-----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, FSOrUOu8cXzQs01EqnwUj9pTwZDLHZEvvd9paoBI5FldFrYxkQiNzCJKgdBveNyI bDGWWI1qwVtjTp9eO2QHmA== 0001120427-02-000003.txt : 20020415 0001120427-02-000003.hdr.sgml : 20020415 ACCESSION NUMBER: 0001120427-02-000003 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020327 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NICHOLAS ROBERT J CENTRAL INDEX KEY: 0001127770 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O SONOMA VALLEY BANCORP STREET 2: 202 WEST NAPA STREET CITY: SONOMA STATE: CA ZIP: 95476 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SONOMA VALLEY BANCORP CENTRAL INDEX KEY: 0001120427 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 680454068 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-61937 FILM NUMBER: 02587809 BUSINESS ADDRESS: STREET 1: C/O SONOMA VALLEY BANCORP STREET 2: 202 WEST NAPA STREET CITY: SONOMA STATE: CA ZIP: 95476 SC 13G 1 nich-schedg.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* SONOMA VALLEY BANCORP --------------------- (Name of Issuer) Common Stock, No Par Value -------------------------- (Title of Class of Securities) 835592 106 ------------ (CUSIP Number) March 1, 2002 --------------- (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 5 Page 2 of 5 CUSIP No. 835592 106 1. NAME OF REPORTING PERSON Robert J. Nicholas S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* a |_| b |_| 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 69,997 SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH --------------------------------- 6. SHARED VOTING POWER 0 --------------------------------- 7. SOLE DISPOSITIVE POWER 69,997 --------------------------------- 8. SHARED DISPOSITIVE POWER 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 69,997 - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.2% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 5 SCHEDULE 13G Item 1. Name and Address of Issuer (a) Sonoma Valley Bancorp (b) 202 West Napa Street Sonoma, California 95476 Item 2. Name, Address and Citizenship of Person Filing; Class of Securities and CUSIP Number (a) Robert J. Nicholas (b) 202 West Napa Street Sonoma, California 95476 (c) USA (d) Common Stock (e) 835592 106 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) |_| Broker or Dealer registered under Section 15 of the Act (b) |_| Bank is defined in Section 3(a)(6) of the Act (c) |_| Insurance Company as defined in Section 3(a)(19) of the Act (d) |_| Investment Company registered under Section 8 of the Investment Company Act (e) |_| Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940 (f) |_| Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see ss.240.13d-1(b)(1)(ii)(F) (g) |_| Parent Holding Company, in accordance withss.240.13d-1(b) (ii)(G) (Note: See Item 7) (h) |_| Group, in accordance withss.240.13d-1(b)(1)(ii)(H) Page 4 of 5 Item 4. Ownership (a) Amount Beneficially Owned: 69,997(1) (b) Percent of Class: 5.2% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 69,997(1) (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 69,997(1) (iv) shared power to dispose or to direct the disposition of: 0 - ---------- (1) Includes options to purchase 11,204 shares of Common Stock exercisable within 60 days of March 20, 2002. Item 5. Ownership of Five Percent or Less of a Class If this Statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following: |_|. Item 6. Ownership of More than Five 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 transactions having that purposes or effect. Page 5 of 5 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. March 29, 2002 /s/Robert J. Nicholas Date: _________________ _________________________________ Robert J. Nicholas, An Individual -----END PRIVACY-ENHANCED MESSAGE-----