Exhibit 8-K

0001004740-07-000008.txt : 20070302 0001004740-07-000008.hdr.sgml : 20070302 20070302133930 ACCESSION NUMBER: 0001004740-07-000008 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20070207 ITEM INFORMATION: Temporary Suspension of Trading Under Registrant's Employee Benefit Plans ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20070302 DATE AS OF CHANGE: 20070302 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CAPITAL CORP OF THE WEST CENTRAL INDEX KEY: 0001004740 STANDARD INDUSTRIAL CLASSIFICATION: STATE COMMERCIAL BANKS [6022] IRS NUMBER: 770405791 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-27384 FILM NUMBER: 07666803 BUSINESS ADDRESS: STREET 1: 550 W MAIN STREET CITY: MERCED STATE: CA ZIP: 95340 BUSINESS PHONE: 2097252200 MAIL ADDRESS: STREET 1: 550 W MAIN STREET CITY: MERCED STATE: CA ZIP: 95340 8-K 1 form8k.htm EXHIBIT 8-K Exhibit 8-K

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, DC 20549

---------------

FORM 8-K

CURRENT REPORT

PURSUANT TO SECTION 13 OR 15(d) OF THE

SECURITIES EXCHANGE ACT OF 1934

Date of report (Date of earliest event reported): February 7, 2007

CAPITAL CORP OF THE WEST

(Exact Name of Registrant as Specified in Charter)

California	0-27384	77-0147763
(State or Other Jurisdiction	(Commission File	(IRS Employer
of Incorporation)	Number)	Identification No.)

550 West Main Street, Merced, California 95340

(Address of Principal Executive Offices) (Zip Code)

(209) 725-2200

(Registrant's telephone number, including area code)

N/A

(Former name or former address, if changed since last report.)

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

□ Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

□ Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

□ Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

□ Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

ITEM 5.04 Temporary Suspension of Trading Under Registrant’s Employee Benefit Plans.

The Capital Corp of the West 401(k) Plan and Employee Stock Ownership Plan is transitioning administrative services to Principle Financial Group on March 16, 2007. As a result of this change, on February 14, 2007, Capital Corp of the West sent a notice to its directors and executive officers informing them of a blackout period under the Capital Corp of the West 401(k) Plan and Employee Stock Ownership Plan. The Corporation provided the notice to its directors and executive officers in accordance with Section 306 of the Sarbanes-Oxley Act of 2002 and Rule 104 of Regulation BTR. A copy of the notice is attached hereto as Exhibit 99.1 and is incorporated herein by reference. The notice required by Section 101(i)(2)(E) of the Employment Retirement Income Security Act of 1974 was provided to the Corporation on February 7, 2007.

The blackout period under the Capital Corp of the West 401(k) Plan and Employee Stock Ownership Plan will be in effect beginning March 16, 2007 and is expected to end the week of April 1, 2007. During the week of April 1, 2007, directors and officers can determine whether the blackout period has ended free of charge by contacting Donielle Kramer at 209-725-2216.

ITEM 9.01 Financial Statements and Exhibits

(a) Financial Statements of Business Acquired.

Not Applicable

(b) Pro Forma Financial Information.

Not Applicable

99.1 Notice of Blackout Period to Directors and Executive Officers of Capital Corp of the West, dated February 14, 2007.

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this Report to be signed on its behalf by the undersigned hereunto duly authorized.

Capital Corp of the West

------------------------------

(Registrant)

Dated: March 2, 2007	By: /s/ David A. Heaberlin
	David A. Heaberlin
	Executive Vice President/Chief Financial Officer

EX-99.1 2 exhibit991.htm EXHIBIT 99.1 Exhibit 99.1

Capital Corp of the West/County Bank

Memo

To: Members of the Board of Directors /Executive Officers

From: Joanne Dunlap, HR Director

Date: February 14^th, 2007

Re:

Notice of Quiet Period/Black out dates

Black Out Dates:

Trading in CCOW stock is prohibited from March 21, 2007 through the first week of April for all Directors and Executive Officers. The end date of this blackout has not yet been determined and is dependent on the final reconciliation of 401(k) assets transferred from Pension Specialists to the Principal Group. Please contact Dave Heaberlin 725-7435 if you have any questions.

Reason for Black Out:

All 401(k) plan participants are subject to the Black Out period stated above in regards to any assets they hold within the 401(k) plan due to our transfer of services from Pension Specialists to the Principal Group. The Sarbanes-Oxley Act of 2002 further prohibits corporate directors and executive officers from trading employer securities during the blackout period. This includes employer securities held outside of the plan. If you are currently investing in employer securities and you are a corporate director or executive officer of Capital Corp of the West please make special note of this limitation. This limitation applies because currently there are greater than 50% of plan participants with funds held in employer securities. If you are a corporate director or executive officer of Capital Corp of the West, please discuss specifics regarding this requirement with your legal advisor.

Enclosed is a copy of the notice that has been sent to all team members.

If you have any questions, please feel free to contact me at 209-725-7429 or e-mail me at Joanne.dunlap@countybank.com.

I appreciate your cooperation and will contact you immediately upon the expiration of the Black Out.