Amended Statement of Beneficial Ownership (3/a)
12 Février 2021 - 8:14PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
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3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Evans Albert J. |
2. Date of Event Requiring Statement (MM/DD/YYYY)
12/31/2020
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3. Issuer Name and Ticker or Trading Symbol
Riverview Financial Corp [RIVE]
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(Last)
(First)
(Middle)
63 AVENUE E |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
__X__ Director _____ 10% Owner _____ Officer (give title below) _____ Other (specify below)
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(Street)
SCHUYLKILL HAVEN, PA 17972
(City)
(State)
(Zip)
| 5. If Amendment, Date Original Filed(MM/DD/YYYY) 8/9/2018
| 6. Individual or Joint/Group Filing(Check Applicable Line)
_X_ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Voting common stock | 27909.206 (1) | D | |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Option | 10/31/2017 | 1/2/2024 | Voting common stock | 2583 | $9.75 | D | |
Stock Option | 10/31/2017 | 5/4/2024 | Voting common stock | 1600 | $10 | D | |
Stock Option | 10/31/2017 | 11/17/2025 | Voting common stock | 1150 | $13.05 | D | |
Explanation of Responses: |
(1) | Amending the Form 3 originally filed August 9, 2018. The amount of RIVE shares beneficially owned was incorrectly stated as 31,044.218 instead of 27,909.206 as reported above. |
Reporting Owners
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Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Evans Albert J. 63 AVENUE E SCHUYLKILL HAVEN, PA 17972 | X |
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Signatures
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Albert J. Evans | | 2/12/2021 |
**Signature of Reporting Person | Date |
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