-----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, OwAwDVHL+qvLMpDnvQLdg7ALE1UnNyHV26fsPqKiE5KXM4TpUhFA5XGnz1isuxaK NBMYHfanIYKMLTnIDGUPqg== 0001001277-07-000087.txt : 20070214 0001001277-07-000087.hdr.sgml : 20070214 20070214162013 ACCESSION NUMBER: 0001001277-07-000087 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070214 DATE AS OF CHANGE: 20070214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NICHOLAS ROBERT J CENTRAL INDEX KEY: 0001127770 FILING VALUES: FORM TYPE: SC 13G/A 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-61937 FILM NUMBER: 07620804 BUSINESS ADDRESS: STREET 1: C/O SONOMA VALLEY BANCORP STREET 2: 202 WEST NAPA STREET CITY: SONOMA STATE: CA ZIP: 95476 BUSINESS PHONE: 9164420400 MAIL ADDRESS: STREET 1: 202 WEST NAPA STREET CITY: SONOMA STATE: CA ZIP: 95476 SC 13G/A 1 amend-021407.htm

 

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. 4)*

 

SONOMA VALLEY BANCORP

(Name of Issuer)

 

Common Stock, No Par Value

(Title of Class of Securities)

 

835592 10 6

(CUSIP Number)

 

February 14, 2007

(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).

 

 

 


 

 

CUSIP No. 835592 10 6

 

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

 

USA

  

 

 

NUMBER OF

SHARES

BENEFICIALLY

OWNED

BY EACH

REPORTING

PERSON WITH

5.           SOLE VOTING POWER

 

111,837

6.           SHARED VOTING POWER

 

0

7.           SOLE DISPOSITIVE POWER

 

111,837

8.           SHARED DISPOSITIVE POWER

 

0

 

9.

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

111,837

10.

CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [  ]

 

 

11.

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW [  ]

 

4.95%

12.

TYPE OF REPORTING PERSON*

 

IN

                 

                                                *SEE INSTRUCTION BEFORE FILLING OUT!

                                                                                                        

 

 

 


 

 

 

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 10 6

 

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)

o

Broker or Dealer registered under Section 15 of the Act

 

 

 

(b)

o

Bank is defined in Section 3(a)(6) of the Act

 

 

 

(c)

o

Insurance Company as defined in Section 3(a)(19) of the Act

 

 

 

(d)

o

Investment Company registered under Section 8 of the Investment Company Act

 

 

 

(e)

o

Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940

 

 

 

(f)

o

Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see §240.13d-1(b)(1)(ii)(F)

 

 

 


 

 

 

(g)

o

Parent Holding Company, in accordance with §240.13d-1(b)(ii)(G) (Note: See Item 7)

 

 

 

(h)

o

Group, in accordance with §240.13d-1(b)(1)(ii)(H)

 

Item 4.

Ownership

 

 

(a)

Amount Beneficially Owned:

111,837(1)

 

 

(b)

Percent of Class:

4.95%

 

 

(c)

Number of shares as to which such person has:

 

 

(i)

sole power to vote or to direct the vote:

111,837(1)

 

(ii)

shared power to vote or to direct the vote:

0

 

(iii)

sole power to dispose or to direct the disposition of:

111,837(1)

 

(iv)

shared power to dispose or to direct the disposition of:

0

__________

(1)

Includes options to purchase 4,633 shares of Common Stock exercisable within 60 days of December 31, 2006.

 

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: [X]

 

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.

 

 

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.

 

Date: February 13, 2007

/s/ Robert J. Nicholas

Robert J. Nicholas, an Individual

 

 

 

 

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