SC 13D/A 1 v058644_sc13da.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 10) 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) November 14, 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 268,137 ------------------------------------------------------------------------------------------- NUMBER OF SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 282,615 EACH ------------------------------------------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH 268,137 ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 282,615 -------------------------------------------------------------------------------------------------------------------- 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) 48.0% -------------------------------------------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN --------------------------------------------------------------------------------------------------------------------
(1) Includes 268,137 shares beneficially owned directly by Mr. Stapleton and 282,615 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 ------------------------------------------------------------------------------------------- NUMBER OF SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 26,693 EACH ------------------------------------------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER 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) 2.3% -------------------------------------------------------------------------------------------------------------------- 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 97,410 NUMBER OF ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 97,410 ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 97,410 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.4% -------------------------------------------------------------------------------------------------------------------- 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 98,298 NUMBER OF ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 98,298 ------------------------------------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER -------------------------------------------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 98,298 -------------------------------------------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) [ ] -------------------------------------------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 8.5% -------------------------------------------------------------------------------------------------------------------- 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 ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 2,766 REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------------------- 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 ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 1,033 REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------------------- 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 ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 2,766 REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------------------- 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 7 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 ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 1,033 REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------------------- 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 ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 861 REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------------------- 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 SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,868 EACH ------------------------------------------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER 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 ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 2,854 REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------------------- 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) 0.2% -------------------------------------------------------------------------------------------------------------------- 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 ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 5,749 REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------------------- 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 NUMBER OF ------------------------------------------------------------------------------------------- SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 37,080 REPORTING ------------------------------------------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------------------- 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) 3.2% -------------------------------------------------------------------------------------------------------------------- 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 SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 323 EACH ------------------------------------------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER 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) 0.1% -------------------------------------------------------------------------------------------------------------------- 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 ------------------------------------------------------------------------------------------ SHARES BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 1,509 REPORTING ------------------------------------------------------------------------------------------ PERSON WITH 9 SOLE DISPOSITIVE POWER ------------------------------------------------------------------------------------------ 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 SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,186 EACH ------------------------------------------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER 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 SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,186 EACH ------------------------------------------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER 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 --------------------------------------------------------------------------------------------------------------------
Unless specifically amended in an amendment hereto, the disclosures set forth in this Schedule 13D shall remain unchanged. Item 4. Purpose of the Transaction Each Filing Person acquired the shares of Common Stock reported opposite his name in Item 5 below for his own account or the account of its beneficiary and for investment purposes. The Filing Persons intend to evaluate on an ongoing basis the Company's financial condition, assets, business, operations and prospects, the market price for the shares of Common Stock, conditions in the securities markets generally, general economic conditions and other factors affecting the Company. Depending on factors deemed relevant by the Filing Persons, including, but not limited to, those set forth in the preceding sentence, the Filing Persons reserve the right to formulate plans and/or make proposals which would result in changes in the board of directors, management, capitalization, finances, business or governance of the Company or would result in an extraordinary corporate transaction involving the Company or a sale of a material amount of its assets and take such other actions with respect to their investment in the Company as they may determine. Walker R. Stapleton has withdrawn his earlier proposal that the Company's management consider one or more transactions for the purpose of taking the Company private. The Filing Persons reserve the right to change their plans and intentions at any time and from time to time as they deem appropriate. Each Filing Person may purchase additional shares of Common Stock or may sell or otherwise dispose of all or a portion of the shares of Common Stock held by such Filing Persons in public or private transactions. Any such transactions may be effected at any time or from time to time, subject to federal and state securities laws. Item 5. Interest in Securities of the Issuer As of November 14, 2006, each Filing Person beneficially owned the following number of shares of Common Stock: Name of Filing Person Number of Shares Percent of Outstanding Beneficially Owned --------------------- ------------------- ---------------------- Craig R. Stapleton 550,752 (1) 48.0% ---------- (1) Includes 268,137 shares beneficially owned directly by Mr. Stapleton and 282,615 shares held by the other Filing Persons and with whom Mr. Stapleton shares voting and dispositive powers. Dorothy W. Stapleton 26,293 2.3% Walker R. Stapleton 97,410 8.4% Wendy S. Reyes, Trustee 98,298 8.5% Separate Property Trust Benjamin F. Stapleton IV 2,766 0.2% Trust FBO Benjamin F. Stapleton IV 1,033 0.1% Sarah F. Stapleton 2,766 0.2% Trust FBO Sarah F. Stapleton 1,033 0.1% Trust FBO Katharine H. Stapleton 861 0.1% Katharine H. Stapleton, Custodian for Karina Stapleton UGMA 1,868 0.2% Harmes C. Fishback Foundation 2,854 0.2% Charles T. Schulze 5,749 0.5% Peter B. and Karen G. Schulze, JTWROS 37,080 3.2% Peter B. Schulze, Custodian for Isaiah Schulze, UGMA 323 0.1% Trust FBO Elias Schulze 1,509 0.1% Trust FBO Isaiah Schulze 1,186 0.1% Trust FBO Eliana Joy Schulze 1,186 0.1% The percentages set forth above are based on a total of 1,155,257 shares of Common Stock outstanding as of November 10, 2006, as reported by the Company in its Quarterly Report on Form 10-Q for the period ended September 30, 2006 as filed with the Securities and Exchange Commission on November 14, 2006. 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. November 20, 2006 /s/ Walker R. Stapleton --------------------------------------------- Signature Walker R. Stapleton, individually and as attorney-in-fact for the other Filing Persons President and CEO --------------------------------------------- Name/Title