X0202 5 2006-12-31 0 0 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 2006-12-29 5 G 0 6000 17.25 D 473588 D Common Stock 89400 I By wife Common Stock 14058 I By Cerny Family Trust Employee Stock Option 5.69 2007-07-17 Common Stock 23400 23400 D Employee Stock Option 6.94 2008-07-22 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 The option vested in four equal annual installments beginning on 7/17/98 and, therefore, is currently fully exercisable. 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 and, therefore, is currently fully exercisable. The option vests in four equal annual installments beginning on 1/9/03. The option vests in four equal annual installments beginning on 01/06/05. 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. /s/ Craig J. Cerny 2007-01-08