4//SEC Filing
HARRINGTON WEST FINANCIAL GROUP INC/CA 4
Accession 0000943663-10-000002
CIK 0001063997operating
Filed
Jan 14, 7:00 PM ET
Accepted
Jan 15, 4:11 PM ET
Size
21.4 KB
Accession
0000943663-10-000002
Insider Transaction Report
Form 4
BREEDEN DOUGLAS T
10% Owner
Transactions
- Sale
Common Stock, par value $0.01 per share
2010-01-06$0.40/sh−10,000$4,000→ 114,731 total(indirect: By Wyandotte Community Corporation) - Sale
Common Stock, par value $0.01 per share
2010-01-07$0.40/sh−22,624$9,050→ 92,107 total(indirect: By Wyandotte Community Corporation) - Sale
Common Stock, par value $0.01 per share
2010-01-11$0.40/sh−28,600$11,440→ 53,551 total(indirect: By Wyandotte Community Corporation) - Sale
Common Stock, par value $0.01 per share
2010-01-14$0.40/sh−30,000$12,000→ 19,151 total(indirect: By Wyandotte Community Corporation) - Sale
Common Stock, par value $0.01 per share
2010-01-08$0.40/sh−9,956$3,982→ 82,151 total(indirect: By Wyandotte Community Corporation) - Sale
Common Stock, par value $0.01 per share
2010-01-12$0.40/sh−4,400$1,760→ 49,151 total(indirect: By Wyandotte Community Corporation) - Sale
Common Stock, par value $0.01 per share
2010-01-15$0.40/sh−13,151$5,260→ 6,000 total(indirect: By Wyandotte Community Corporation) - Sale
Common Stock, par value $0.01 per share
2010-01-04$0.45/sh−5,000$2,250→ 126,735 total(indirect: By Wyandotte Community Corporation) - Sale
Common Stock, par value $0.01 per share
2010-01-05$0.41/sh−2,004$822→ 124,731 total(indirect: By Wyandotte Community Corporation)
Holdings
- 383,202(indirect: By Trust)
Common Stock, par value $0.01 per share
- 268,807(indirect: By Community First Financial Group, Inc.)
Common Stock, par value $0.01 per share
- 579,275
Common Stock, par value $0.01 per share
Footnotes (3)
- [F1]Dr. Breeden is the President, Chairman, and 100% owner of Wyandotte Community Corporation ("Wyandotte"), and may be deemed to have or share investment control over the securities holdings of Wyandotte. As such, Dr. Breeden may be deemed to control Wyandotte and to be an indirect beneficial owner of the Common Stock held by Wyandotte reported herein. Dr. Breeden disclaims beneficial ownership of all shares of Wyandotte in which Dr. Breeden does not have an actual pecuniary interest.
- [F2]As of the date of this filing, Community First Financial Group, Inc. ("CFFG") owned 268,807 shares of Common Stock. By reason of the provisions of Rule 16a-1 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and the relationship of Douglas T. Breeden ("Dr. Breeden" or the "Reporting Person") with CFFG, the Reporting Person may be deemed to be the beneficial owner of a portion of the 268,807 shares of Common Stock for purposes of Section 16 of the Exchange Act. Dr. Breeden disclaims beneficial ownership of all shares of the Common Stock, except to the extent of any direct or indirect pecuniary interest therein, and this Form 4 shall not be deemed an admission that he is the beneficial owner of the shares of Common Stock reported as beneficially owned herein for purposes of Section 16 of the Exchange Act or for any other purpose.
- [F3]Dr. Breeden's children are the beneficiaries of Breeden Family Trust (the "Trust"). Dr. Breeden disclaims beneficial ownership of all shares held by the Trust in which Dr. Breeden does not have an actual pecuniary interest.
Documents
Issuer
HARRINGTON WEST FINANCIAL GROUP INC/CA
CIK 0001063997
Entity typeoperating
Related Parties
1- filerCIK 0001063997
Filing Metadata
- Form type
- 4
- Filed
- Jan 14, 7:00 PM ET
- Accepted
- Jan 15, 4:11 PM ET
- Size
- 21.4 KB