(a) 1. Financial Statements
See “Part II –Item 8. Financial Statements and Supplementary Data.”
- Financial Statement Schedules
All schedules are omitted because they are not required or applicable, or the required information is shown in the consolidated financial statements or the notes thereto.
| 3. · Exhibits |
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| | 3.1 | Articles of Incorporation of the Registrant (1) |
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| | 3.2 | Amended and Restated Bylaws of the Registrant (2) |
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| | 4.1 | Form of Certificate of Common Stock of the Registrant (1) |
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| | 4.2 | Description of Riverview Bancorp, Inc. Common Stock (3) |
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| | 10.1 | Form of Employment Agreement between the Company and the Bank and each of Daniel D. Cox and David Lam * |
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| | 10.2 | Form of Change in Control Agreement between the Company and the Bank and each of Daniel D. Cox and David Lam * |
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| | 10.3 | Form of Employment Agreement between the Company and Evan Sowers * |
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| | 10.4 | Form of Change in Control Agreement between the Company and Evan Sowers * |
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| | 10.5 | Employee Stock Ownership Plan (4) |
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| | 10.6 | Deferred Compensation Plan (5) |
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| | 10.7 | 2017 Equity Incentive Plan (6) |
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| | 10.8 | Form of Incentive Stock Option Award Agreement under the Riverview Bancorp, Inc. 2017 Equity Incentive Plan (7) |
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| | 10.9 | Form of Non-Qualified Stock Option Award Agreement under the Riverview Bancorp, Inc. 2017 Equity Incentive Plan (7) |
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| | 10.10 | Form of Restricted Stock Award Agreement under the Riverview Bancorp, Inc. 2017 Equity Incentive Plan (7) |
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| | 10.11 | Form of Restricted Stock Unit Award Agreement under the Riverview Bancorp, Inc. 2017 Equity Incentive Plan (7) |
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| | 14 | Code of Ethics and Conduct Policy (8) |
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| | 21 | Subsidiaries of Registrant * |
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| | 23 | Consent of Independent Registered Public Accounting Firm * |
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| | 31.1 | Certification of Chief Executive Officer Pursuant to Section 302 of the Sarbanes-Oxley Act * |
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| | 31.2 | Certification of Chief Financial Officer Pursuant to Section 302 of the Sarbanes-Oxley Act * |
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| | 32 | Certification of Chief Executive Officer and Chief Financial Officer Pursuant to Section 906 of the Sarbanes-Oxley Act * |
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| | 97 | Compensation Recovery Policy* |
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| | 101 | 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; (b) Consolidated Statements of Income; (c) Consolidated Statements of Comprehensive Income; (d) Consolidated Statements of Shareholders’ Equity (e) Consolidated Statements of Cash Flows; and (f) Notes to Consolidated Financial Statements * |
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| | 104 | Cover Page Interactive Data File, formatted in Inline XBRL and included in Exhibit 101 |
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| (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 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. |
| (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. |
| (6) | 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. |
| (7) | Filed as an exhibit to the Registrant’s Registration Statement on Form S-8 (Registration No. 333-228099), and incorporated herein by reference. |
| (8) | Registrant elects to satisfy Regulation S-K §229.406(c) by posting its Code of Ethics on its website at www.riverviewbank.com in the section titled About: Code of Conduct. |
