RIVERVIEW BANCORP INC — Director's Dealing 2021

Jul 14, 2021

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: RIVERVIEW BANCORP INC (RVSB)
CIK: 0001041368
Period of Report: 2021-07-09

Reporting Person: Capeloto Kim J (EVP/CBO)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2021-07-09	Common Stock	A	1848	—	Acquired	177105	Direct
2021-07-09	Common Stock	A	5544	—	Acquired	182649	Direct

Footnotes

F1: Reflects restricted stock awarded to the Reporting Person pursuant to the 2017 Equity Incentive Plan which vest in three equal installments on July 9, 2022, July 9, 2023 and July 9, 2024.

F2: Includes 109,726 shares owned solely, 14,519 shares owned solely by spouse; and 1,096 shares owned jointly with spouse.

F3: Reflects 47,551 shares owned indirectly in the Riverview 401(k) Plan and 4,213 shares owned indirectly in Riverview's Employee Stock Ownership Plan.

F4: Reporting Person was granted an award of performance based restricted stock covering a target of 5,544 shares (the "Target Restricted Stock Number"). Pursuant to time-based vesting requirements, 50% of this award is scheduled to vest on July 9, 2023 and 50% on July 9, 2024, subject to continued service requirements through such date. In addition, the number of shares subject to the restricted stock may be decreased down to 0% of the Target Restricted Stock Number, based on attainment of specified levels of the Company's total Earnings Per Share over the period of April I, 2021 through March 31, 2022.

F5: Includes 115,270 shares owned solely, 14,138 shares owned solely by spouse; and 1,067 shares owned jointly with spouse.