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 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.
−Removed: 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.
+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 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 Chief Executive Officer and Chief Financial Officer concluded that as of March 31, 2025, 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.
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.
31 unchanged sentences
A copy of the Code of Conduct, Conflict of Interest and Whistleblower Policy is available on the Company’s website at www.riverviewbank.com .
+Added: Insider Trading Policy and Procedures
+Added: We have adopted insider trading policies and procedures applicable to our directors, officers, and employees, and have implemented processes for the Company, that we believe are reasonably designed to promote compliance with insider trading laws, rules, and regulations, and the Nasdaq Stock Market listing standards.
+Added: A copy of our Insider Trading Policy is filed as Exhibit 19 to this Form 10-K.
Audit Committee Matters and Audit Committee Financial Expert
42 unchanged sentences
Common Stock (3)
+Added: Form of Employment Agreement between the Company and the Bank and Nicole Sherman (4)
+Added: Form of Change in Control Agreement between the Company and the Bank and Nicole Sherman (4)
Form of Employment Agreement between the Company and the Bank and each of Daniel D.
16 unchanged sentences
Code of Ethics and Conduct Policy (10)
+Added: Insider Trading Policies and Procedures*
Subsidiaries of Registrant *
12 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 August 28, 2023 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 June 26, 2024 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.
+Added: (4) Filed as an exhibit to the Registrant’s Current Report on Form 8-K filed with the SEC on June 21, 2024 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, 2024, and incorporated herein by reference
(6) 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.
+Added: (7) 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.
(8) Filed as Appendix A to the Registrant’s Definitive Annual Meeting Proxy Statement (000-22957), filed with the Commission on June 16, 2017, and incorporated herein by reference.
8 unchanged sentences
June 12, 2025
−Removed: /s/ Daniel D.
−Removed: Acting President and Chief Executive Officer
−Removed: (Duly Authorized Representative)
+Added: /s/ Nicole Sherman
+Added: Nicole Sherman
+Added: President and Chief Executive Officer
+Added: (Duly Authorized Representative/Principal Executive Officer)
Pursuant to the requirements of the Securities Exchange Act of 1934, this report has been signed below by the following persons on behalf of the registrant and in the capacities and on the dates indicated.
/s/ Gerald L.
−Removed: /s/ Daniel D.
+Added: /s/ Nicole Sherman
+Added: Nicole Sherman
Chairman of the Board
−Removed: Acting President and Chief Executive Officer
−Removed: (Acting Principal Executive Officer)
+Added: President and Chief Executive Officer
+Added: (Principal Executive Officer)
June 12, 2025
17 unchanged sentences
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.