Riverview Financial Corporation
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Common Stock, no par value
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76940Q105
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December 31, 2018
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CUSIP No. 76940Q105
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13G
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1
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NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
EJF Capital LLC
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) ☐
(b) ☒
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3
|
SEC USE ONLY
|
4
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF
SHARES
|
5
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SOLE VOTING POWER
0
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BENEFICIALLY
OWNED BY
|
6
|
SHARED VOTING POWER
409,271
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EACH
REPORTING
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7
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SOLE DISPOSITIVE POWER
0
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PERSON
WITH
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8
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SHARED DISPOSITIVE POWER
409,271
|
9
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
409,271
|
10
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CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) o
|
11
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.3% (1)
|
12
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TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IA
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(1)
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Based on 7,772,746 shares of voting common stock, no par value per share (“Voting Common Stock”), outstanding, as reflected
in the Form 8-K filed by the Issuer with the U.S. Securities and Exchange Commission (“SEC”) on January 24, 2019 (indicating that, as of December 31, 2018, there were 9,121,555 shares of common stock, no par value (“Common Stock”)
outstanding) and the Form 8-A12B filed by the Issuer with the SEC on August 9, 2018 (indicating that, as of May 31, 2018, the Issuer’s outstanding Common Stock included 1,348,809 shares of nonvoting Common Stock (“Nonvoting Common
Stock”)).
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CUSIP No. 76940Q105
|
13G
|
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Emanuel J. Friedman
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)
(a) ☐
(b) ☒
|
3
|
SEC USE ONLY
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
United States
|
NUMBER OF
SHARES
|
5
|
SOLE VOTING POWER
0
|
BENEFICIALLY
OWNED BY
|
6
|
SHARED VOTING POWER
409,271
|
EACH
REPORTING
|
7
|
SOLE DISPOSITIVE POWER
0
|
PERSON
WITH
|
8
|
SHARED DISPOSITIVE POWER
409,271
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
409,271
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.3% (1)
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN
|
(1)
|
Based on 7,772,746 shares of Voting Common Stock outstanding, as reflected in the Form 8-K filed by the Issuer with the SEC on
January 24, 2019 (indicating that, as of December 31, 2018, there were 9,121,555 shares of Common Stock outstanding) and the Form 8-A12B filed by the Issuer with the SEC on August 9, 2018 (indicating that, as of May
31, 2018, the Issuer’s outstanding Common Stock included 1,348,809 shares of Nonvoting Common Stock).
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CUSIP No. 76940Q105
|
13G
|
|
1
|
NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
EJF Sidecar Fund, Series
LLC - Series E
|
2
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE
INSTRUCTIONS)
(a) ☐
(b) ☒
|
3
|
SEC USE ONLY
|
4
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
|
NUMBER OF
SHARES
|
5
|
SOLE VOTING POWER
0
|
BENEFICIALLY
OWNED BY
|
6
|
SHARED VOTING POWER
409,271
|
EACH
REPORTING
|
7
|
SOLE DISPOSITIVE POWER
0
|
PERSON
WITH
|
8
|
SHARED DISPOSITIVE POWER
409,271
|
9
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
409,271
|
10
|
CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE
INSTRUCTIONS) o
|
11
|
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
5.3% (1)
|
12
|
TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
OO
|
(1)
|
Based on 7,772,746 shares of Voting Common Stock outstanding, as reflected in the Form 8-K filed by the Issuer with
the SEC on January 24, 2019 (indicating that, as of December 31, 2018, there were 9,121,555 shares of Common Stock outstanding) and the Form 8-A12B filed by the Issuer with the SEC on August 9, 2018 (indicating
that, as of May 31, 2018, the Issuer’s outstanding Common Stock included 1,348,809 shares of Nonvoting Common Stock).
|
(i)
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EJF Capital LLC;
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(ii)
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Emanuel J. Friedman; and
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(iii) | EJF Sidecar Fund, Series LLC - Series E |
(a)
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Amount beneficially owned:
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See Item 9 of the attached cover pages.
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||
(b)
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Percent of class:
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See Item 11 of the attached cover pages.
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(c)
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Number of shares as to which such person has:
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(i)
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Sole power to vote or to direct the vote:
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See Item 5 of the attached cover pages.
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||
(ii)
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Shared power to vote or to direct the vote:
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See Item 6 of the attached cover pages.
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(iii)
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Sole power to dispose or to direct the disposition:
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See Item 7 of the attached cover pages.
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(iv)
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Shared power to dispose or to direct the disposition:
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See Item 8 of the attached cover pages.
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EJF CAPITAL LLC
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|||
By:
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/s/ Neal
J. Wilson
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||
Name:
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Neal J. Wilson
|
||
Title:
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Chief Operating Officer
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EMANUEL J. FRIEDMAN
|
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By:
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/s/ Emanuel J. Friedman
|
||
Name:
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Emanuel J. Friedman
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||
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EJF SIDECAR FUND, SERIES LLC – SERIES E
|
|||
By:
Its:
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EJF CAPITAL LLC
Managing Member
|
||
By:
|
/s/ Neal J. Wilson
|
||
Name:
|
Neal J. Wilson
|
||
Title:
|
Chief Operating Officer
|
EJF CAPITAL LLC
|
|||
By:
|
/s/ Neal
J. Wilson
|
||
Name:
|
Neal J. Wilson
|
||
Title:
|
Chief Operating Officer
|
EMANUEL J. FRIEDMAN
|
|||
By:
|
/s/ Emanuel J. Friedman
|
||
Name:
|
Emanuel J. Friedman
|
||
|
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EJF SIDECAR FUND, SERIES LLC – SERIES E
|
|||
By:
Its:
|
EJF CAPITAL LLC
Managing Member
|
||
By:
|
/s/ Neal J. Wilson
|
||
Name:
|
Neal J. Wilson
|
||
Title:
|
Chief Operating Officer
|