-----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, FT74hOXIoLekyVObha9XDyaLx79DFLw78XJp6TS4WEErTSrO1U4a9jpsFQPQKVu4 nOnPVwCAU8B0AcueMGVrSw== 0001209191-08-035415.txt : 20080605 0001209191-08-035415.hdr.sgml : 20080605 20080605163502 ACCESSION NUMBER: 0001209191-08-035415 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20080605 FILED AS OF DATE: 20080605 DATE AS OF CHANGE: 20080605 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: HARRINGTON WEST FINANCIAL GROUP INC/CA CENTRAL INDEX KEY: 0001063997 STANDARD INDUSTRIAL CLASSIFICATION: SAVINGS INSTITUTION, FEDERALLY CHARTERED [6035] IRS NUMBER: 481175170 BUSINESS ADDRESS: STREET 1: 610 ALAMO PINTADO RD CITY: SOLVANG STATE: CA ZIP: 93463 BUSINESS PHONE: 8056886644 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CERNY CRAIG J CENTRAL INDEX KEY: 0001022617 STATE OF INCORPORATION: IN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-50066 FILM NUMBER: 08883478 BUSINESS ADDRESS: STREET 1: 7300 COLLEGE BLVD STREET 2: STE 430 CITY: OVERLAND PARK STATE: KS ZIP: 47375 BUSINESS PHONE: 3179392131 MAIL ADDRESS: STREET 1: 7300 COLLEGE BLVD STREET 2: STE 430 CITY: OVERLAND PARK STATE: KS ZIP: 66210 4 1 doc4.xml FORM 4 SUBMISSION X0202 4 2008-06-05 0 0001063997 HARRINGTON WEST FINANCIAL GROUP INC/CA HWFG 0001022617 CERNY CRAIG J 14100 N. NORTHSIGHT BOULEVARD SCOTTSDALE AZ 85260 1 1 1 0 Chairman and CEO Common Stock 83400 I By Wife Common Stock 20510 I By Cerny Family Trust Common Stock 2008-06-05 4 P 0 500 5.00 A 539299 D Employee Stock Option 6.94 2008-07-21 Common Stock 25200 25200 D Employee Stock Option 6.94 2009-07-21 Common Stock 27000 27000 D Employee Stock Option 7.78 2012-01-09 Common Stock 9000 9000 D Employee Stock Option 13.68 2014-01-06 Common Stock 6000 6000 D Employee Stock Option 13.68 2014-01-06 Common Stock 6000 6000 D Employee Stock Option 18.18 2014-12-16 Common Stock 15000 15000 D Stock Option 16.80 2016-01-12 Common Stock 15000 15000 D Stock Option 17.32 2017-01-09 Common Stock 15000 15000 D Stock Option 10.77 2018-01-09 Common Stock 17500 17500 D On February 11, 2004, HWFG declared a 20% common stock dividend, payable to all holders of record on February 25, 2004. This number is split adjusted for that dividend. The option vested in four equal annual installments beginning on 7/22/99 and, therefore, is currently fully exercisable. The option vests in four equal annual installments beginning on 7/22/00. The option vests in four equal annual installments beginning on 1/9/03. The option vests in four equal annual installments beginning on 1/6/05 The option vests in four equal annual installments beginning on 2/24/05 The option vests in four equal annual installments beginning on 12/16/2005. The option vests in four equal annual installments beginning on 1/12/07. The option vests in four equal annual installments beginning on 01/09/2008. The option vests in four equal annual installments beginning on 01/09/2009. /s/ Craig J. Cerny 2008-06-05 -----END PRIVACY-ENHANCED MESSAGE-----