-----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, QwiGuSYImj49eGuu0VssT1jC4KXT/xy/HukpoCSsryRoqZoitwOSl+RDZbqZCeh7 ln3oy5ChgZ8fb509IMyPtQ== 0000939057-04-000312.txt : 20040921 0000939057-04-000312.hdr.sgml : 20040921 20040921160431 ACCESSION NUMBER: 0000939057-04-000312 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040921 DATE AS OF CHANGE: 20040921 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RIVERVIEW BANCORP INC CENTRAL INDEX KEY: 0001041368 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 911838969 STATE OF INCORPORATION: WA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52497 FILM NUMBER: 041039418 BUSINESS ADDRESS: STREET 1: 900 WASHINGTON STREET STREET 2: SUITE 900 CITY: VANCOUVER STATE: WA ZIP: 98660 BUSINESS PHONE: 360-693-6650 MAIL ADDRESS: STREET 1: 900 WASHINGTON STREET STREET 2: SUITE 900 CITY: VANCOUVER STATE: WA ZIP: 98660 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Riverview Bancorp Inc. Employee Stock Ownership Plan CENTRAL INDEX KEY: 0001303582 IRS NUMBER: 911804588 STATE OF INCORPORATION: WA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 900 WASHINGTON STREET STREET 2: SUITE 900 CITY: VANCOUVER STATE: WA ZIP: 98660 BUSINESS PHONE: (360) 693-6650 MAIL ADDRESS: STREET 1: 900 WASHINGTON STREET STREET 2: SUITE 900 CITY: VANCOUVER STATE: WA ZIP: 98660 SC 13G/A 1 sch13g.txt RIVERVIEW ESOP SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Riverview Bancorp, Inc. - ------------------------------------------------------------------------------ (Name of Issuer) Common Stock, $.01 par value per share - ------------------------------------------------------------------------------ (Title of Class of Securities) 769397 10 0 - ------------------------------------------------------------------------------ (CUSIP Number) December 31, 2003 - ------------------------------------------------------------------------------ (Date of Event which Requires Filing this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [X] Rule 13d-1(b) [ ] Rule 13d-1(c) [ ] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on 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. 769397 10 0 Schedule 13G Page 2 of 6 Pages - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Riverview Bancorp Inc. Employee Stock Ownership Plan - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION State of Washington - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 ------------------------------------------------------ NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 0 OWNED BY EACH ------------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 439,040 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 439,040 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.2% of 4,772,911 shares of Common Stock outstanding as of December 31, 2003 - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON EP - ------------------------------------------------------------------------------ Page 3 of 6 Pages Item 1. (a) Name of Issuer Riverview Bancorp, Inc. ("Company") (b) Address of Issuer's Principal Executive Offices 900 Washington Street, Suite 900 Vancouver, Washington 98660 Item 2. (a) Name of Person Filing Riverview Bancorp Inc. Employee Stock Ownership Plan ("Reporting Person") (b) Address of Principal Business Office or, if none, Residence 900 Washington Street, Suite 900 Vancouver, Washington 98660 (c) Citizenship State of Washington (d) Title of Class of Securities Common Stock, $.01 par value per share ("Common Stock") (e) CUSIP Number 769397 10 0 Item 3. If this statement is filed pursuant to Rule 13d-1(b) or 13d-2(b) or (c), check whether the person filing is a: (f) [X] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). Item 4. Ownership (a) Amount beneficially owned: 439,040 Page 4 of 6 Pages (b) Percent of class: 9.2% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or to direct the disposition of: 439,040 The Reporting Person is an employee stock ownership plan under the Employee Retirement Income Security Act of 1974, as amended ("ERISA"), with individual accounts for the accrued benefits of participating employees of the Company and its subsidiaries and their beneficiaries. The number of shares listed as beneficially owned by the Reporting Person represents the entire number of shares of Common Stock held by the trustee as of December 31, 2003. The Reporting Person possesses (i) no voting power over any shares of Common Stock and (ii) shared dispositive power over unallocated and allocated shares of Common Stock. Participants have the power and authority to direct the voting of shares of Common Stock allocated to their individual accounts. Unallocated shares and allocated shares not voted by participants are required to be voted by the trustee, subject to ERISA, in the same proportion as allocated Common Stock that has been voted by participants. In certain circumstances, ERISA may confer upon the trustee the power and duty to control the voting and tendering of Common Stock allocated to the accounts of participating employees and beneficiaries who fail to exercise their voting and/or tender rights as well as the voting and tendering of unallocated Common Stock. 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 Dividends on Common Stock credited to a participant's account are, at the direction of the administrator, either (i) allocated to the participant's account, (ii) paid in cash to the participant or (iii) used by the trustee to make payments on the loan incurred by the Reporting Person to acquire Common Stock. Item 7. Identification and Classification of the Subsidiary Which Acquired the Securities Being Reported on by the Parent Holding Company or Control Persons. Not applicable. Page 5 of 6 Pages 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 acquired and are held in the ordinary course of business and 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. Page 6 of 6 Pages 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. Date: September 15, 2004 RIVERVIEW BANCORP INC. EMPLOYEE STOCK OWNERSHIP PLAN By: /s/ Ronald A. Wysaske -------------------------------------- Ronald A. Wysaske Plan Administrator -----END PRIVACY-ENHANCED MESSAGE-----