4/A//SEC Filing
SONOMAWEST HOLDINGS INC 4/A
Accession 0001144204-11-029718
CIK 0000102588operating
Filed
May 15, 8:00 PM ET
Accepted
May 16, 1:40 PM ET
Size
8.3 KB
Accession
0001144204-11-029718
Insider Transaction Report
Form 4/AAmended
Transactions
- Other
Common Stock
2011-05-06$10.05/sh+61,801$621,100→ 1,075,228 total - Other
Common Stock
2011-05-02$10.05/sh+411,074$4,131,294→ 1,013,427 total
Footnotes (2)
- [F1]On April 1, 2011, the Reporting Person 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. The Reporting Person provided a subsequent offering period, which commenced on May 2, 2011 and which expired at 5:00 p.m., New York City time, on May 6, 2011. On May 13, 2011, the depositary for the Offer informed the Reporting Person that the depositary had overstated the aggregate number of Shares tendered in the initial offering period by a total of 50 Shares. This amendment is filed to reflect the correct number of Shares accepted by the Reporting Person on May 2, 2011 following the initial offering period and the correct total number of Shares beneficially owned by the Reporting Person following the expiration of the subsequent offering period.
- [F2]In connection with the Offer, the Reporting Person's form of beneficial ownership of the 602,353 Shares subject to those certain Contribution and Subscription Agreements entered into by and between the Reporting Person and each of Craig R. Stapleton, Dorothy W. Stapleton, Walker R. Stapleton and Wendy S. Reyes, Trustee of Separate Property Trust, on February 18, 2011 (the "Contribution Agreements"), changed from indirect to direct. Pursuant to the Contribution Agreements, Craig R. Stapleton, Dorothy W. Stapleton, Walker R. Stapleton and Wendy S. Reyes, Trustee of Separate Property Trust, acquired approximately 44%, 19%, 21% and 16%, respectively, of the equity interests of the Reporting Person. Accordingly, Craig R. Stapleton, Dorothy W. Stapleton, Walker R. Stapleton and Wendy S. Reyes, Trustee of Separate Property Trust, have a pecuniary interest in and indirectly beneficially own approximately 473,100, 204,293, 225,798 and 172,037 Shares, respectively.
Documents
Issuer
SONOMAWEST HOLDINGS INC
CIK 0000102588
Entity typeoperating
IncorporatedDE
Related Parties
1- filerCIK 0000102588
Filing Metadata
- Form type
- 4/A
- Filed
- May 15, 8:00 PM ET
- Accepted
- May 16, 1:40 PM ET
- Size
- 8.3 KB