0001144204-11-025991.txt : 20110504
0001144204-11-025991.hdr.sgml : 20110504
20110504120958
ACCESSION NUMBER: 0001144204-11-025991
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20110502
FILED AS OF DATE: 20110504
DATE AS OF CHANGE: 20110504
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Stapleton Walker Roberts
CENTRAL INDEX KEY: 0001323237
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-01912
FILM NUMBER: 11809007
MAIL ADDRESS:
STREET 1: 1050 CHEROKEE STREET, #307
CITY: DENVER
STATE: CO
ZIP: 80204
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: SONOMAWEST HOLDINGS INC
CENTRAL INDEX KEY: 0000102588
STANDARD INDUSTRIAL CLASSIFICATION: LESSORS OF REAL PROPERTY, NEC [6519]
IRS NUMBER: 941069729
STATE OF INCORPORATION: DE
FISCAL YEAR END: 0630
BUSINESS ADDRESS:
STREET 1: 2064 HIGHWAY 116 NORTH
CITY: SEBASTOPOL
STATE: CA
ZIP: 95472
BUSINESS PHONE: 707-824-2534
MAIL ADDRESS:
STREET 1: 2064 HIGHWAY 116 NORTH
CITY: SEBASTOPOL
STATE: CA
ZIP: 95472
FORMER COMPANY:
FORMER CONFORMED NAME: VACU DRY CO
DATE OF NAME CHANGE: 19920703
4
1
v220759_ex.xml
X0303
4
2011-05-02
0
0000102588
SONOMAWEST HOLDINGS INC
SWHI
0001323237
Stapleton Walker Roberts
135 EAST PUTNAM AVENUE
GREENWICH
CT
06830
0
0
1
0
Common Stock
2011-05-02
4
J
0
86336
10.05
A
212830
I
See Footnotes
On April 1, 2011, Stapleton Acquisition Company ("SAC") commenced a tender offer for all of the outstanding shares of Common
Stock of the Issuer (the "Shares") at a price of $10.05 per Share in cash (the "Offer"). The initial offering period for the
Offer expired at 5:00 p.m., New York City time, on April 29, 2011, at which time approximately 411,124 Shares (including
approximately 6,782 Shares subject to guarantees of delivery) were validly tendered and not withdrawn, and such Shares were
accepted for purchase and payment by SAC on May 2, 2011.
(Footnote 1 continued) In connection with the Offer and pursuant to that certain Contribution and Subscription Agreement
entered into by and between SAC and the Reporting Person (the "Contribution Agreement"), the Reporting Person acquired
approximately 21% of the equity interests of SAC and the beneficial ownership of the Shares previously held by him changed
from direct to indirect. SAC presently owns 1,013,477 Shares. Accordingly, the Reporting Person has a pecuniary interest in
and indirectly beneficially owns approximately 86,336 of the Shares tendered in the Offer and purchased by SAC on May 2,
2011 and approximately 212,830 of the total Shares owned by SAC.
/s/ Walker R. Stapleton
2011-05-04