SC 13D/A 1 v040263_sc13da.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 8) SonomaWest Holdings, Inc. (Name of Issuer) Common Stock, No Par Value (Title of Class of Securities) 835637109 (CUSIP Number) Walker Roberts Stapleton President/Chief Executive Officer SonomaWest Holdings, Inc. 1600 Broadway, Suite 2400 Denver, CO 80202 United States of America (303) 542-1974 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 11, 2006 (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of ss.ss.240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. |_| Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See ss.240.13d-7 for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on 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).
--------------------------------------- -------------------------------------- ------------------------------------- CUSIP No. 835637109 Schedule 13D Page 1 of 20 --------------------------------------- -------------------------------------- ------------------------------------- PERSONS WHO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Craig R. Stapleton -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America. -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER 343,237 --------------------------------------------------------------------------------------------- NUMBER OF SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 207,515 EACH --------------------------------------------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH 343,237 --------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 207,515 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 550,752 (1) -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 48.6 % -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN -------------------------------------------------------------------------------------------------------------------- (1) Includes 343,237 shares beneficially owned directly by Mr. Stapleton and 207,515 shares held by the other persons who are filing this joint Schedule 13D and with whom Mr. Stapleton shares voting and dispositive powers.
--------------------------------------- -------------------------------------- ------------------------------------- CUSIP No. 835637109 Schedule 13D Page 2 of 20 --------------------------------------- -------------------------------------- ------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Dorothy W. Stapleton -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America. -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 26,693 SHARES ------------------------------------------------------------------------------------------- BENEFICIALLY OWNED BY 9 SOLE DISPOSITIVE POWER EACH REPORTING PERSON ------------------------------------------------------------------------------------------- WITH 10 SHARED DISPOSITIVE POWER 26,293 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 26,293 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 2.4% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
--------------------------------------- -------------------------------------- ------------------------------------- CUSIP No. 835637109 Schedule 13D Page 3 of 20 --------------------------------------- -------------------------------------- ------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Walker R. Stapleton -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF/00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America. -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES 47,410 BENEFICIALLY ------------------------------------------------------------------------------------------- OWNED BY EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 47,410 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 47,410 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.3% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
--------------------------------------- -------------------------------------- ------------------------------------- CUSIP No. 835637109 Schedule 13D Page 4 of 20 --------------------------------------- -------------------------------------- ------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Wendy S. Reyes, Trustee, Separate Property Trust -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF/00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America. -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 73,198 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 73,198 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 73,198 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 6.6% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
--------------------------------------- -------------------------------------- ------------------------------------- CUSIP No. 835637109 Schedule 13D Page 5 of 20 --------------------------------------- -------------------------------------- ------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Benjamin F. Stapleton IV -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America. -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 2,766 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 2,766 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,766 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.2% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 6 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Trust FBO Benjamin F. Stapleton IV -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Colorado -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 1,033 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,033 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,033 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.1% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) 00 --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 7 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Sarah F. Stapleton -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 2,766 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 2,766 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,766 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.2% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 8 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Trust FBO Sarah F. Stapleton -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Colorado -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 1,033 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,033 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,033 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.1% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) 