-----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, WLyRhoIPcmopZ2QpNvjm1PCkDU0yZ8z28TmEul6CrkJXhmZF5qN9mZnJJxH/4KC6 YrUH0zK1WcXvRJ5dDYp4xw== 0000840007-01-500040.txt : 20010911 0000840007-01-500040.hdr.sgml : 20010911 ACCESSION NUMBER: 0000840007-01-500040 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010831 FILED AS OF DATE: 20010910 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: REDWOOD EMPIRE BANCORP CENTRAL INDEX KEY: 0000840007 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 680166366 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10868 FILM NUMBER: 1734804 BUSINESS ADDRESS: STREET 1: 111 SANTA ROSA AVENUE STREET 2: PO BOX 402 CITY: SANTA ROSA STATE: CA ZIP: 95404-4905 BUSINESS PHONE: 7075734800 MAIL ADDRESS: STREET 1: 111 SANTA ROSA AVENUE CITY: SANTA ROSA STATE: CA ZIP: 95404-4905 COMPANY DATA: COMPANY CONFORMED NAME: REDWOOD EMPIRE BANCORP CENTRAL INDEX KEY: 0000840007 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] OTHER IRS NUMBER: 680166366 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 111 SANTA ROSA AVENUE STREET 2: PO BOX 402 CITY: SANTA ROSA STATE: CA ZIP: 95404-4905 BUSINESS PHONE: 7075734800 MAIL ADDRESS: STREET 1: 111 SANTA ROSA AVENUE CITY: SANTA ROSA STATE: CA ZIP: 95404-4905 4 1 fm4selwyn0801.txt FORM 4 FILING AUGUST 2001 --------------------------------------- OMB APPROVAL --------------------------------------- OMB Number 3235-0287 Expires: December 31, 2001 Estimated average burden Hours per response...0.5 --------------------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 [ ] Check this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* SELWYN PATRICIA L. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 6024 FREDERICKS ROAD - -------------------------------------------------------------------------------- (Street) SEBASTOPOL CA 95472 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol REDWOOD EMPIRE BANCORP (REBC) ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ###-##-#### ================================================================================ 4. State for Month/Year AUG/01 ================================================================================ 5. If Amendment, Date or Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ ] Officer (give title below) [ x ] Other (specify below) Subsidiary Director ================================================================================ 7. Individual or Joint/Group Filing (Check applicable line) [ x ] Form filed by one Reporting Person [ ] Form filed by more than one Reporting Person ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) action action or Disposed of (D) Securities ship of In- Date Code Beneficially Form: direct (Instr. 8) (Instr. 3, 4 and 5) Owned at Direct Bene- (Month/ End of (D) or ficial Day/ -------------------------------------------- Month Indirect Owner- Year) Code V Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. If the form is filed by more than one reporting person, see Instruction 4(b)(v). Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a current valid OMB Number. (Over) SEC 1474 (7-97) FORM 4 (contined) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 1. Title of 2. Conver- 3. Trans- 4. Trans- 5. Number of 6. Date 7. Title and 8. Price 9. Number 10. Owner- 11. Na- Derivative sion or action action Derivative Exer- Amount of of of ship ture Security Exercise Date Code Securities cisable Underlying Deriv- Deriv- Form of (Instr. 3) Price (Month/ (Instr. Acquired and Ex- Securities vative ative of In- of Day/ 8) (A) or piration (Instr. 3 Secur- Secur- Deri- direct Deriv- Year) Disposed Date and 4) ity ities vative Bene- ative (D)(Instr. (Month/ (Instr. Bene- Secu- cial Security 3, 4, and Day/ 5) ficially rity: Own- 5) Year) Owned Direct ership atEnd (D) or Instr. of Indi- 4) Month rect (I) (Instr. (Instr. 4) 4) ----------------------------- Amount -------------------- Date or Exer- Expir- Number Code V (A) (D) cis- ation of able Date Title Shares - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option Common (Right to Buy) $29.76 5/15/01 J* 7,000 6/20/02 5/14/11 Stock 7,000 - ------------------------------------------------------------------------------------------------------------------------------------ Stock Option Common (Right to Buy) $29.76 5/15/01 J* 500 5/15/02 5/14/11 Stock 500 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: * Reporting person was granted a stock option to acquire 7,000 shares with immediate vesting of one-half of the total number of shares (3,500) and the balance shall vest as to one-fourth (1/4) of the total remaining number of shares covered by this option on the one-year anniversary of the vesting start date. Each year thereafter for the next three (3) years, on such anniversary date the Optionee shall have the right to exercise the option to purchase up to an additional one-fourth (1/4) of the remaining number of shares initially covered. Commencing on the fifth anniversary Optionee shall have right to exercise an option to purchase up to 100% of the shares remaining. ** Reporting person was granted a stock option to acquire 500 shares that become exercisable as to one-fourth (1/4) of the total number of shares initially granted on the first anniversary date. Each anniversary date for the next three years, reporting person has the right to exercise an additional one-fourth (1/4) of the shares initially granted. Commencing on the fifth anniversary date, all shares remaining from the initial grant become fully vested. /s/ Patricia L. Selwyn 9/10/01 - ----------------------------------------------------- --------- ** Signature of Reporting Person Date ** Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 7811(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a current valid OMB Number. Page 2 SEC 1474 (7-97) -----END PRIVACY-ENHANCED MESSAGE-----