AMERICAN RIVER BANKSHARES
|
(Name of Issuer)
Common Stock
|
(Title of Class of Securities)
029326105
|
(CUSIP Number)
December 31, 2015
|
[ ] | Rule 13d-1(b) |
[X] | Rule 13d-1(c) |
[ ] | Rule 13d-1(d) |
CUSIP NO. 029326105
|
13G
|
Page 2 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
M3 FUNDS, LLC
|
|||
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 DELAWARE, UNITED STATES OF AMERICA
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
N/A
|
||
6
|
SHARED VOTING POWER
414,982 shares of Common Stock
|
|||
7
|
SOLE DISPOSITIVE POWER
N/A
|
|||
8
|
SHARED DISPOSITIVE POWER
414,982 shares of Common Stock
|
|||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
414,982 shares of Common Stock
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
[ ]
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.65% of the outstanding shares of Common Stock
|
|||
12
|
TYPE OF REPORTING PERSON
OO (Limited Liability Company)
|
CUSIP NO. 029326105
|
13G
|
Page 3 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
M3 PARTNERS, LP
|
|||
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 DELAWARE, UNITED STATES OF AMERICA
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
N/A
|
||
6
|
SHARED VOTING POWER
414,982 shares of Common Stock
|
|||
7
|
SOLE DISPOSITIVE POWER
N/A
|
|||
8
|
SHARED DISPOSITIVE POWER
414,982 shares of Common Stock
|
|||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
414,982 shares of Common Stock
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
[ ]
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.65% of the outstanding shares of Common Stock
|
|||
12
|
TYPE OF REPORTING PERSON
PN (Limited Partnership)
|
CUSIP NO. 029326105
|
13G
|
Page 4 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
M3F, INC.
|
|||
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 UTAH, UNITED STATES OF AMERICA
|
|||
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING PERSON WITH
|
5
|
SOLE VOTING POWER
N/A
|
||
6
|
SHARED VOTING POWER
414,982 shares of Common Stock
|
|||
7
|
SOLE DISPOSITIVE POWER
N/A
|
|||
8
|
SHARED DISPOSITIVE POWER
414,982 shares of Common Stock
|
|||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
414,982 shares of Common Stock
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
[ ]
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.65% of the outstanding shares of Common Stock
|
|||
12
|
TYPE OF REPORTING PERSON
CO, IA
|
CUSIP NO. 029326105
|
13G
|
Page 5 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
Jason A. Stock
|
|||
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
N/A
|
||
6
|
SHARED VOTING POWER
414,982 shares of Common Stock
|
|||
7
|
SOLE DISPOSITIVE POWER
N/A
|
|||
8
|
SHARED DISPOSITIVE POWER
414,982 shares of Common Stock
|
|||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
414,982 shares of Common Stock
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
[ ]
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.65% of the outstanding Common Stock
|
|||
12
|
TYPE OF REPORTING PERSON
IN
|
CUSIP NO. 029326105
|
13G
|
Page 6 of 9 Pages
|
1
|
NAMES OF REPORTING PERSONS
William C. Waller
|
|||
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
N/A
|
||
6
|
SHARED VOTING POWER
414,982 shares of Common Stock
|
|||
7
|
SOLE DISPOSITIVE POWER
N/A
|
|||
8
|
SHARED DISPOSITIVE POWER
414,982 shares of Common Stock
|
|||
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
414,982 shares of Common Stock
|
|||
10
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES
|
[ ]
|
||
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.65% of the outstanding Common Stock
|
|||
12
|
TYPE OF REPORTING PERSON
IN
|
Item 1. | (a) | Name of Issuer: |
(b) | Address of Issuer’s Principal Executive Offices: |
Item 2. | (a) | Name of Persons Filing: |
(b) | Address of Principal Business Office or, if None, Residence: |
(c) | Citizenship: |
(d) | Title of Class of Securities: |
(e) | CUSIP Number: |
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: |
Item 4. | Ownership. |
M3 Funds,
LLC
|
M3 Partners,
LP
|
M3F,
Inc.
|
Jason A.
Stock
|
William C.
Waller
|
|
(a) Amount Beneficially Owned:
|
414,982
|
414,982
|
414,982
|
414,982
|
414,982
|
(b) Percent of Class:
|
5.65%
|
5.65%
|
5.65%
|
5.65%
|
5.65%
|
(c) Number of Shares to Which Reporting Person Has:
|
|||||
(i) Sole Voting Power:
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
(ii) Shared Voting Power:
|
414,982
|
414,982
|
414,982
|
414,982
|
414,982
|
(iii) Sole Dispositive Power:
|
N/A
|
N/A
|
N/A
|
N/A
|
N/A
|
(iv) Shared Dispositive Power:
|
414,982
|
414,982
|
414,982
|
414,982
|
414,982
|
Item 5. | Ownership of Five Percent or Less of a Class. |
Item 6. | Ownership of More than Five Percent on Behalf of Another Person. |
Item 7. | Identification and Classification of the Subsidiary That Acquired the Security Being Reported on by the Parent Holding Company or Control Person. |
Item 8. | Identification and Classification of Members of the Group. |
Item 9. | Notice of Dissolution of Group. |
Item 10. | Certification. |
Date: January 29, 2016
|
|||
M3 PARTNERS, LP
|
|||
By:
|
M3 Funds, LLC, General Partner
|
||
By:
|
/s/ Jason A. Stock
|
||
Name:
|
Jason A. Stock
|
||
Title:
|
Manager
|
||
Date: January 29, 2016
|
|||
M3 FUNDS, LLC
|
|||
By:
|
/s/ Jason A. Stock
|
||
Name:
|
Jason A. Stock
|
||
Title:
|
Manager
|
||
Date: January 29, 2016
|
|||
M3F, INC.
|
|||
By:
|
/s/ Jason A. Stock
|
||
Name:
|
Jason A. Stock
|
||
Title:
|
Managing Director
|
||
Date: January 29, 2016
|
|||
/s/ Jason A. Stock
|
|||
Jason A. Stock
|
|||
Date: January 29, 2016
|
|||
/s/ William C. Waller
|
|||
William C. Waller
|
M3 PARTNERS, LP
|
|||
By:
|
M3 Funds, LLC, General Partner
|
||
By:
|
/s/ Jason A. Stock
|
||
Name:
|
Jason A. Stock
|
||
Title:
|
Manager
|
||
M3 FUNDS, LLC
|
|||
By:
|
/s/ Jason A. Stock
|
||
Name:
|
Jason A. Stock
|
||
Title:
|
Manager
|
||
M3F, INC.
|
|||
By:
|
/s/ Jason A. Stock
|
||
Name:
|
Jason A. Stock
|
||
Title:
|
Managing Director
|
||
/s/ Jason A. Stock
|
|||
Jason A. Stock
|
|||
/s/ William C. Waller
|
|||
William C. Waller
|