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RIVERVIEW BANCORP INC Major Shareholding Notification 2014

Oct 31, 2014

34119_mrq_2014-10-31_32ec63f2-2434-470d-91a3-c68c0d39abc9.zip

Major Shareholding Notification

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SC 13D/A 1 ancorasc13da201410.htm html PUBLIC "-//IETF//DTD HTML//EN" --------------------------

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13D

(Amendment No. 1)

Under the Securities Exchange Act of 1934

Riverview Bancorp, Inc.

(Name of Issuer)

COMMON SHARES

(Title of Class of Securities)

769397100

(CUSIP Number)

Frederick DiSanto

C/O Ancora Advisors, LLC

6060 Parkland Boulevard, Suite 200

Cleveland, OH 44124

(216) 825-4000

(Name, Address and Telephone Number of Person Authorized to Receive Notice and Communications)

October 29, 2014

(Date of Event which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box |__|.

Check the following box if a fee is being paid with the statement |___|.

SCHEDULE 13D

CUSIP NO. 769397100

1

NAME OF REPORTING PERSON

I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)

Ancora Advisors, LLC

33-1033773


2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) || (b) ||


3

SEC USE ONLY


4

SOURCE OF FUNDS

00


5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

|_|


6

CITIZENSHIP OR PLACE OF ORGANIZATION

State of Nevada, United States of America


NUMBER OF

7

SOLE VOTING POWER

SHARES

1,682,250

BENEFICIALLY


OWNED BY

8

SHARED VOTING POWER

EACH

0

REPORTING


PERSON

9

SOLE DISPOSITIVE POWER

WITH

1,682,250


10

SHARED DISPOSITIVE POWER

0


11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,682,250


12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

|_|


13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

7.49%


14

TYPE OF REPORTING PERSON

IA


SCHEDULE 13D

CUSIP NO. 769397100

1

NAME OF REPORTING PERSON

Frederick DiSanto


2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

(a) || (b) ||


3

SEC USE ONLY


4

SOURCE OF FUNDS

OO


5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e)

|_|


6

CITIZENSHIP OR PLACE OF ORGANIZATION

United States of America


NUMBER OF

7

SOLE VOTING POWER

SHARES

59,486

BENEFICIALLY


OWNED BY

8

SHARED VOTING POWER

EACH

0

REPORTING


PERSON

9

SOLE DISPOSITIVE POWER

WITH

59,486


10

SHARED DISPOSITIVE POWER

0


11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

59,486


12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES

|_|


13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

.26%


14

TYPE OF REPORTING PERSON

IN


The following constitutes to the Schedule 13D filed by the undersigned

Item 1.

Security and Issuer

This statement relates to the shares of Common Stock of Riverview Bancorp Inc. The address of the issuer is 900 Washington St., Ste. 900, Vancouver, Washington 98660.

Item 2.

Identity and Background

This statement is filed on behalf of Ancora Advisors, LLC. Ancora Advisors, LLC is registered as an investment advisor with the SEC under the Investment Advisors Act, as amended. Ancora Advisors, LLC is the investment advisor to the Ancora Trust, which includes the Ancora Income Fund, Ancora Equity Fund, Ancora Special Opportunity Fund, Ancora/Thelen Small-Mid Cap Fund, and Ancora MicroCap Fund (Ancora Family of Mutual Funds), which are registered with the SEC as investment companies under the Investment Company Act, as amended.

Ancora Advisors, LLC has the power to dispose of the shares owned by the investment clients for which it acts as advisor, including Merlin Partners, the AAMAF LP, Birchwald Partners LP, Ancora Catalyst Fund LP, Pondfield LP and the Ancora Greater China Fund LP for which it is also the General Partner, and the Ancora Family of Mutual Funds. Ancora Advisors disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein.

During the last five years the Reporting Person has not been convicted in a criminal proceeding, nor been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction, as a result of which he was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.

Item 3.

Source and Amount of Funds or Other Consideration

Ancora Advisors owns no Shares directly but Ancora Advisors may be deemed to own (within the meaning of Rule 13(d)(3) of the Securities Exchange Act of 1934) Shares purchased for or transferred to the accounts of investment management clients. Ancora Advisors disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein.

Merlin Partners, AAMAF LP, Birchwald Partners LP, Ancora Catalyst Fund LP, Pondfield LP, Ancora Greater China Fund LP, Ancora Family of Mutual Funds, Employees of Ancora Advisors, LLC and Owners of Ancora Advisors, LLC. have used available and uncommitted cash to purchase shares of the Issuer.

Item 4.

Purpose of Transaction

Please refer to Ancora Advisors, LLC’s original 13D filing for the Issuer dated October 8, 2014.

Item 5.

Interest in Securities of the Issuer

Set forth below, Ancora Advisors, LLC, in the aggregate, are the number of Shares which may be deemed to be beneficially owned as of October 29, 2014 and the percentage of the Shares outstanding represented by such ownership (based on 22,471,890 shares outstanding as of August 14, 2014):

Name No. Of Shares Percent of Class
Ancora Owners/Employees (1) 60,486 0.27%
Ancora Funds & Partnerships (2) 1,599,950 7.12%
Ancora Advisors SMA (3) 82,300 0.37%
Total 1,742,736 7.76%

(1) These Shares are owned by the owners and employees of Ancora Advisors, LLC.

(2) These Shares are owned by the Ancora Family of Mutual Funds and/or Investment Partnerships, including Merlin Partners, the AAMAF LP, Birchwald Partners LP, Ancora Catalyst Fund LP, Pondfield LP and the Ancora Greater China Fund LP for which it is also the General Partner, of which Ancora Advisors acts as the discretionary portfolio manager.

(3) These Shares are owned by investment clients of Ancora Advisors. Ancora Advisors does not own these shares directly, but by virtue of Ancora Advisors Investment Management Agreement with the investment clients of Ancora Advisors, each may be deemed to beneficially own Shares by reason of their power to dispose of such Shares. Ancora Advisors disclaims beneficial ownership of such Shares.

Item 6. Contracts, Arrangements, Understanding or Relationships with Respect to Securities of the Issuer.

Other than as described herein, there are no contracts, arrangements, understandings or relationships among the Reporting Persons, or between the Reporting Persons and any other person, with respect to the securities of the Issuer.

Item 7.

Material to be Filed as Exhibits

Exhibit A: “Relevant Transactions in Shares” since our last filing.

Date of Transaction Buy/Sell Amount of Securities Price Per Share
10/16/14 Transfer Out 22,000 -
10/16/14 Buy 1,261 3.9400
10/17/14 Buy 113,818 4.0010
10/21/14 Buy 30,771 3.9974
10/22/14 Buy 20,000 4.0100
10/23/14 Buy 1,500 3.9900
10/28/14 Buy 1,500 3.9100
10/29/14 Buy 80,047 3.8181

SIGNATURE

After reasonable inquiry, and to the best of my knowledge and belief, I certify that the information set forth in this Statement is true, complete and correct.

Dated:

October 31, 2014

ANCORA ADVISORS, LLC

By: /s/ Frederick DiSanto

Frederick DiSanto

Chief Executive Officer

EDGAR Validation Code: 800BD17C