-----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, GXwJqWlaqCF0hO4Q1492Gzq4sVKJ5v/sV6ZIG5Fl9A/ogB58+AMd9M4VZUykshtF qR/jXL49WKWUCTSQ7rVVHw== 0000943663-07-000432.txt : 20070815 0000943663-07-000432.hdr.sgml : 20070815 20070814173437 ACCESSION NUMBER: 0000943663-07-000432 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070815 DATE AS OF CHANGE: 20070814 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78803 FILM NUMBER: 071057240 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 STATE OF INCORPORATION: IN FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A 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/A 1 amendmentno2sc13g.htm AMENDMENT NO 2 TO SC 13G SECURITIES AND EXCHANGE COMMISSION

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. 2)

 

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)

 

August 13, 2007

(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).


1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Douglas T. Breeden

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

United States of America

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH

5

SOLE VOTING POWER

559,975

6

SHARED VOTING POWER

49,783

7

SOLE DISPOSITIVE POWER

559,975

8

SHARED DISPOSITIVE POWER

49,783

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

609,758

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

10.99%

12

TYPE OF REPORTING PERSON

IN

 


 

1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Wyandotte Community Corporation

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [  ]

(b) [  ]

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Indiana

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

47,483

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

47,483

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

47,483

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

0.01%

12

TYPE OF REPORTING PERSON

CO


 


 

 

1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

 

Breeden Family Trust

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) [  ]

(b) [  ]

3

SEC USE ONLY

 

4

CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware

NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH

5

SOLE VOTING POWER

0

6

SHARED VOTING POWER

2,300

7

SOLE DISPOSITIVE POWER

0

8

SHARED DISPOSITIVE POWER

2,300

9

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

2,300

10

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

11

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

Less than .01%

12

TYPE OF REPORTING PERSON

OO

 

 

 



 

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, Ph.D. ("Dr. Breeden")

 

(ii)

Wyandotte Community Corporation ("Wyandotte")

 

(iii)

 Breeden Family Trust ("Trust")

 

 

(b)

Address of Principal Business Office for Each of the Above:

 

 

 

(i)

Douglas T. Breeden

c/o The Breeden Group

Attn: Allen Lyles

100 Europa Drive, Number 589

Chapel Hill, NC 27517

 

 

 

 

(ii)

Wyandotte Community Corporation

664 Plaza Drive

Leavenworth, IN 47137

     
  (iii)

Breeden Family Trust

c/o Anne L. Stallman

V.P., J.P. Morgan Trust Company of Delaware

500 Stanton Christiana Road

Newark, DE 19713

 

 

 

(c)

Citizenship or Place of Organization:

 

 

 

 

(i)

Dr. Breeden is a citizen of the United States of America.

 

 

 

 

(ii)

Wyandotte is an Indiana Corporation.

     
  (iii) Breeden Family Trust is a trust organized under the laws of the State of Delaware.

 

   

(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 associations 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.

 

 

 

Dr. Breeden is the President, Chairman, and 99% owner of Wyandotte. As such, Dr. Breeden may be deemed to control Wyandotte and share the power to vote, direct the vote of, dispose, or direct the disposition of the shares Wyandotte holds.  Dr. Breeden also is the Investment Adviser to the Trust and, as such, shares with the Trust the power to vote, direct the vote of, dispose, or direct the disposition of the shares the Trust holds.

 

 

 

 

(a)

Amount beneficially owned:

 

 

 

 

(i)

Dr. Breeden: 609,758*

 

 

 

 

(ii)

Wyandotte: 47,483

     
 

(iii)

The Trust: 2,300

 

 

 

 

(b)

Percent of class:

 

 

 

 

(i)

Dr. Breeden: 10.99%**

 

 

 

 

(ii)

Wyandotte: 0.01%**

     
 

(iii)

The Trust: Less than .01%**

 

 

 

 

(c)

Number of shares as to which such person has:

 

 

 

 

(1)

Sole power to vote or to direct the vote:

 

 

 

 

 

(i)

Dr. Breeden: 559,975

 

 

 

 

 

(ii)

Wyandotte: 0

     
    (iii)        The Trust: 0

 

 

 

 

(2)

Shared power to vote or to direct the vote:

 

 

 

 

 

(i)

Dr. Breeden: 49,783

 

 

 

       
   

(ii)

Wyandotte: 47,483

       

 

 

(iii) The Trust: 2,300

 

 

 

 

(3)

Sole power to dispose or to direct the disposition of :

 

 

 

 

 

(i)

Dr. Breeden: 559,975

 

 

 

       
   

(ii)

Wyandotte: 0

       

 

 

(iii) The Trust: 0

 

 

 

 

(4)

Shared power to dispose or to direct the disposition of:

 

 

 

 

 

(i)

Dr. Breeden: 49,783

 

 

 

       
   

(ii)

Wyandotte: 47,483

       

 

 

(iii) The Trust: 2,300
   

*

These holdings include those of Wyandotte and the Trust.

 

 

 

**

The percentages used herein are calculated based on the 5,547,628 shares of Common Stock issued and outstanding as of August 3, 2007, as reported in Harrington West Financial Group, Inc.'s (the "Issuer") quarterly report on Form 10Q, filed with the Securities and Exchange Commission by the Issuer for the quarterly period that ended June 30, 2007.

 

 

 

Item 5.

Ownership of Five Percent or Less of a Class: [   ]

 

 

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person:

 

 

 

 

Not Applicable

 

 

 

Item 7.

Identification and Classification of Subsidiaries 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 purposed 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.


SIGNATURES

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.

Date: August 14, 2007

 

DOUGLAS T. BREEDEN

   

By:

/s/ Douglas T. Breeden

 

Douglas T. Breeden

   

WYANDOTTE COMMUNITY CORPORATION

   

By:

/s/ Douglas T. Breeden

 

Name: Douglas T. Breeden

  Title: President and Chairman
   
   
BREEDEN FAMILY TRUST
   

By:

/s/ Douglas T. Breeden

  Name: Douglas T. Breeden
  Title: Investment Adviser
   
 

 

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