Small Company Offering and Sale of Securities Without Registration (d)
12/03/2021 6:32pm
Edgar (US Regulatory)
x
NoneEntity Type | 0001641601 | |
x
Corporation
o
Limited Partnership
o
Limited Liability Company
o
General Partnership
o
Business Trust
o
Other |
| Name of Issuer |
River Financial Corp |
| Jurisdiction of Incorporation/Organization |
| ALABAMA |
| |
| Year of Incorporation/Organization |
| |
x
| Over Five Years Ago |
| |
o
| Within Last Five Years (Specify Year) | |
| |
o
| Yet to Be Formed | |
| 2. Principal Place of Business and Contact Information |
| Name of Issuer | |
| River Financial Corp | |
| Street Address 1 | Street Address 2 |
| 2611 Legends Drive | |
| City | State/Province/Country | ZIP/Postal Code | Phone No. of Issuer |
| Prattville | ALABAMA | 36066 | 334-290-1012 |
| Last Name | First Name | Middle Name |
| Stubbs | Jimmy | |
| Street Address 1 | Street Address 2 |
| P.O. Box 527 | |
| City | State/Province/Country | ZIP/Postal Code |
| Wetumpka | ALABAMA | 36092 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Smith | Ray | |
| Street Address 1 | Street Address 2 |
| 608 Cherry Laurel Rd. | |
| City | State/Province/Country | ZIP/Postal Code |
| Gadsden | ALABAMA | 35901 |
| Relationship: |
x
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Puckett | Larry | |
| Street Address 1 | Street Address 2 |
| 507 Five Ash Oaks | |
| City | State/Province/Country | ZIP/Postal Code |
| Prattville | ALABAMA | 36066 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Neighbors | Murray | |
| Street Address 1 | Street Address 2 |
| 1434 Falls Crest Dr. | |
| City | State/Province/Country | ZIP/Postal Code |
| Auburn | ALABAMA | 36830 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| McLeod | Brian | |
| Street Address 1 | Street Address 2 |
| 33433 Hwy 87 | |
| City | State/Province/Country | ZIP/Postal Code |
| Troy | ALABAMA | 36079 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Herron | Charles | |
| Street Address 1 | Street Address 2 |
| 271 Mack Taylor Road | |
| City | State/Province/Country | ZIP/Postal Code |
| Tallassee | ALABAMA | 36078 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Moore | Charles | |
| Street Address 1 | Street Address 2 |
| 3921 Royal Oak Drive | |
| City | State/Province/Country | ZIP/Postal Code |
| Birmingham | ALABAMA | 35243 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Ridling | Jim | |
| Street Address 1 | Street Address 2 |
| 306 Hunter Trail Pke | |
| City | State/Province/Country | ZIP/Postal Code |
| Road | ALABAMA | 36064 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Taylor | Vernon | |
| Street Address 1 | Street Address 2 |
| 3324 Thomas Avenue | |
| City | State/Province/Country | ZIP/Postal Code |
| Montgomery | ALABAMA | 36111 |
| Relationship: |
o
| Executive Officer |
x
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
| Last Name | First Name | Middle Name |
| Givens | Kenneth | |
| Street Address 1 | Street Address 2 |
| 2707 Wynfrey Dr | |
| City | State/Province/Country | ZIP/Postal Code |
| Prattville | ALABAMA | 36067 |
| Relationship: |
x
| Executive Officer |
o
| Director |
o
| Promoter |
| Clarification of Response (if Necessary) |
| | |
|
o
| Agriculture | | Health Care |
o
| Retailing |
| | Banking & Financial Services | |
o
| Biotechnology |
o
| Restaurants |
| |
x
| Commercial Banking | |
o
| Health Insurance | | Technology |
| |
o
| Insurance | |
o
| Hospitals & Physicians | |
o
| Computers |
| |
o
| Investing | |
o
| Pharmaceuticals | |
o
| Telecommunications |
| |
o
| Investment Banking | |
o
| Other Health Care | |
o
| Other Technology |
| |
o
| Pooled Investment Fund
| | | | | Travel |
| |
o
| Other Banking & Financial Services |
o
| Manufacturing | |
o
| Airlines & Airports |
| | Real Estate | |
o
| Lodging & Conventions |
| |
o
| Commercial | |
o
| Tourism & Travel Services |
| |
o
| Construction | |
o
| Other Travel |
| |
o
| REITS & Finance |
o
| Other |
| |
o
| Residential | |
| |
o
| Other Real Estate | |
|
o
| Business Services | |
| | Energy | |
| |
o
| Coal Mining | |
| |
o
| Electric Utilities | |
| |
o
| Energy Conservation | |
| |
o
| Environmental Services | |
| |
o
| Oil & Gas | |
| |
o
| Other Energy | |
