4 1 fm4jeb.txt FORM 4 FILING PERIOD ENDED 10/31/01. --------------------------------------- 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). (Print or Type Responses) ================================================================================ 1. Name and Address of Reporting Person* BECKWITH JAMES E. -------------------------------------------------------------------------------- (Last) (First) (Middle) 2734 E. EL MACERO DRIVE -------------------------------------------------------------------------------- (Street) EL MACERO CA 95618 -------------------------------------------------------------------------------- (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 10/01 ================================================================================ 5. If Amendment, Date or Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ ] Director [ ] 10% Owner [ x ] Officer (give title below) [ ] Other (specify below) EVP/COO (REB & SUBSIDIARY) ================================================================================ 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). (Over) SEC 1474 (3-99) 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 of Date and 4) ity ities vative Bene- ative (D)(Instr. (Month/ (Instr. Bene- Secu- cial Security 3, 4, and Day/ 5) ficially rities Own- 5) Year) Owned Benefi- ership at End cially Instr. of Owned 4) Month at End (Instr. of Month 4) (Instr. ----------------------------- 4) Amount -------------------- Date or Exer- Expir- Number Code V (A) (D) cis- ation of able Date Title Shares ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ Right to Buy Stock Option (3 for 2 Stk Split Adjust- Common ment) 5.5 10/19/01 J - A - 6/1/99 6/1/05 Stock 2,500 ------------------------------------------------------------------------------------------------------------------------------------ Right to Buy Stock Option (3 for 2 Stk Split Adjust- Common ment) 6.625 10/19/01 J - A - 4/25/00 4/25/06 Stock 7,500 ------------------------------------------------------------------------------------------------------------------------------------ Right to Buy Stock Option (3 for 2 Stk Split Adjust- Common ment) 5.5 10/19/01 J - A - 6/1/02 6/1/08 Stock 3,000 ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------ ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: Optionee was originally granted 5,000 stock option shares at $8.25 on 6/1/95. An additional 2,500 option shares have been adjusted to reflect a 3 for 2 stock split on 10/19/01. Optionee was originally granted 15,000 stock option shares at $9.9375 on 4/25/96. An additional 7,500 option shares have been adjusted to reflect a 3 for 2 stock split on 10/19/01. Optionee was originally granted 6,000 stock option shares at $20.50 on 6/1/98. An additional 3,000 option shares have been adjusted to reflect a 3 for 2 stock split on 10/19/01. /s/ James E. Beckwith 11/7/01 ----------------------------------------------------- --------- ** Signature of Reporting Person Date Reminder: Report on a separate line for each clas of securities beneficially owned directly or indirectly. * If the form is filed by more than one reporting person, see Instruction 4(b)(v). ** 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. Page 2 SEC 1474 (7-97)