-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OIksya2AhkNuZB9iK/nsX+77qc5B22WJlzLF/iYZHKxr/Kre2dQEa7kZyqxQqy7e mMkTFLVLt+4rvCM9J+IKag== 0001109355-02-000099.txt : 20020924 0001109355-02-000099.hdr.sgml : 20020924 20020924172904 ACCESSION NUMBER: 0001109355-02-000099 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20020920 ITEM INFORMATION: Financial statements and exhibits ITEM INFORMATION: FILED AS OF DATE: 20020924 FILER: COMPANY DATA: COMPANY CONFORMED NAME: SONOMAWEST HOLDINGS INC CENTRAL INDEX KEY: 0000102588 STANDARD INDUSTRIAL CLASSIFICATION: CANNED, FROZEN & PRESERVED FRUIT, VEG & FOOD SPECIALTIES [2030] IRS NUMBER: 941069729 STATE OF INCORPORATION: CA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 000-01912 FILM NUMBER: 02771369 BUSINESS ADDRESS: STREET 1: 1448 INDUSTRIAL AVE CITY: SEBASTOPOL STATE: CA ZIP: 95472-4848 BUSINESS PHONE: 7078242548 MAIL ADDRESS: STREET 1: 1448 INDUSTRIAL AVE CITY: SEBASTOPOL STATE: CA ZIP: 95472 FORMER COMPANY: FORMER CONFORMED NAME: VACU DRY CO DATE OF NAME CHANGE: 19920703 8-K 1 form8k-092002.txt CURRENT REPORT RE CERTIFICATION 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) September 20, 2002 ----------------------- SONOMAWEST HOLDINGS, INC. - -------------------------------------------------------------------------------- (Exact Name of Registrant as Specified in Its Charter) California 01912 94-1069729 - -------------------------------------------------------------------------------- (State or Other Jurisdiction (Commission File Number) (I.R.S. Employer of Incorporation) Identification No.) 2064 HIGHWAY 116 NORTH, SEBASTOPOL, CALIFORNIA 95472 - -------------------------------------------------------------------------------- (Address of Principal Executive Offices) (Zip Code) (707) 824-2001 - -------------------------------------------------------------------------------- (Registrant's Telephone Number, Including Area Code) - -------------------------------------------------------------------------------- (Former Name or Former Address, if Changed Since Last Report) ITEM 9. REGULATION FD DISCLOSURE. On September 20, 2002, SonomaWest Holdings, Inc. (the "Company") filed its Annual Report for the fiscal year ended June 30, 2002. Attached hereto as Exhibit 99.1 is the certification of the Chairman of the Board and Chief Financial Officer of the Company pursuant to 18 U.S.C Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 covering the Annual Report on Form 10-K for the period ending June 30, 2002. ITEM 7. EXHIBITS. Exhibit 99.1 Certification Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. 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 THEREUNTO DULY AUTHORIZED. SONOMAWEST HOLDINGS, INC. Date: September 23, 2002 By: /s/ Roger S. Mertz ----------------------------------------- Roger S. Mertz Chairman of the Board EXHIBIT INDEX Exhibit No. Description ----------- ----------- 99.1 Certification Pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 99.1-1 906 of the Sarbanes-Oxley Act of 2002. EX-99 3 certification.txt CERTIFICATION OF CEO/CFO EXHIBIT 99.1 Certification Pursuant to 18 U.S.C. Section 1350, As Adopted Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 In connection with the Annual Report of SonomaWest Holdings, Inc. (the "Company") on Form 10-K for the period ending June 30, 2002 as filed with the Securities and Exchange Commission on the date hereof (the "Report"), Roger S. Mertz, as Chairman of the Board of the Company, and Thomas R. Eakin, as Chief Financial Officer of the Company, each hereby certifies, pursuant to 18 U.S.C. Section 1350, as adopted pursuant to Section 906 of the Sarbanes-Oxley Act of 2002 that: (1) The Report fully complies with the requirements of section 13(a) or 15(d), as applicable of the Securities Exchange Act of 1934; and (2) The information contained in the Report fairly presents, in all material respects, the financial condition and results of operations of the Company. /s/ Roger S. Mertz - ------------------------------------- Roger S. Mertz, Chairman of the Board September 20, 2002 /s/ Thomas R. Eakin - --------------------------------------- Thomas R. Eakin, Chief Financial Officer September 20, 2002 -----END PRIVACY-ENHANCED MESSAGE-----