| Revenue Range | Aggregate Net Asset Value Range |
|
o
| No Revenues |
o
| No Aggregate Net Asset Value |
|
o
| $1 - $1,000,000 |
o
| $1 - $5,000,000 |
|
o
| $1,000,001 - $5,000,000 |
o
| $5,000,001 - $25,000,000 |
|
o
| $5,000,001 - $25,000,000 |
o
| $25,000,001 - $50,000,000 |
|
o
| $25,000,001 - $100,000,000 |
o
| $50,000,001 - $100,000,000 |
|
o
| Over $100,000,000 |
o
| Over $100,000,000 |
|
x
| Decline to Disclose |
o
| Decline to Disclose |
|
o
| Not Applicable |
o
| Not Applicable |
| 6. Federal Exemption(s) and Exclusion(s) Claimed (select all that apply) |
|
o
| Rule 504(b)(1) (not (i), (ii) or (iii)) |
o
| Rule 505 |
|
o
| Rule 504 (b)(1)(i) |
x
| Rule 506(b) |
|
o
| Rule 504 (b)(1)(ii) |
o
| Rule 506(c) |
|
o
| Rule 504 (b)(1)(iii) |
o
| Securities Act Section 4(a)(5) |
| |
o
| Investment Company Act Section 3(c) |
|
x
| New Notice | Date of First Sale | 2021-03-09 |
o
| First Sale Yet to Occur |
| Does the Issuer intend this offering to last more than one year? |
o
| Yes |
x
| No |
| 9. Type(s) of Securities Offered (select all that apply) |
|
o
| Pooled Investment Fund Interests |
o
| Equity |
|
o
| Tenant-in-Common Securities |
x
| Debt |
|
o
| Mineral Property Securities |
o
| Option, Warrant or Other Right to Acquire Another Security |
|
o
| Security to be Acquired Upon Exercise of Option, Warrant or Other Right to Acquire Security |
o
| Other (describe) |
| | |
| 10. Business Combination Transaction |
| Is this offering being made in connection with a business combination transaction, such as a merger, acquisition or exchange offer? |
o
| Yes |
x
| No |
| |
| Clarification of Response (if Necessary) | |
| |
| Minimum investment accepted from any outside investor | $ 100000 USD |
| Recipient | Recipient CRD Number |
o
| None |
| Stephens Inc. | 3496 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 111 Center Street | |
| City | State/Province/Country | ZIP/Postal Code |
| Little Rock | ARKANSAS | 72201-3507 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
ALABAMA
ARKANSAS
CALIFORNIA
COLORADO
CONNECTICUT
FLORIDA
GEORGIA
ILLINOIS
INDIANA
IOWA
KANSAS
LOUISIANA
MARYLAND
MASSACHUSETTS
MICHIGAN
MINNESOTA
MISSISSIPPI
MISSOURI
MONTANA
NEBRASKA
NEVADA
NEW YORK
OHIO
OKLAHOMA
OREGON
SOUTH CAROLINA
SOUTH DAKOTA
TENNESSEE
TEXAS
VIRGINIA
WASHINGTON
WISCONSIN
WYOMING
|
| Recipient | Recipient CRD Number |
o
| None |
| Performance Trust Capital Partners | 36155 |
| (Associated) Broker or Dealer |
x
| None | (Associated) Broker or Dealer CRD Number |
x
| None |
| | |
| Street Address 1 | Street Address 2 |
| 500 W. Madison Street, Suite 450 | |
| City | State/Province/Country | ZIP/Postal Code |
| Chicago | ILLINOIS | 60661 |
| State(s) of Solicitation |
o
| All States |
o
| Foreign/Non-US |
ALABAMA
COLORADO
CONNECTICUT
GEORGIA
IOWA
MISSOURI
WYOMING
|
| 13. Offering and Sales Amounts |
| Total Offering Amount | $ 40000000 USD |
o
Indefinite |
| Total Amount Sold | $ 40000000 USD | |
| Total Remaining to be Sold | $ 0 USD |
o
Indefinite |
| |
| Clarification of Response (if Necessary) |
| |
|
o
| Select if securities in the offering have been or may be sold to persons who do not qualify as accredited investors,
Number of such non-accredited investors who already have invested in the offering
| |
| | Regardless of whether securities in the offering have been or may be sold to persons who do not qualify as accredited investors, enter the total number of investors who already have invested in the offering: | 40 |
| 15. Sales Commissions & Finders’ Fees Expenses |
Provide separately the amounts of sales commissions and finders' fees expenses, if any. If the amount of an expenditure is not known, provide an estimate and check the box next to the amount.
|
| Sales Commissions | $ 600000 USD |
o
| Estimate |
| Finders' Fees | $ 0 USD |
o
| Estimate |
| |
| Clarification of Response (if Necessary) |
| |
Provide the amount of the gross proceeds of the offering that has been or is proposed to be used for payments to any of the persons required to be named as executive officers, directors or promoters in response to Item 3 above. If the amount is unknown, provide an estimate and check the box next to the amount.
|
| | $ 0 USD |
o
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