FORM 4 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940 |
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). |
1. Name and Address of Reporting Person*
(Street)
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2. Issuer Name and Ticker or Trading Symbol
White River Capital Inc [ RVR ] |
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
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3. Date of Earliest Transaction
(Month/Day/Year) 11/12/2009 | ||||||||||||||||||||||||||
4. If Amendment, Date of Original Filed
(Month/Day/Year) 11/16/2009 |
6. Individual or Joint/Group Filing (Check Applicable Line)
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Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
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1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) | 2A. Deemed Execution Date, if any (Month/Day/Year) | 3. Transaction Code (Instr. 8) | 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) | 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) | 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 7. Nature of Indirect Beneficial Ownership (Instr. 4) | |||
Code | V | Amount | (A) or (D) | Price | ||||||
Common Stock | 11/12/2009(1) | J(1)(2) | 310 | A | $0 | 310 | I | Holdings of Eggemeyer Advisory Corp.(2) | ||
Common Stock | 11/12/2009(1) | J(1)(2) | 823,219 | D | $0 | 0 | I | Holdings of Castle Creek Funds(3) |
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) | |||||||||||||||
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1. Title of Derivative Security (Instr. 3) | 2. Conversion or Exercise Price of Derivative Security | 3. Transaction Date (Month/Day/Year) | 3A. Deemed Execution Date, if any (Month/Day/Year) | 4. Transaction Code (Instr. 8) | 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) | 6. Date Exercisable and Expiration Date (Month/Day/Year) | 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) | 8. Price of Derivative Security (Instr. 5) | 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) | 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) | 11. Nature of Indirect Beneficial Ownership (Instr. 4) | ||||
Code | V | (A) | (D) | Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Explanation of Responses: |
1. This Form 4/A is being filed to amend the Form 4 originally filed by Mr. Eggemeyer on November 16, 2009 for the purposes of reporting the disposition of 675 shares of White River Capital, Inc. common stock ("Common Stock") by Castle Creek Capital Partners Fund IIa, LP ("Fund IIa") and Castle Creek Capital Partners Fund IIb, LP ("Fund IIb," and collectively with Fund IIa, the "Castle Creek Funds"), and the corresponding acquisition of 310 shares by Eggemeyer Advisory Corp. ("EAC") from Castle Creek Capital, LLC, the sole managing general partner of the Castle Creek Funds, which transactions were not reported in the original Form 4. |
2. On November 12, 2009, each of the Castle Creek Funds made in-kind distributions of 578,279 and 244,265 shares of Common Stock, respectively, to its limited partners in proportion to each limited partners' interests in the respective Castle Creek Fund. In addition, the Castle Creek Funds made in-kind distributions of an aggregate of 675 shares of Common Stock to Castle Creek Capital, LLC, the sole managing general partner of the Castle Creek Funds, which in turn made an in-kind distribution of such shares to its members, including 310 shares to EAC. Mr. Eggemeyer is the sole shareholder of EAC. Accordingly, securities owned by EAC may be regarded as being beneficially owned by Mr. Eggemeyer. |
3. Castle Creek Capital, LLC is the sole general partner of each of the Castle Creek Funds. Accordingly, securities owned by the Castle Creek Funds may be regarded as being beneficially owned by Castle Creek Capital, LLC. EAC is a controlling person of Castle Creek Capital, LLC. Accordingly, securities owned by Castle Creek Capital, LLC may be regarded as being beneficially owned by EAC. Mr. Eggemeyer is the sole shareholder of EAC. |
Remarks: |
/s/ John M.Eggemeyer, III | 02/11/2010 | |
** Signature of Reporting Person | Date | |
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | ||
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v). | ||
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). | ||
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure. | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. |