-----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, URDLpKMKg6lZo7Vj/whLKt1IY7RSeeYIISDTHeIXVt/QfcOO8gr5NS1ClWF8Pjfc mRMHjcPr5WQ9t0c4a4NUtg== 0001362310-09-005100.txt : 20090409 0001362310-09-005100.hdr.sgml : 20090409 20090409154310 ACCESSION NUMBER: 0001362310-09-005100 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090409 DATE AS OF CHANGE: 20090409 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-78803 FILM NUMBER: 09742672 BUSINESS ADDRESS: STREET 1: 610 ALAMO PINTADO RD CITY: SOLVANG STATE: CA ZIP: 93463 BUSINESS PHONE: 8056886644 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Fraser Peter L CENTRAL INDEX KEY: 0001461599 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: 2 BLOOR STREET EAST, SUITE 810 CITY: TORONTO STATE: A6 ZIP: M4W 1A8 SC 13G 1 c83760sc13g.htm SC 13G SC 13G
 

UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. ___)*

HARRINGTON WEST FINANCIAL GROUP, INC.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
41383L104
(CUSIP Number)
March 31, 2009
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     o Rule 13d-1(b)

     þ Rule 13d-1(c)

     o 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 the disclosures provided in a prior cover page.

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).

 
 


 

                     
CUSIP No.
 
41383L104 
 

 

           
1   NAMES OF REPORTING PERSONS

Peter L. Fraser
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)   o
  (b)   o
     
3   SEC USE ONLY
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Canada
       
  5   SOLE VOTING POWER
     
NUMBER OF   392,677
       
SHARES 6   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   86,400
       
EACH 7   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   392,677
       
WITH: 8   SHARED DISPOSITIVE POWER
     
    86,400
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  Peter L. Fraser: 479,077
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
   
  6.82%
     
12   TYPE OF REPORTING PERSON
   
  INDIVIDUAL (IN)


 

SCHEDULE 13G
Item 1(a) Name of Issuer.
HARRINGTON WEST FINANCIAL GROUP, INC.
Item 1(b) Address of Issuer’s Principal Executive Offices.
601 Alamo Pintado Rd
Solvang, CA 93463
Item 2(a) Name of Person Filing.
Peter L. Fraser
Item 2(b) Address of Principal Business Office.
c/o West Face Capital
2 Bloor Street East, Suite 810, Box 85
Toronto, ON M4W 1A8
Item 2(c) Citizenship.
Canada
Item 2(d) Title of Class of Securities.
Common Stock
Item 2(e) CUSIP Number.
41383L104

 

 


 

Item 3 Reporting Person.
If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
o Broker or dealer registered under Section 15 of the Act.
o Bank as defined in Section 3(a)(6) of the Act.
o Insurance company as defined in Section 3(a)(19) of the Act.
o Investment company registered under Section 8 of the Investment Company Act of 1940.
o An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
o An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F);
o A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G);
o A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
o 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;
o Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
Item 4 Ownership.
  a.   Amount Beneficially Owned: 479,077 shares of common stock.
 
  b.   Percent of Class: 6.82%
 
  c.   Number of Shares as to which such person has:
  i.   Sole power to vote or direct the vote: 392,677
 
  ii.   Shared power to vote or direct the vote: 86,400
 
  iii.   Sole power to dispose or to direct the disposition of: 392,677
 
  iv.   Shared power to dispose or to direct the disposition of: 86,400
Item 5 Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following o.

 

 


 

Item 6 Ownership of More Than Five Percent on Behalf of Another Person.
N/A.
Item 7  Identification and Classification of the Subsidiary which Acquired the Security Being Reported On by the Parent Holding Company.
N/A.
Item 8 Identification and Classification of Members of the Group.
N/A.
Item 9 Notice of Dissolution of Group.
N/A.
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 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.

 

 


 

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: April 9, 2009  /s/ PETER L. FRASER    
  Peter L. Fraser   

 

 

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