-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, KFuYoUTf7lA0J4pepZMylhNoxuRhtsk0H5lOnfc1Zx1lN1JKOC0nbVEHImpItDew 4Ay4ciMKF/tejGQarPERww== 0001144204-07-023202.txt : 20070508 0001144204-07-023202.hdr.sgml : 20070508 20070507201211 ACCESSION NUMBER: 0001144204-07-023202 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070508 DATE AS OF CHANGE: 20070507 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SONOMAWEST HOLDINGS INC CENTRAL INDEX KEY: 0000102588 STANDARD INDUSTRIAL CLASSIFICATION: LESSORS OF REAL PROPERTY, NEC [6519] IRS NUMBER: 941069729 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-34214 FILM NUMBER: 07825514 BUSINESS ADDRESS: STREET 1: 2064 HIGHWAY 116 NORTH CITY: SEBASTOPOL STATE: CA ZIP: 95472 BUSINESS PHONE: 707-824-2534 MAIL ADDRESS: STREET 1: 2064 HIGHWAY 116 NORTH CITY: SEBASTOPOL STATE: CA ZIP: 95472 FORMER COMPANY: FORMER CONFORMED NAME: VACU DRY CO DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HESS GARY L CENTRAL INDEX KEY: 0001204419 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 2064 HIGHWAY 116 CITY: SEBASTOPOL STATE: CA ZIP: 95472-2662 SC 13D/A 1 v073930_sc13da.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 4) SonomaWest Holdings, Inc. (Name of Issuer) Common Stock, No Par Value (Title of Class of Securities) 835637109 (CUSIP Number) Gary L. Hess 2031 San Antonio Place Santa Rosa, CA 95405 United States of America (707) 824-2534 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) April 23, 2007 (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.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 s240.13d-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 - -------------------------------------------------------------------------------- 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) Gary L. Hess - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a)|_| (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 54,156 NUMBER OF -------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH -------------------------------------------------------- REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH 54,156 -------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 54,156 - -------------------------------------------------------------------------------- 12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES (See Instructions) |_| - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- The percentage set forth above is based on a total of 1,179,967 shares of Common Stock outstanding as of February 20, 2007. Item 1. Security and Issuer This statement relates to the common stock, no par value (the "Common Stock"), of SonomaWest Holdings, Inc. (the "Company"), whose offices are located at 2064 Highway 116 North, Sebastopol, CA 95472. Item 2. Identity and Background (a) Gary L. Hess (b) 2031 San Antonio Place Santa Rosa, CA 95405 (c) President Pocket Guides Publishing, Inc. 2031 San Antonio Place Santa Rosa, CA 95405 (d) None (e) None (f) United States of America Item 3. Source and Amount of Funds or Other Consideration Not applicable. Item 4. Purpose of Transaction The acquisitions of the securities of the issuer were for investment purposes. Item 5. Interest in Securities of the Issuer (a) Amount beneficially owned: 54,156 Percent of class: 4.6% (b) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 54,156 (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 54,156 (iv) Shared power to dispose or to direct the disposition of: 0 (c) The following transactions took place within the past 60 days:
Name Transaction Date No. of Shares Price ($) Where/How Transacted - ---- ----------- ---- ------------- --------- -------------------- Gary L. Hess Disposition 04/30/07 2000 $25.50 Disposition in open market Gary L. Hess Disposition 04/23/07 2400 $26.50 Disposition in open market Gary L. Hess Disposition 04/20/07 1500 $26.00 Disposition in open market Gary L. Hess Disposition 04/19/07 900 $25.50 Disposition in open market Gary L. Hess Acquisition 04/19/07 500 $25.60 Acquisition in open market Gary L. Hess Disposition 04/10/07 1000 $25.00 Disposition in open market Gary L. Hess Disposition 04/04/07 1250 $22.00 Disposition in open market Gary L. Hess Disposition 04/04/07 200 $23.00 Disposition in open market Gary L. Hess Disposition 03/23/07 1050 $20.90 Disposition in open market Gary L. Hess Disposition 03/22/07 500 $21.00 Disposition in open market Gary L. Hess Disposition 03/16/07 262 $19.10 Disposition in open market Gary L. Hess Disposition 03/16/07 1400 $19.00 Disposition in open market Gary L. Hess Disposition 03/08/07 2000 $20.50 Disposition in open market Gary L. Hess Disposition 03/08/07 1350 $19.75 Disposition in open market Gary L. Hess Disposition 03/05/07 350 $19.00 Disposition in open market
(d) Not applicable. (e) April 23, 2007 Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer Not applicable. Item 7. Material to Be Filed as Exhibits Not applicable. 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. May 2, 2007 /s/ Gary L. Hess ---------------------------------------- Signature Gary L. Hess -----END PRIVACY-ENHANCED MESSAGE-----