0001104659-20-096128.txt : 20200817 0001104659-20-096128.hdr.sgml : 20200817 20200817163603 ACCESSION NUMBER: 0001104659-20-096128 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20200813 FILED AS OF DATE: 20200817 DATE AS OF CHANGE: 20200817 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castle Creek Capital Partners VI, LP CENTRAL INDEX KEY: 0001666749 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38627 FILM NUMBER: 201110687 BUSINESS ADDRESS: STREET 1: 6051 EL TORDO CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: (858)756-8300 MAIL ADDRESS: STREET 1: 6051 EL TORDO CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Castle Creek Capital VI LLC CENTRAL INDEX KEY: 0001671438 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38627 FILM NUMBER: 201110688 BUSINESS ADDRESS: STREET 1: 6051 EL TORDO STREET 2: PO BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 BUSINESS PHONE: 858-756-8300 MAIL ADDRESS: STREET 1: 6051 EL TORDO STREET 2: PO BOX 1329 CITY: RANCHO SANTA FE STATE: CA ZIP: 92067 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: Riverview Financial Corp CENTRAL INDEX KEY: 0001590799 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 383917371 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 3901 NORTH FRONT STREET CITY: HARRISBURG STATE: PA ZIP: 17110 BUSINESS PHONE: 717-957-2196 MAIL ADDRESS: STREET 1: 3901 NORTH FRONT STREET CITY: HARRISBURG STATE: PA ZIP: 17110 4 1 a4.xml 4 X0306 4 2020-08-13 0 0001590799 Riverview Financial Corp RIVE 0001666749 Castle Creek Capital Partners VI, LP C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO, PO BOX 1329 RANCHO SANTA FE CA 92067 0 0 1 0 0001671438 Castle Creek Capital VI LLC C/O CASTLE CREEK CAPITAL LLC 6051 EL TORDO, PO BOX 1329 RANCHO SANTA FE CA 92067 0 0 1 0 Common Stock 2020-08-13 4 P 0 129784 6.90 A 1781249 D Common Stock 2020-08-14 4 P 0 85399 7.20 A 1866648 D These securities are directly held by Castle Creek Capital Partners VI, LP ("Fund VI"). Castle Creek Capital VI LLC is the sole general partner of Fund VI. Castle Creek Capital VI LLC disclaims beneficial ownership of such shares of Common Stock, except to the extent of their respective pecuniary interest therein, and this report shall not be deemed an admission that Castle Creek Capital VI LLC is the beneficial owner of such shares of Common Stock for purposes of Section 16 of the Securities Exchange Act of 1934, as amended, or for any other purpose. The reported price is a weighted-average price. These shares were acquired in multiple transactions at prices ranging from $7.00 to $7.20, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, upon request, full information regarding the number of shares acquired at each separate price within this range. CASTLE CREEK CAPITAL PARTNERS VI, LP, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President 2020-08-17 CASTLE CREEK CAPITAL VI LLC, By: /s/ John M. Eggemeyer, Name: John M. Eggemeyer, Title: President 2020-08-17