-----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, HL3Fbe84S47VHDOjQUh/kR/7BMcQikiouI6fY59FwTpV4nbr4cBxnpuwiVbDzHjI xWvWmfopxmopi40Sfd+Q4A== 0000840007-01-500064.txt : 20020410 0000840007-01-500064.hdr.sgml : 20020410 ACCESSION NUMBER: 0000840007-01-500064 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011031 FILED AS OF DATE: 20011108 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: 1778370 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 fm4handley1001.txt FORM 4 OCT. 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). (Print or Type Responses) ================================================================================ 1. Name and Address of Reporting Person* HANDLEY MARGIE L. - -------------------------------------------------------------------------------- (Last) (First) (Middle) 42 MADRONE STREET - -------------------------------------------------------------------------------- (Street) WILLITS CA 95490 - -------------------------------------------------------------------------------- (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 [ ] 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) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock (3 for 2 Stock Split) 10/19/01 J - 2,159 A - 6,478 D - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock (3 for 2 Stock Split) 10/19/01 J - 1,000 A - 3,000 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
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 Common Split) $13.667 10/19/01 J - A - 6/1/02 6/1/08 Stock 1,500 - ------------------------------------------------------------------------------------------------------------------------------------ Right to Buy Stock Option (3 for 2 Common Split) $19.84 10/19/01 J - A - 5/15/02 5/14/11 Stock 250 - ------------------------------------------------------------------------------------------------------------------------------------ Right to Buy Stock Option (3 for 2 Common Split) $19.84 10/19/01 J - A - 6/20/05 6/19/11 Stock 1,750 - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: Optionee was originally granted 3,000 stock option shares at $20.50 on 6/1/98. An additional 1,500 shares have been adjusted to reflect a 3 for 2 stock split on 10/19/01. Optionee was originally granted 500 stock option shares at $29.76 on 5/15/01. An additional 250 shares have been adjusted to reflect a 3 for 2 stock split on 10/19/01. Optionee was originally granted 3,500 stock option shares at $29.76 on 5/15/01. An additional 1,750 option shares have been adjusted to reflect a 3 for 2 stock split on 10/19/01. /s/ Margie L. Handley 11/7/01 - ------------------------------------------- --------- ** Signature of Reporting Person Date Reminder: Repoert on a separate line for each class of securities beneficially owned directly or indirectly. * If 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 (3-99) -----END PRIVACY-ENHANCED MESSAGE-----