|
1)
|
NAME
OF REPORTING PERSON
Riverview Bancorp,
Inc. Employee Stock Ownership Plan
|
|
2)
|
CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP
a) [
]
b) [X]
|
|
3)
|
SEC
USE ONLY
|
|
4)
|
CITIZENSHIP
OR PLACE OF ORGANIZATION
Not
applicable.
|
|
NUMBER
OF
SHARES
BENEFICIALLY
OWNED
BY
EACH
REPORTING
PERSON
WITH
|
||||||
|
5)
|
SOLE
VOTING POWER
0
|
|||||
|
6)
|
SHARED
VOTING POWER
690,790
|
|||||
|
7)
|
SOLE
DISPOSITIVE POWER
0
|
|||||
|
8)
|
SHARED
DISPOSITIVE POWER
690,790
|
|||||
|
9)
|
AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
690,790
|
|
10)
|
CHECK
BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES
CERTAIN
SHARES [
]
|
|
11)
|
PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.3%
|
|
12)
|
TYPE
OF REPORTING PERSON
EP
|
|
NAME
OF ISSUER:
Riverview
Bancorp, Inc. (the "Company")
|
|
|
ITEM
1(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 (the "ESOP")
|
|
ITEM
2(b)
|
ADDRESS
OF PRINCIPAL BUSINESS OFFICE:
The
business address of the ESOP is:
900
Washington Street, Suite 900, Vancouver, Washington 98660
|
|
ITEM
2(c)
|
CITIZENSHIP:
Not
applicable.
|
|
ITEM
2(d)
|
TITLE
OF CLASS OF SECURITIES
Common
stock, par value $.01 per share (the "Common Stock")
|
|
ITEM
2(e)
|
CUSIP
NUMBER: 769397 10 0
|
|
ITEM
3
|
IF
THIS STATEMENT IS FILED PURSUANT TO SECTION 240.13d-1(b) OR 240.13d-2(b)
or (c), CHECK WHETHER THE PERSON FILING IS:
|
||
|
(a)
|
[ ]
|
Broker
or dealer registered under section 15 of the Act (15 U.S.C.
78o);
|
|
|
(b)
|
[ ]
|
Bank
as defined in section 3(a)(6) of the Act (15 U.S.C.
78c);
|
|
|
(c)
|
[ ]
|
Insurance
company as defined in section 3(a)(19) of the Act (15 U.S.C.
78c);
|
|
|
(d)
|
[ ]
|
Investment
company registered under section 8 of the Investment Company Act of 1940
(15 U.S.C. 80a-8);
|
|
|
(e)
|
[ ]
|
An
investment adviser in accordance with Section
240.13d-1(b)(1)(ii)(E);
|
|
|
(f)
|
[X
]
|
An
employee benefit plan or endowment fund in accordance with Section
240.13d-1(b)(1)(ii)(F);
|
|
|
(g)
|
[ ]
|
A
parent holding company or control person in accordance with Section
240.13d-1(b)(1)(ii)(G);
|
|
|
(h)
|
[ ]
|
A
savings association as defined in Section 3(b) of the Federal Deposit
Insurance Act (12 U.S.C. 1813);
|
|
|
(i)
|
[ ]
|
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 (15 U.S.C.
80a-3); and
|
|
|
(j)
|
[ ]
|
Group,
in accordance with Section
240.13d-1(b)(1)(ii)(J).
|
|
|
ITEM
4
|
OWNERSHIP:
(a)
Amount beneficially owned: 690,790
(b)
Percent of class: 6.3%
(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: 690,790
(iii) Sole power to dispose or to direct the
disposition of: 0
(iv) Shared power to dispose or to direct the
disposition of: 690,790
The
ESOP 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 Issuer
and its subsidiaries and their beneficiaries. The number of
shares listed as beneficially owned by the ESOP represents the entire
number of shares of Common Stock held the ESOP as of December 31,
2009. The ESOP possesses shared voting and dispositive powers 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
ESOP trustees, 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 trustees 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:
Not
applicable.
|
|
ITEM
7.
|
IDENTIFICATION
AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING
REPORTED ON BY THE PARENT HOLDING COMPANY:
Not
Applicable.
|
|
ITEM
8.
|
IDENTIFICATION
AND CLASSIFICATION OF MEMBERS OF THE GROUP:
Not
Applicable.
|
|
ITEM
9.
|
NOTICE
OF DISSOLUTION OF GROUP:
Not
Applicable.
|
|
ITEM
10.
|
CERTIFICATIONS
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.
|
|
Date:
February 9, 2010
|
RIVERVIEW
BANCORP, INC.
EMPLOYEE
STOCK OWNERSHIP PLAN
|
||
|
By:
|
Riverview
Bancorp, Inc.,
as Plan
Administrator
|
||
|
By:
|
/s/Ron
Wysaske
|
||
|
Name:
|
Ron
Wysaske
|
||
|
Title:
|
President
and Chief Operating Officer
|
||