00 --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 9 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Trust FBO Katharine H. Stapleton -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Colorado -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 861 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 861 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 861 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.1% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) 00 --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 10 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Katharine H. Stapleton, Custodian for Karina Stapleton, UGMA -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 1,868 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,868 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,868 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.2% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 11 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Harmes C. Fishback Foundation -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Colorado -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 2,854 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 2,854 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,854 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.3% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) 00 --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 12 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Charles T. Schulze -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 5,749 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 5,749 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,749 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.5% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 13 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Peter B. and Karen G. Schulze JTWROS -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) PF -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF SHARES 37,080 BENEFICIALLY ------------------------------------------------------------------------------------------- OWNED BY EACH 9 SOLE DISPOSITIVE POWER REPORTING PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 37,080 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 37,080 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 3.3% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 14 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Peter B. Schulze, Custodian for Isaiah Schulze, UGMA -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 323 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 323 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 323 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.03% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 15 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Trust FBO Elias Schulze -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Texas -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 1,509 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,509 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,509 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.1% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) 00 --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 16 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Trust FBO Isaiah Schulze -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 1,186 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,186 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,186 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ] (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.1% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) 00 --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 17 of 20 -------------------------------------------------------------------------------------------------------------------- -------------------------------------------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (entities only) Trust FBO Eliana Joy Schulze -------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) [X] (b) [ ] -------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY -------------------------------------------------------------------------------------------------------------------- 4 SOURCE OF FUNDS (See Instructions) 00 -------------------------------------------------------------------------------------------------------------------- 5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED [ ] PURSUANT TO ITEMS 2(d) or 2(e) -------------------------------------------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts -------------------------------------------------------------------------------------------------------------------- 7 SOLE VOTING POWER ------------------------------------------------------------------------------------------- NUMBER OF 8 SHARED VOTING POWER SHARES BENEFICIALLY 1,186 OWNED BY ------------------------------------------------------------------------------------------- EACH REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 1,186 -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,186 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0.1% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) 00 --------------------------------------------------------------------------------------------------------------------
-------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 18 of 20 -------------------------------------------------------------------------------- Unless specifically amended in an amendment hereto, the disclosures set forth in this Schedule 13D shall remain unchanged. Item 2. Identity and Background This Statement is filed by the individuals and entities listed below (being herein collectively referred to as the "Filing Persons"). Listed below is the name, business or residence address and present principal occupation of each natural person who is a Filing Person, together with the name, principal business and address of any corporation or other organization in which such employment is conducted, as well as the name, state of organization, principal business and address of principal office of each entity which is a Filing Person. Each natural person listed below is a U.S. citizen.
