-----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, UMY3onV6gdSiRjyl5L4+DENGZskHLF210Xqyhel43rkDzouNnJUYJZ6kejOBO6gk +Rysp8MjmheUDen5SFf1eg== 0000943663-10-000002.txt : 20100115 0000943663-10-000002.hdr.sgml : 20100115 20100115161101 ACCESSION NUMBER: 0000943663-10-000002 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20100104 FILED AS OF DATE: 20100115 DATE AS OF CHANGE: 20100115 ISSUER: 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 BUSINESS ADDRESS: STREET 1: 610 ALAMO PINTADO RD CITY: SOLVANG STATE: CA ZIP: 93463 BUSINESS PHONE: 8056886644 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: BREEDEN DOUGLAS T CENTRAL INDEX KEY: 0001016248 STATE OF INCORPORATION: IN FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50066 FILM NUMBER: 10530541 MAIL ADDRESS: STREET 1: 721 E. FRANKLIN STREET CITY: CHAPEL HILL STATE: NC ZIP: 27517 4 1 edgar.xml PRIMARY DOCUMENT X0303 4 2010-01-04 0001063997 HARRINGTON WEST FINANCIAL GROUP INC/CA HWFG 0001016248 BREEDEN DOUGLAS T 721 E. FRANKLIN STREET CHAPEL HILL NC 27514 0 0 1 0 Common Stock, par value $0.01 per share 2010-01-04 4 S 0 5000 .45 D 126735 I By Wyandotte Community Corporation Common Stock, par value $0.01 per share 2010-01-05 4 S 0 2004 .41 D 124731 I By Wyandotte Community Corporation Common Stock, par value $0.01 per share 2010-01-06 4 S 0 10000 .40 D 114731 I By Wyandotte Community Corporation Common Stock, par value $0.01 per share 2010-01-07 4 S 0 22624 .40 D 92107 I By Wyandotte Community Corporation Common Stock, par value $0.01 per share 2010-01-08 4 S 0 9956 .40 D 82151 I By Wyandotte Community Corporation Common Stock, par value $0.01 per share 2010-01-11 4 S 0 28600 .40 D 53551 I By Wyandotte Community Corporation Common Stock, par value $0.01 per share 2010-01-12 4 S 0 4400 .40 D 49151 I By Wyandotte Community Corporation Common Stock, par value $0.01 per share 2010-01-14 4 S 0 30000 .40 D 19151 I By Wyandotte Community Corporation Common Stock, par value $0.01 per share 2010-01-15 4 S 0 13151 .40 D 6000 I By Wyandotte Community Corporation Common Stock, par value $0.01 per share 268807 I By Community First Financial Group, Inc. Common Stock, par value $0.01 per share 579275 D Common Stock, par value $0.01 per share 383202 I By Breeden Family Trust Dr. Breeden is the President, Chairman, and 100% owner of Wyandotte Community Corporation ("Wyandotte"), and may be deemed to have or share investment control over the securities holdings of Wyandotte. As such, Dr. Breeden may be deemed to control Wyandotte and to be an indirect beneficial owner of the Common Stock held by Wyandotte reported herein. Dr. Breeden disclaims beneficial ownership of all shares of Wyandotte in which Dr. Breeden does not have an actual pecuniary interest. As of the date of this filing, Community First Financial Group, Inc. ("CFFG") owned 268,807 shares of Common Stock. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the relationship of Douglas T. Breeden ("Dr. Breeden" or the "Reporting Person") with CFFG, the Reporting Person may be deemed to be the beneficial owner of a portion of the 268,807 shares of Common Stock for purposes of Section 16 of the Exchange Act. Dr. Breeden disclaims beneficial ownership of all shares of the Common Stock, except to the extent of any direct or indirect pecuniary interest therein, and this Form 4 shall not be deemed an admission that he is the beneficial owner of the shares of Common Stock reported as beneficially owned herein for purposes of Section 16 of the Exchange Act or for any other purpose. Dr. Breeden's children are the beneficiaries of Breeden Family Trust (the "Trust"). Dr. Breeden disclaims beneficial ownership of all shares held by the Trust in which Dr. Breeden does not have an actual pecuniary interest. Exhibit List - Exhibit 24, Power of Attorney /s/ Douglas T. Breeden 2010-01-15 -----END PRIVACY-ENHANCED MESSAGE-----