10-Q/A 1 qa63013.htm RIVERVIEW BANCORP, INC. FORM 10-Q/A FOR JUNE 30, 2013
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 10-Q/A
(Amendment No. 1)

[X] | QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

For the quarterly period ended June 30, 2013
OR

[ ] | TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934

| For the transition period from _____ to _____

Commission File Number: 0-22957
RIVERVIEW BANCORP, INC.

(Exact name of registrant as specified in its charter)

Washington | 91-1838969
(State or other jurisdiction of incorporation or organization) | (I.R.S. Employer I.D. Number)
900 Washington St., Ste. 900,Vancouver, Washington | 98660
(Address of principal executive offices) | (Zip Code)
Registrant's telephone number, including area code: | (360) 693-6650

Indicate by check mark whether the registrant (1) filed all reports required to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding 12 months (or for such shorter period that the Registrant was required to file such reports), and (2) has been subject to such filing requirements for the past 90 days. Yes x No o
Indicate by check mark whether the registrant has submitted electronically and posted on its corporate Web site, if any, every Interactive Data File required to be submitted and posted pursuant to Rule 405 of Regulation S-T (§232.405 of this chapter) during the preceding 12 months (or for such shorter period that the registrant was required to submit and post such files). Yes x No o
Indicate by check mark whether the registrant is a large accelerated filer, an accelerated filer, a non-accelerated filer, or a smaller reporting company. See definitions of “large accelerated filer,” “accelerated filer” and “smaller reporting company” in Rule 12b-2 of the Exchange Act.

Large accelerated filer o | Accelerated filer o | Non-accelerated filer o | Smaller Reporting Company x

Indicate by check mark whether the registrant is a shell company (as defined in Rule 12b-2 of the Act). Yes o No x
Indicate the number of shares outstanding of each of the issuer’s classes of common stock, as of the latest practicable date: Common Stock, $.01 par value per share, 22,471,890 shares outstanding as of August 14, 2013.

EXPLANATORY NOTE
This Amendment No. 1 on Form 10-Q/A (“Form 10-Q/A”) to our Form 10-Q for the quarter ended June 30, 2013, initially filed with the Securities and Exchange Commission (“SEC”) on August 14, 2013 (“Original Form 10-Q”), is being filed to amend Item 6 of Part II to correct a single incorrect figure in the Exhibit 101 XBRL (eXtensible Business Reporting Language) interactive data files. No other changes have been made to the Original Form 10-Q, and this Form 10-Q/A does not reflect any subsequent events occurring after the filing date of the Original Form 10-Q or modify or update any other disclosures made in the Original Form 10-Q.
PART II. OTHER INFORMATION
Item 6. Exhibits

(a) | Exhibits:

| 3.1 | Articles of Incorporation of the Registrant (1)
| 3.2 | Bylaws of the Registrant (1)
| 4 | Form of Certificate of Common Stock of the Registrant (1)
| 10.1 | Form of Employment Agreement between the Bank and each Patrick Sheaffer, Ronald A. Wysaske, David A. Dahlstrom and John A. Karas (2)
| 10.2 | Form of Change in Control Agreement between the Bank and Kevin J. Lycklama (2)
| 10.3 | Employee Severance Compensation Plan (3)
| 10.4 | Employee Stock Ownership Plan (4)
| 10.5 | 1998 Stock Option Plan (5)
| 10.6 | 2003 Stock Option Plan (6)
| 10.7 | Form of Incentive Stock Option Award Pursuant to 2003 Stock Option Plan (7)
| 10.8 | Form of Non-qualified Stock Option Award Pursuant to 2003 Stock Option Plan (7)
| 10.9 | Deferred Compensation Plan (8)
| 10.10 | Agreement among Riverview Community Bank and the OCC entered into on January 25, 2012 (9)
| 11 | Statement recomputation of per share earnings (See Note 4 of Notes to Consolidated Financial Statements contained in the Registrant’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2013, which was filed with the Securities and Exchange Commission on August 14, 2013.)
| 31.1 | Certifications of the Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act
| 31.2 | Certifications of the Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act
| 32 | Certifications of the Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act
| 101 | The following materials from Riverview Bancorp Inc.’s Quarterly Report on Form 10-Q for the quarter ended June 30, 2013, formatted on Extensible Business Reporting Language (XBRL) (a) Consolidated Balance Sheets; (b) Consolidated Statements of Operations; (c) Consolidated Statements of Comprehensive Income (Loss); (d) Consolidated Statements of Equity (e) Consolidated Statements of Cash Flows; and (f) Notes to Consolidated Financial Statements

_________

(1) | Filed as an exhibit to the Registrant's Registration Statement on Form S-1 (Registration No. 333-30203), and incorporated herein by reference.

(2) | Filed as an exhibit to the Registrant's Current Report on Form 8-K filed with the SEC on September 18, 2007 and incorporated herein by reference.

(3) | Filed as an exhibit to the Registrant's Quarterly Report on Form 10-Q for the quarter-ended September 30, 1997, and incorporated herein by reference.

(4) | Filed as an exhibit to the Registrant's Annual Report on Form 10-K for the year ended March 31, 1998, and incorporated herein by reference.

(5) | Filed as an exhibit to the Registrant’s Registration Statement on Form S-8 (Registration No. 333-66049), and incorporated herein by reference.

(6) | Filed as an exhibit to the Registrant’s Definitive Annual Meeting Proxy Statement (000-22957), filed with the Commission on June 5, 2003, and incorporated herein by reference.

(7) | Filed as an exhibit to the Registrant’s Quarterly Report on Form 10-Q for the quarter-ended December 31, 2005, and incorporated herein by reference.

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(8) | Filed as an exhibit to the Registrant’s Annual Report on Form 10-K for the year ended March 31, 2009 and incorporated herein by reference.

(9) | Filed as an exhibit to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended December 31, 2011, and incorporated herein by reference.

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SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.

| RIVERVIEW BANCORP, INC.
By: /s/Patrick Sheaffer | By: /s/Kevin J. Lycklama
Patrick Sheaffer | Kevin J. Lycklama
Chairman of the Board | Executive Vice President
Chief Executive Officer | Chief Financial Officer
(Principal Executive Officer) |
Date: September 10, 2013 | Date: September 10, 2013

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