0001144204-11-037626.txt : 20110627 0001144204-11-037626.hdr.sgml : 20110627 20110627122339 ACCESSION NUMBER: 0001144204-11-037626 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20110623 FILED AS OF DATE: 20110627 DATE AS OF CHANGE: 20110627 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DAVIES ROBERT WC CENTRAL INDEX KEY: 0001382067 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-01912 FILM NUMBER: 11932292 MAIL ADDRESS: STREET 1: 1420 5TH AVENUE STREET 2: SUITE 2020 CITY: SEATTLE STATE: WA ZIP: 98101 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 v227086_ex.xml X0303 4 2011-06-23 0 0000102588 SONOMAWEST HOLDINGS INC SWHI 0001382067 DAVIES ROBERT WC 2064 HIGHWAY 116 NORTH SEBASTOPOL CA 95472 1 0 0 0 Director stock option (right to buy) 6.50 2011-06-23 4 D 0 5000 3.55 D 2018-05-08 Common Stock 5000 0 D This option, which vested on May 9, 2008, was canceled in the merger between the Issuer and Stapleton Acquisition Company, in exchange for a cash payment of $3.55 per share underlying the option, or $17,750 in the aggregate, representing the difference between the exercise price of the option and the merger consideration of $10.05 per share. /s/ Robert W.C. Davies 2011-06-24