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.