Amended Statement of Ownership (sc 13g/a)
04 Febrero 2015 - 4:16PM
Edgar (US Regulatory)
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934*
(Amendment No. 1)
Cordia
Bancorp Inc.
(Name of Issuer)
Common Stock
(Title of
Class of Securities)
218513109
(CUSIP Number)
December
31, 2014
(Date of Event Which Requires Filing of this Statement)
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
x Rule 13d-1(b)
¨ Rule 13d-1(c)
¨ Rule 13d-1(d)
* |
The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information
which would alter the disclosures provided in a prior cover page. |
The information required in the remainder of this cover page shall not be
deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act
(however, see the Notes).
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1. |
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Name of
Reporting Persons. Freestone Investments, LLC |
2. |
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Check the Appropriate Box if a Member
of a Group (a) ¨ (b) ¨ |
3. |
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SEC Use Only
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4. |
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Citizenship or Place of
Organization: Washington |
Number of
Shares Beneficially Owned By
Each Reporting Person
With: |
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5. |
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Sole Voting Power:
0 |
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6. |
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Shared Voting Power:
0 |
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7. |
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Sole Dispositive Power:
0 |
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8. |
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Shared Dispositive Power:
0 |
9. |
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Aggregate Amount Beneficially Owned by Each Reporting Person:
0 |
10. |
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares ¨ |
11. |
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Percent of Class Represented by Amount
in Row (9): 0 |
12. |
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Type of Reporting Person:
OO |
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1. |
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Name of
Reporting Persons. Freestone Capital Management, LLC |
2. |
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Check the Appropriate Box if a Member
of a Group (a) ¨ (b) ¨ |
3. |
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SEC Use Only
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4. |
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Citizenship or Place of
Organization: Delaware |
Number of
Shares Beneficially Owned By
Each Reporting Person
With: |
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5. |
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Sole Voting Power:
0 |
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6. |
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Shared Voting Power:
0 |
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7. |
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Sole Dispositive Power:
0 |
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8. |
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Shared Dispositive Power:
0 |
9. |
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Aggregate Amount Beneficially Owned by Each Reporting Person:
0 |
10. |
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Check if the Aggregate Amount in Row
(9) Excludes Certain Shares ¨ |
11. |
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Percent of Class Represented by Amount
in Row (9): 0 |
12. |
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Type of Reporting Person:
IA |
Item 1(a). |
Name of Issuer: |
The name of the issuer is Cordia Bancorp, Inc. (the Issuer).
Item 1(b). |
Address of Issuers Principal Executive Offices: |
The principal executive offices of the Issuer are
located at 11730 Hull Street Road, Midlothian, Virginia 23112.
Item 2(a). |
Names of Persons Filing: |
This Schedule 13G is hereby filed by the persons set forth below.
Freestone Investments, LLC
Freestone Capital Management, LLC
Item 2(b). |
Address of Principal Business Office, or if None, Residence: |
The address of the principal business office for
each Reporting Person is set forth below.
Freestone Investments, LLC: 701 Fifth Avenue, Suite 7400, Seattle, Washington 98104
Freestone Capital Management, LLC: 701 Fifth Avenue, Suite 7400, Seattle, Washington 98104
Freestone Investments, LLC is a Washington limited liability company.
Freestone Capital Management, LLC is a Delaware limited liability company.
Item 2(d). |
Title of Class of Securities: |
This statement relates to the Common Stock of the Issuer (the
Securities).
The CUSIP number of the Securities is 218513109.
Item 3. |
If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: |
(a) ¨ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
(b) ¨ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
(c) ¨ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
(d) ¨ Investment company registered under section 8 of the Investment Company Act of 1940
(15 U.S.C. 80a-8).
(e) x An investment adviser in accordance with section
240.13d-1(b)(1)(ii)(E).
(f) ¨ An employee benefit plan or endowment fund in
accordance with section 240.13d-1(b)(1)(ii)(F).
(g) ¨ A parent holding company or control
person in accordance with section 240.13d-1(b)(1)(ii)(G).
(h) ¨ A savings
associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813).
(i) ¨ A church plan that is excluded from the definition of an investment company
under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3).
(j) ¨ Group, in accordance with section 240.13d-1(b)(1)(ii)(K).
Ownership is incorporated by reference to items 5-9 and 11 of the cover page of each Reporting
Person.
Item 5. |
Ownership of Five Percent or Less of a Class. |
If this statement is being filed to report the fact that as of
the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following x
Item 6. |
Ownership of More than Five Percent on Behalf of Another Person. |
Freestone Capital Holdings, LLC
(FCH), directly or indirectly, owns all of the equity of Freestone Investments, LLC and Freestone Capital Management, LLC, and could be deemed to be the beneficial owner of all of the reported securities. Each of Gary Furukawa, Erik
Morgan and James Rooney III (collectively, the Directors) are members of FCHs board of directors. Each of FCH and each of the Directors expressly declares that the filing of this statement on Schedule 13G shall not be construed as
an admission that they are, for the purpose of Section 13(d) or 13(g) of the Securities Exchange Act of 1934, beneficial owners of the Securities.
Item 7. |
Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. |
Not applicable.
Item 8. |
Identification and Classification of Members of the Group. |
Not applicable.
Item 9. |
Notice of Dissolution of Group. |
Not applicable.
By signing below I certify that, to the best of my knowledge and belief, the securities
referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any
transaction having that purpose or effect.
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.
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DATED: February 3, 2015 |
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Freestone Investments, LLC |
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By: |
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/s/ Scott W. Akins |
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Scott W. Akins |
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General Counsel |
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Freestone Capital Management, LLC |
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By: |
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/s/ Scott W. Akins |
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Scott W. Akins |
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General Counsel |
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