PRINCIPAL OCCUPATION (OR BUSINESS) AND RELATED STATE OF NAME BUSINESS OR RESIDENCE ADDRESS INFORMATION ORGANIZATION ------------------------------ ----------------------------- ---------------------------- ------------------- Craig R. Stapleton P.O. Box 1576 US Ambassador to France N/A 135 East Putnam Avenue Greenwich, CT 06830 Dorothy W. Stapleton P.O. Box 1576 Housewife N/A 135 East Putnam Avenue Greenwich, CT 06830 Walker R. Stapleton 1600 Broadway President and Chief Financial N/A Suite 2400 Officer of the Company Denver, CO 80202 Wendy S. Reyes, Trustee P.O. Box 1576 Housewife California Separate Property Trust 135 East Putnam Avenue Greenwich, CT 06830 Benjamin F. Stapleton IV 925 Park Avenue, Apt. 13 D Research Associate N/A New York, NY 10028 Greywolf Capital 4 Manhattanville Road, Suite 201 Purchase, NY 10577 Trust FBO Benjamin F. P.O. Box 1576 Trust for the Benefit Colorado Stapleton IV 135 East Putnam Avenue of the Individual Greenwich, CT 06830 Sarah F. Stapleton 925 Park Avenue Student N/A New York, NY 10028 Trust FBO Sarah F. Stapleton P.O. Box 1576 Trust for the Benefit Colorado 135 East Putnam Avenue of the Individual Greenwich, CT 06830 Trust FBO Katherine H. P.O. Box 1576 Trust for the Benefit Colorado Stapleton 135 East Putnam Avenue of the Individual Greenwich, CT 06830 Katherine H. Stapleton, P.O. Box 1576 Homemaker N/A Custodian for Karina 135 East Putnam Avenue Stapleton, UGMA Greenwich, CT 06830 Harmes C. Fishback c/o Mrs Katherine H. Stapleton Charitable Foundation Colorado Foundation 8 Village Road Englewood, CO 80110 Charles T. Schulze P.O. Box 1513 Private Business N/A 135 East Putnam Avenue Greenwich, CT 06830 Peter B. and Karen G. Schulze, P.O. Box 1513 Private Business N/A JTWROS 135 East Putnam Avenue Greenwich, CT 06830 Peter B. Schulze, Custodian P.O. Box 1513 Private Business N/A for Isaiah Schulze, UGMA 135 East Putnam Avenue Greenwich, CT 06830 Trust FBO Elias Schulze P.O. Box 1513 Trust for the Benefit of the Texas 135 East Putnam Avenue Individual Greenwich, CT 06830 Trust FBO Isaiah Schulze P.O. Box 1513 Trust for the Benefit of the Massachusetts 135 East Putnam Avenue Individual Greenwich, CT 06830 Trust for Eliana Joy Schulze P.O. Box 1513 Trust for the Benefit of the Massachusetts 135 East Putnam Avenue Individual Greenwich, CT 06830
-------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 19 of 20 -------------------------------------------------------------------------------- During the past five years, no Filing Person has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 4. Purpose of the Transaction On April 11, 2006 Walker R. Stapleton sent to the Special Committee of the Board of Directors of the Company the letter attached hereto as Exhibit 8. The letter reiterates Mr. Stapleton's February 8, 2006 and March 23, 2006 letters expressing his desire to initiate a management led buyout of the Company by an investment group consisting of members of his family, including his father, Craig R. Stapleton. Mr. Stapleton was informed by the Special Committee that they had retained legal counsel and engaged the services of a third party appraisal firm to assist them in matters related to such proposed transaction. Mr. Stapleton informed the Special Committee that he intended to leave the proposal in place pending the outcome of its evaluation of the proposal, but reserved the right to terminate further discussions at any time prior to the execution of definitive agreements. Mr. Stapleton reiterated that the investment group does not have any interest in selling its shares in the Company and therefore would not, under any circumstances, support an alternative transaction. Except as set forth in Exhibit 8, no Filing Person has any present plans or intentions that would result in or relate to any of the transactions described in subparagraphs (a) through (j) of Item 4 of Schedule D. Item 7. Material to Be Filed as Exhibits Exhibit 8 Copy of Letter, dated April 11, 2006, from Walker R. Stapleton, President and Chief Executive Officer of the Company, to the Special Committee of the Board of Directors of the Company. -------------------------------------------------------------------------------- CUSIP No. 835637109 Schedule 13D Page 20 of 20 -------------------------------------------------------------------------------- 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. April 11, 2006 /s/ Walker Stapleton ---------------------------------------------- Signature Walker R. Stapleton, individually and as attorney-in-fact for the other Filing Persons President and CEO ---------------------------------------------- Name/Title Exhibit 8 --------- DATE: April 11, 2006 TO: SPECIAL COMMITTEE OF THE BOARD OF DIRECTORS FROM: WALKER R. STAPLETON RE: UPDATE REGARDING PROPOSED MANAGEMENT BUYOUT OF SONOMAWEST HOLDINGS ------------------------------------------------------------------ Dear Sirs: On February 7, 2006, and March 23, 2006, I wrote letters disclosing my desire to initiate a management-led buyout of SonomaWest Holdings, Inc. (the "Company") by an investment group (the "Investment Group") consisting of members of my family including my father, Craig Stapleton, the Company's largest shareholder. On behalf of the Investment Group, I proposed a price of $11.03 per share for all outstanding shares of the Company not owned by the Investment Group. I have been informed by the Special Committee of the Board of Directors ("Special Committee") that you have since retained legal counsel and engaged the services of a third party appraisal firm to assist you on matters related to this transaction. I have also been informed that you intend to consider our proposed offer of $11.03 per share following the completion of the appraisal process. On behalf of the Investment Group, I would like to inform you that we intend to leave our proposal in place pending the completion of your evaluation of this transaction, but we reserve the right to amend or withdraw this proposal and to terminate further discussions at any time prior to our execution of definitive agreements. I would like to reiterate that the Investment Group, which beneficially owns approximately 48.5% of the outstanding common stock, does not have any interest in selling its shares in the Company and therefore would not, under any circumstances, support an alternative transaction or consider any offers. We continue to believe that the proposed transaction would represent significant value for the Company's shareholders, who otherwise have little prospect for liquidity, and look forward to discussing it with the Special Committee and its advisors. Please let us know at your earliest convenience how you wish to proceed. Very truly yours, /s/ Walker Stapleton --------------------------- Walker Stapleton