the Employee Income Security Act of 1974, as amended. This Schedule 13G is being filed on behalf of the ESOP identified in Item 2(a), which is filing under the Item 3(f) classification. Exhibit A contains a disclosure of the voting and dispositive powers over shares of the issuer held directly by trustees of this plan. Each trustee of the trust established pursuant to the ESOP, although filing under the Item 3(h) classification because of their relationship to the ESOP, disclaims that he is acting in concert with, or as a member of a group consisting of, the other trustees of said plan. Page 4 of 5 Pages Item 4. Ownership. (a) Amount Beneficially Owned: See Row 9 of the second part of the cover page. (b) Percent of Class: See Row 11 of the second part of the cover page. (c) See Rows 5, 6, 7, and 8 of the second part of the cover page. 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. Pursuant to Section 8.4 of the ESOP plan document, Riverview Savings Bank, FSB has the power to direct the persons who receive dividends on shares held in the plan trust. 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. This Schedule 13G is being filed on behalf of the ESOP identified in Item 2(a), which is filing under the Item 3(f) classification. Exhibit A contains a disclosure of the voting and dispositive powers over shares of the issuer held directly by trustees of this plan. Each trustee of the trust established pursuant to the ESOP, although filing under the Item 3(h) classification because of their relationship to the ESOP, disclaims that he is acting in concert with, or as a member of a group consisting of, the other trustees of said plan. Item 9. Notice of Dissolution of Group. Not applicable. Page 5 of 5 Pages Item 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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. RIVERVIEW SAVINGS BANK, FSB EMPLOYEE STOCK OWNERSHIP PLAN AND TRUST By: /s/ Patrick Sheaffer ------------------------------------ Riverview Savings Bank, FSB, as Plan Administrator Patrick Sheaffer President Date: January 26, 1998 Exhibit A - --------- Identification of Members of Group ---------------------------------- Shares of common stock of the issuer are held in trust for the benefit of participating employees by the ESOP Trustees. The Trustees share voting and dispositive power with Riverview Savings Bank, FSB. By the terms of the ESOP, the Trustees vote stock allocated to participant accounts as directed by participants. As of the date of this filing, 128,773 shares have been allocated to participants. Common stock held by the Trust, but not yet allocated or as to which participants have not made timely voting directions, is voted by the Trustees in the same proportion as shares for which directions are received, subject to their fiduciary responsibilities under the Employee Retirement Income Security Act of 1974, as amended. Investment direction is exercised by the Trustees, subject to their fiduciary responsibilities. The Trustees and their beneficial ownership of shares of common stock of the issuer, exclusive of responsibilities as a Trustee, are as follows (such ownership being disregarded in reporting the ESOP's ownership within this Schedule 13G): Direct Beneficial Beneficial Ownership Name Ownership As ESOP Participant ---- --------- ------------------- Patrick Sheaffer 172,681 15,809 Ron Wysaske 116,752 13,219 -----END PRIVACY-ENHANCED MESSAGE-----