1 unchanged sentence
(a) Evaluation of Disclosure Controls and Procedures :
−Removed: An evaluation of the Company’s disclosure controls and procedures (as defined in Rule 13a-15(e) of the Securities Exchange Act of 1934 (“Exchange Act”)) was carried out under the supervision and with the participation of the Company’s Chief Executive Officer (principal executive officer), Chief Financial Officer (principal financial officer) and several other members of the Company’s senior management as of the end of the period covered by this annual report.
−Removed: The Company’s Chief Executive Officer and Chief Financial Officer concluded that as of March 31, 2023, the Company’s disclosure controls and procedures were effective in ensuring that the information required to be disclosed by the Company in the reports it files or submits under the Exchange Act is (i) accumulated and communicated to the Company’s management (including the Chief Executive Officer and Chief Financial Officer) in a timely manner, and (ii) recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms.
+Added: An evaluation of the Company’s disclosure controls and procedures (as defined in Rule 13a-15(e) of the Securities Exchange Act of 1934 (“Exchange Act”)) was carried out under the supervision and with the participation of the Company’s Acting Chief Executive Officer (principal executive officer), Chief Financial Officer (principal financial officer) and several other members of the Company’s senior management as of the end of the period covered by this annual report.
+Added: The Company’s Acting Chief Executive Officer and Chief Financial Officer concluded that as of March 31, 2024, the Company’s disclosure controls and procedures were effective in ensuring that the information required to be disclosed by the Company in the reports it files or submits under the Exchange Act is (i) accumulated and communicated to the Company’s management (including the Acting Chief Executive Officer and Chief Financial Officer) in a timely manner, and (ii) recorded, processed, summarized and reported within the time periods specified in the SEC’s rules and forms.
While the Company believes the present design of its disclosure controls and procedures is effective to achieve its goal, future events affecting its business may cause the Company to modify its disclosure controls and procedures.
20 unchanged sentences
Other Information
+Added: (a) Nothing to report.
+Added: (b) During the quarter ended March 31, 2024, no director or officer (as defined in Rule 16a-1(f) under the Exchange Act) of the Company adopted or terminated a “ Rule 10b5-1 trading arrangement ” or “ non-Rule 10b5-1 trading arrangement ,” as each term is defined in Item 408(a) of Regulation S-K.
Disclosure Regarding Foreign Jurisdictions that Prevent Inspections
2 unchanged sentences
Directors and Executive Officers
−Removed: The information concerning our directors contained under the section captioned “Proposal I - Election of Directors” contained in the Company’s Proxy Statement for the 2023 Annual Meeting of Stockholders, and information concerning our executive officer contained in “Part I - Business -- Executive Officers” of this Form 10-K, is incorporated herein by reference.
+Added: The information concerning our directors contained under the section captioned “Proposal I – Election of Directors” contained in the Company’s Proxy Statement for the 2024 Annual Meeting of Stockholders, and information concerning our executive officers contained in “Part I - Business -- Executive Officers” of this Form 10-K, is incorporated herein by reference.
Code of Ethics
29 unchanged sentences
2017 Equity Incentive Plan
−Removed: 2003 Stock Option Plan
Equity compensation plans not approved by security holders:
15 unchanged sentences
Common Stock (3)
−Removed: Form of Employment Agreement between the Company and the Bank and each of Kevin J.
−Removed: Lycklama, David Lam, Daniel D.
−Removed: Cox and Steven P.
−Removed: Form of Change in Control Agreement between the Company and the Bank and each of Kevin J.
−Removed: Lycklama, David Lam, Daniel D.
−Removed: Cox and Steven P.
+Added: Form of Employment Agreement between the Company and the Bank and each of Daniel D.
+Added: Cox and David Lam *
+Added: Form of Change in Control Agreement between the Company and the Bank and each of Daniel D.
+Added: Cox and David Lam *
+Added: Form of Employment Agreement between the Company and Evan Sowers *
+Added: Form of Change in Control Agreement between the Company and Evan Sowers *
Employee Stock Ownership Plan (4)
−Removed: 2003 Stock Option Plan (6)
−Removed: Form of Incentive Stock Option Award Pursuant to 2003 Stock Option Plan (7)
−Removed: Form of Non-qualified Stock Option Award Pursuant to 2003 Stock Option Plan (7)
Deferred Compensation Plan (5)
14 unchanged sentences
Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act *
+Added: Compensation Recovery Policy *
The following materials from Riverview Bancorp Inc.’s Annual Report on Form 10-K for the year ended March 31, 2024, formatted in Inline Extensible Business Reporting Language (XBRL) (a) Consolidated Balance Sheets;
6 unchanged sentences
333-30203), and incorporated herein by reference.
−Removed: (2) Filed as an exhibit to the Registrant’s Current Report on Form 8-K filed with the SEC on October 4, 2022 and incorporated herein by reference.
−Removed: (3) Filed as an exhibit to the Registrant’s Annual Report on Form 10-K for the fiscal year ended March 31, 2020, and incorporated herein by reference.
+Added: (2) Filed as an exhibit to the Registrant’s Current Report on Form 8-K filed with the SEC on August 28, 2023 and incorporated herein by reference.
(3) Filed as an exhibit to the Registrant’s Annual Report on Form 10-K for the fiscal year ended March 31, 2020, and incorporated herein by reference.
(4) Filed as an exhibit to the Registrant’s Annual Report on Form 10-K for the fiscal year ended March 31, 1998, and incorporated herein by reference.
−Removed: (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.
−Removed: (7) Filed as an exhibit to the Registrant’s Quarterly Report on Form 10-Q for the quarter ended September 30, 2005, and incorporated herein by reference.
(5) Filed as an exhibit to the Registrant’s Annual Report on Form 10-K for the fiscal year ended March 31, 2009 and incorporated herein by reference.
9 unchanged sentences
June 14, 2024
−Removed: President and Chief Executive Officer
+Added: /s/ Daniel D.
+Added: Acting President and Chief Executive Officer
(Duly Authorized Representative)
1 unchanged sentence
/s/ Gerald L.
+Added: /s/ Daniel D.
Chairman of the Board
−Removed: President and Chief Executive Officer
−Removed: (Principal Executive Officer)
+Added: Acting President and Chief Executive Officer
+Added: (Acting Principal Executive Officer)
June 14, 2024
1 unchanged sentence
/s/ David Lam
−Removed: /s/ Bradley J.
Executive Vice President and
3 unchanged sentences
June 14, 2024
−Removed: /s/ Patrick Sheaffer
−Removed: Patrick Sheaffer
+Added: /s/ Bradley J.
+Added: /s/ Patricia W.
June 14, 2024
3 unchanged sentences
June 14, 2024
−Removed: /s/ Patricia W.
/s/ Valerie Moreno
1 unchanged sentence
June 14, 2024
−Removed: June 14, 2023
Compared sentence by sentence after normalising whitespace, quotation marks, case and digits, so re-formatting and restated figures do not read as changed language. Wording changes appear as one removal and one addition. The current filing and the prior one are authoritative.