-----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, DuWh4CbRL6ynRFQ/i1ZMcIt7aWXx00T+RaNt226dBoQ+A8RGKcYnCYgOulOughjw c9xoZNxLZ41ra3THmATJJA== 0001144204-05-034004.txt : 20051104 0001144204-05-034004.hdr.sgml : 20051104 20051104160142 ACCESSION NUMBER: 0001144204-05-034004 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20051103 FILED AS OF DATE: 20051104 DATE AS OF CHANGE: 20051104 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: SONOMAWEST HOLDINGS INC CENTRAL INDEX KEY: 0000102588 STANDARD INDUSTRIAL CLASSIFICATION: LESSORS OF REAL PROPERTY, NEC [6519] IRS NUMBER: 941069729 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 2064 HIGHWAY 116 NORTH CITY: SEBASTOPOL STATE: CA ZIP: 95472 BUSINESS PHONE: 707-824-2534 MAIL ADDRESS: STREET 1: 2064 HIGHWAY 116 NORTH CITY: SEBASTOPOL STATE: CA ZIP: 95472 FORMER COMPANY: FORMER CONFORMED NAME: VACU DRY CO DATE OF NAME CHANGE: 19920703 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MERTZ ROGER S CENTRAL INDEX KEY: 0001204420 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-01912 FILM NUMBER: 051180449 BUSINESS ADDRESS: STREET 1: 2064 HIGHWAY 116 CITY: SEBASTOPOL STATE: CA ZIP: 95472-2662 4 1 v028384_ex.xml X0202 4 2005-11-03 0 0000102588 SONOMAWEST HOLDINGS INC SWHI 0001204420 MERTZ ROGER S 2064 HIGHWAY 116 NORTH SEBASTOPOL CA 95472 1 0 0 0 Employee stock option (right to buy) 5.00 2005-11-03 4 D 0 5000 0 D Common Stock 5000 0 D Employee stock option (right to buy) 5.00 2005-11-03 4 A 0 5000 0 A Common Stock 5000 0 D Employee stock option (right to buy) 7.48 2005-11-03 4 D 0 5000 0 D Common Stock 5000 0 D Employee stock option (right to buy) 7.48 2005-11-03 4 A 0 5000 0 A Common Stock 5000 0 D Employee stock option (right to buy) 7.20 2005-11-03 4 D 0 7500 0 D Common Stock 7500 0 D Employee stock option (right to buy) 7.20 2005-11-03 4 A 0 7500 0 A Common Stock 7500 0 D Employee stock option (right to buy) 5.05 2005-11-03 4 D 0 7500 0 D Common Stock 7500 0 D Employee stock option (right to buy) 5.05 2005-11-03 4 A 0 7500 0 A Common Stock 7500 25000 D Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on April 24, 2000 and was vested and exercisable on the date of deemed cancellation and grant of replacement option. Options were amended to allow for a period of one year following termination of service as a director or officer of the Company within which to exercise the option up to the ten year period after the date the options were originally granted. Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on July 17, 2001 and was vested and exercisable on the date of deemed cancellation and grant of replacement option. Options were amended to allow for a period of one year following termination of service as a director or officer of the Company within which to exercise the option up to the ten year period after the date the options were originally granted. Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on July 31, 2002 and was vested and exercisable on the date of deemed cancellation and grant of replacement option. Options were amended to allow for a period of one year following termination of service as a director or officer of the Company within which to exercise the option up to the ten year period after the date the options were originally granted. Amendment of outstanding option resulting in deemed cancellation of option and grant of replacement option. The option was originally granted on July 30, 2003 and was vested and exercisable on the date of deemed cancellation and grant of replacement option. Options were amended to allow for a period of one year following termination of service as a director or officer of the Company within which to exercise the option up to the ten year period after the date the options were originally granted. /s/ Roger S. Mertz 2005-11-04 -----END PRIVACY-ENHANCED MESSAGE-----