UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. ________)1
Riverview Bancorp, Inc.
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(Name of Issuer)
Common Stock, $.01 par value per share
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(Title of Class of Securities)
769397-10-0
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(CUSIP Number)
John F. Breyer, Jr., Esq.
Breyer & Associates PC
8180 Greensboro Drive, Suite 785
McLean, Virginia 22102
(703) 883-1100
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
March 7, 2001
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(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box [ ].
Note: Schedules filed in paper format shall include a signed
original and five copies of the schedule, including all exhibits. See
Rule 13d-7 for other parties to whom copies are to be sent.
1The 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 13D Page 2 of 6 Pages
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Patrick Sheaffer
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 SOURCE OF FUNDS
OO
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5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) OR 2(e) [ ]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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7 SOLE VOTING POWER
64,383
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NUMBER OF 8 SHARED VOTING POWER
SHARES
BENEFICIALLY 213,181
OWNED BY
EACH ---------------------------------------------------
REPORTING 9 SOLE DISPOSITIVE POWER
PERSON WITH
146,604
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10 SHARED DISPOSITIVE POWER
107,804
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
277,564
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [ ]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.53%
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14 TYPE OF REPORTING PERSON
IN
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Page 3 of 6 Pages
Item 1. Security and Issuer
This statement relates to the common stock of Riverview Bancorp, Inc.
("Company" or "Issuer"), $.01 par value per share ("Common Stock"). The name
and address of the principal executive offices of the Company, the issuer of
such securities, is as follows:
Riverview Bancorp, Inc.
900 Washington Street, Suite 900
Vancouver, Washington 98660
Item 2. Identity and Background
(a) This Schedule 13D is filed on behalf of Patrick Sheaffer, the
Reporting Person.
(b) Mr. Sheaffer's business address is:
900 Washington Street, Suite 900
Vancouver, Washington 98660
(c) Mr. Sheaffer's principal occupation is Chairman and Chief Executive
Officer of the Company.
(d) During the last five years, Mr. Sheaffer has not been convicted in a
criminal proceeding.
(e) During the past five years, Mr. Sheaffer has not been a part to a
civil proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding subjects or
subjected Mr. Sheaffer to a judgment, decree or final order
enjoining future violations of, or prohibiting or mandating
activities subject to, federal or state securities, laws, or finding
any violation with respect to such laws.
(f) Mr. Sheaffer is a citizen of the United States of America.
Item 3. Source and Amount of Funds or Other Consideration.
Mr. Sheaffer has purchased or acquired the shares described in his
Schedule 13D with personal funds and through grants of shares or options to
purchase shares from the Company. Included in the aggregate amount owned of
277,564 are 23,156 shares of Common Stock Mr. Sheaffer received from the
Company's Employee Stock Ownership Plan; 41,227 options granted pursuant to
the Corporation's Stock Option Plan that are exercisable within 60 days of the
date hereof; and 105,377 shares of Common Stock held in the Company's 401(k)
Plan. Mr. Sheaffer also is a beneficiary (with his spouse) of the Sheaffer
Living Trust, which holds 107,804 shares of Common Stock.
Page 4 of 6 Pages
Item 4. Purpose of Transaction
The Reporting Person purchased the Common Stock for investment purposes.
Depending on market conditions, economic conditions and any other relevant
factors, the Reporting Person may alter his holdings in the Common Stock
through open market purchases or sales, or through privately negotiated
transactions. The Reporting Person intends to evaluate his holdings in the
Issuer on a continual basis.
The Reporting Person has no present plans or proposals which relate to or
would result in: (a) the acquisition by any persons of additional securities
of the Issuer or the disposition of securities of the Issuer; (b) an
extraordinary corporate transaction, such as a merger, reorganization or
liquidation, involving the Issuer or any of its subsidiaries; (c) a sale or
transfer of a material amount of assets of the Issuer or any of its
subsidiaries; (d) any change in the present Board of Directors or management
of the Issuer, including any plans or proposals to change the number or term
of directors or to fill any existing vacancies on the Board; (e) any material
change in the present capitalization or dividend policy of the Issuer; (f) any
other material change in the Issuer's business or corporate structure; (g)
changes in the Issuer's charter, bylaws or instruments corresponding thereto
or other action which may impede the acquisition of control of the Issuer by
any person; (h) causing a class of securities of the Issuer to be delisted
from a national securities exchange or to cease to be authorized or quoted in
an inter-dealer quotation system of a registered national securities of the
Issuer becoming eligible for termination of registration pursuant to Section
12(g)(4) of the Securities Exchange Act of 1934, as amended; or (j) any action
similar to any of those enumerated above.
Item 5. Interest in Securities of the Issuer
The percentages used in this Schedule 13D are calculated based on the
Company's 4,974,979 shares of outstanding Common Stock.
(a) Mr. Sheaffer has beneficial ownership (as defined in Rule 13d-3) of
277,564 shares, or 5.53%, of the Common Stock.
(b) Mr. Sheaffer has sole power to vote or to direct the vote of 64,383
shares of Common Stock. Included in this amount are 23,156 shares
Mr. Sheaffer received from the Company's Employee Stock Ownership
Plan; and 41,227 options granted pursuant to the Corporation's Stock
Option Plan that are exercisable within 60 days of the date hereof.
Mr. Sheaffer has shared power to vote or direct the vote of 213,181
shares of Common Stock. Included in this amount are 107,804 shares
held in the Sheaffer Living Trust and 105,377 shares held in the
Company's 401(k) Plan.
Page 5 of 6 Pages
Mr. Sheaffer has sole power to dispose or to direct the disposition
of 146,604 shares of Common Stock, which consists of 41,227 options
granted pursuant to the Corporation's Stock Option Plan that are
exercisable within 60 days of the date hereof; and 105,377 shares
held in the Company's 401(k) Plan.
Mr. Sheaffer has shared power to dispose or to direct the
disposition of the 107,804 shares of Common Stock held in the
Sheaffer Living Trust.
(c) Not applicable.
(d) Not applicable.
(e) Not applicable.
Item 6. Contracts, Arrangements, Understandings or Relationships
with Respect to Securities of the Issuer
There are no contracts, arrangements, understandings or relations with
Mr. Sheaffer and any other person with respect to the securities.
Item 7. Material to be Filed as Exhibits
None.
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.
September 3, 2004
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Date
/s/ Patrick Sheaffer
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Signature
Patrick Sheaffer
Chairman and Chief Executive Officer
Riverview Bancorp, Inc.
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Name/Title