-----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, TpwVkhBl1pRUBE5jjCf40LkbNMmThQF5nxXLr9l5waiYkhfds9XehjXm9ai9y/aF I+UPK0vXLi1oQ9KtP+AfaA== 0000950005-04-000227.txt : 20040224 0000950005-04-000227.hdr.sgml : 20040224 20040224155915 ACCESSION NUMBER: 0000950005-04-000227 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040224 GROUP MEMBERS: HOUGHTON GIFFORD, M.D. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NORTH BAY BANCORP/CA CENTRAL INDEX KEY: 0001102595 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 680434802 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60579 FILM NUMBER: 04624997 BUSINESS ADDRESS: STREET 1: 1500 SOSCOL AVE CITY: NAPA STATE: CA ZIP: 94559 BUSINESS PHONE: 7072578500 MAIL ADDRESS: STREET 1: 1500 SOSCOL AVE CITY: NAPA STATE: CA ZIP: 94559 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GIFFORD HOUGHTON MD CENTRAL INDEX KEY: 0001108133 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3219 VICHY AVENUE CITY: NAPA STATE: CA ZIP: 94558-2113 BUSINESS PHONE: 7072538597 MAIL ADDRESS: STREET 1: 3219 VICHY AVENUE CITY: NAPA STATE: CA ZIP: 94558-2113 SC 13G/A 1 p18223_sc13ga.txt AMENDMENT TO SCHEDULE 13G -------------------------- OMB APPROVAL -------------------------- OMB Number: 3235-0145 Expires: December 31, 2005 Estimated average burden hours per response......11 -------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ------------ SCHEDULE 13G/A INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No. 4)* NORTH BAY BANCORP - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 65747710-5 - -------------------------------------------------------------------------------- (CUSIP Number) February 14, 2004 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1(b) |X| Rule 13d-1(c) | | Rule 13d-1(d) *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 the disclosures provided in a prior cover page. The information required in 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). Page 1 of 4 pages CUSIP No. 65747710-5 Page 2 of 4 Pages - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Houghton Gifford, M.D. SS# ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) | | - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 125,642 -------------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY -0- OWNED BY -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 125,642 WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 125,642 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.5% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! SCHEDULE 13G By Houghton Gifford, M.D. Stockholder, North Bay Bancorp Item 1(a) Name of Issuer: North Bay Bancorp Item 1(b) Address of Issuer's principal executive offices: 1190 Airport Road, Suite 101 Napa, California 94558 Item 2(a) Name of person filing: Houghton Gifford, M.D. Item 2(b) Address of residence: 3219 Vichy Avenue, Napa, California 94558 Item 2(c) Citizenship: United States of America Item 2(d) Title of class of securities: Common Stock Item 2(e) CUSIP No.: 65747710-5 Item 3: Not Applicable Item 4 Ownership: The following information is provided as of December 31, 2003 (a) Amount beneficially owned: 125,642 (b) Percent of class: 5.5% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 125,642 (ii) Shared power to vote or to direct the vote: -0- (iii) Sole power to dispose or to direct the disposition: 125,642 (iv) Shared power to dispose or to direct the disposition: -0- Item 5 Ownership of 5 percent or less of a class: Not Applicable Item 6 Ownership of more than 5 percent on behalf of another person: Not Applicable Item 7 Identification and Classification of the Subsidiary which acquired the security being reported on by the Parent Holding Company: Not Applicable Item 8 Identification and Classification of Members of the Group: Not Applicable Item 9 Notice of Dissolution of Group: Not Applicable Item 10 Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. Dated: February 23, 2004 /s/ Houghton Gifford, --------------------------- M.D. Houghton Gifford, M.D. -----END PRIVACY-ENHANCED MESSAGE-----