-----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, T1HclWw4g+Qgzjze7Fx+l0IDJR8edtPx+i6LM8HHUrLs1g3SvpSgKl7gh4trk59z 5TsRG8Scd2ThOgI+xXjF+w== 0000943663-06-000231.txt : 20060726 0000943663-06-000231.hdr.sgml : 20060726 20060726154349 ACCESSION NUMBER: 0000943663-06-000231 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060726 DATE AS OF CHANGE: 20060726 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARRINGTON WEST FINANCIAL GROUP INC/CA CENTRAL INDEX KEY: 0001063997 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 481175170 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78803 FILM NUMBER: 06981569 BUSINESS ADDRESS: STREET 1: 610 ALAMO PINTADO RD CITY: SOLVANG STATE: CA ZIP: 93463 BUSINESS PHONE: 8056886644 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BREEDEN DOUGLAS T CENTRAL INDEX KEY: 0001016248 IRS NUMBER: 481050267 STATE OF INCORPORATION: IN FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 722 PROMENADE STREET 2: HARRINGTON FINANCIAL GROUP INC CITY: RICHMOND STATE: IN ZIP: 47375 BUSINESS PHONE: 9199334218 MAIL ADDRESS: STREET 1: C/O THE BREEDEN GROUP STREET 2: 100 EUROPA DRIVE, SUITE 589 CITY: CHAPEL HILL STATE: NC ZIP: 27517 SC 13G 1 hwfg13g.htm Schedule 13G - Harrington West Financial Group, Inc.

   

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. __)

 

  HARRINGTON WEST FINANCIAL GROUP, INC.   
(Name of Issuer)

 

      Common Stock, $.01 par value per share       
(Title of Class of Securities)

 

         41383L 10 4          
(CUSIP Number)

 

         July 19, 2006         
(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)

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). 

 

 

CUSIP No. 41383L 10 4
 

   

1.

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
 Douglas T. Breeden,    N/A
 
 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)
   

(a)

   

(b)

 
 
 

3.

SEC Use Only 
 
 

4.

Citizenship or Place of Organization      United States of America
 

Number of
Shares
Beneficially
Owned by
Each Reporting
Person With

    

5.

Sole Voting Power     283,545
 

6.

Shared Voting Power     0
 

7.

Sole Dispositive Power    283,545
 

8.

Shared Dispositive Power     0
 
 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person    283,545
 
 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
 
 

11.

Percent of Class Represented by Amount in Row (9)    5.2%
 
 

12.

Type of Reporting Person (See Instructions)    IN

 

 

 

Item 1.
 

(a)

Name of Issuer:  Harrington West Financial Group, Inc.
 

(b)

Address of Issuer's Principal Executive Offices: 

610 Alamo Pintado Road

Solvang, CA  93463
 

Item 2.
 

(a)

Name of Persons Filing

(i) Douglas T. Breeden

 

(b)

Address of Principal Business Office for Each of the Above:

The Breeden Group

Attn:  Allen Lyles

100 Europa Drive, Number 589

Chapel Hill, NC 27517
 

(c)

Citizenship or Place of Organization:

United States of America
 

(d)

Title of Class of Securities: Common Stock, $.01 par value per share
 

(e)

CUSIP Number:  41383L 10 4
 

Item 3.

If this Statement is Filed Pursuant to Rules 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 Exchange Act;
 

(b)

[   ]

Bank as defined in Section 3(a)(6) of the Exchange Act;
 

(c)

[   ]

Insurance company as defined in Section 3(a)(19) of the Exchange Act;
 

(d)

[   ]

Investment company registered under Section 8 of the Investment Company Act;
 

(e)

[   ]

An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
 

(f)

[   ]

An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
 

(g)

[   ]

A parent holding company or control person in accordance with Rule 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 Rule 13d-1(b)(1)(ii)(J).
 

Item 4.

Ownership.
 

(a)

Amount beneficially owned:  283,545
 

(b)

Percent of class:  5.2%
 

(c)

Number of shares as to which the person has:
   

(1)

Sole power to vote or to direct the vote:  283,545
   

(2)

Shared power to vote or to direct the vote:  0
   

(3)

Sole power to dispose or to direct the disposition of:  283,545
   

(4)

Shared power to dispose or to direct the disposition of:  0
 

Item 5.

Ownership of Five Percent or Less of a Class:   Not Applicable
 

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
 

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.

   
 

 

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.

                                                                                                       DOUGLAS T. BREEDEN

Date:  July 26, 2006                                                                   By:  /s/ Douglas T. Breeden

                                                                                                             Douglas T. Breeden                                                                              

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