SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
SONOMA WEST HOLDINGS INC
------------------------
(Name of Issuer)
COM
---
(Title of Class of Securities)
83567109
--------
(CUSIP Number)
PETER B SCHULZE
PO BOX 1319
VAN TX, 75790
(903) 963-3139
--------------
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
6/24/99
-------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following
box [ ]
NOTE: Schedules filed in paper format shall include the signed original and
five copies of the Schedule, , including all exhibits. See Rule 13d-7 for
other parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
<PAGE>
SCHEDULE 13D
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CUSIP NO. 83567109 PAGE 2 OF 6 PAGES
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1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
PETER B SCHULZE, KAREN G SCHULZE
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(SEE INSTRUCTIONS)
(b) [_]
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3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
PF (PRIVATE FUNDS), OO (OTHER- CHARITABLE TRUST)
--------------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 3(d) or 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
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7 SOLE VOTING POWER
NUMBER OF PETER B SCHULZE 1,800
--------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY PETER B SCHULZE 119,300
--------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON PETER B SCHULZE 1,800
--------------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
PETER B SCHULZE 119,300
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
121,100
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.0%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN (INDIVIDUAL)
--------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
------------------------ -------------------------------------
CUSIP NO. 83567109 PAGE 3 OF 6 PAGES
------------------------ -------------------------------------
--------------------------------------------------------------------------------
1 NAMES OF REPORTING PERSONS.
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY).
PETER B SCHULZE, KAREN G SCHULZE
--------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_]
(SEE INSTRUCTIONS) (b) [_]
--------------------------------------------------------------------------------
3 SEC USE ONLY
--------------------------------------------------------------------------------
4 SOURCE OF FUNDS (SEE INSTRUCTIONS)
PF (PRIVATE FUNDS), OO (OTHER- CHARITABLE TRUST)
--------------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 3(d) or 2(e) [_]
--------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF
--------------------------------------------------------------
SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY KAREN G SCHULZE 118,400
--------------------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
REPORTING
PERSON
--------------------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
KAREN G SCHULZE 118,400
--------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
118,400
--------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) [_]
--------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
7.8%
--------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)
IN (INDIVIDUAL)
--------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
------------------------ -------------------------------------
CUSIP NO. 83567109 PAGE 4 OF 6 PAGES
------------------------ -------------------------------------
ITEM 1. SECURITY AND ISSUER
-------------------------------
CLASS OF SECURITIES: COMMON STOCK
NAME & ADDRESS OF PRINCIPAL EXECUTIVE OFFICES OF ISSUER:
SONOMA WEST HOLDINGS INC
1448 INDUSTRIAL AVENUE
SEBASTOPOL, CA 95472
ITEM 2. IDENTITY AND BACKGROUND
-----------------------------------
(a) Name: PETER B SCHULZE
(b) Residence or business address: PO BOX 1319, VAN TX 75790
(c) Present principal occupation or employment and the name, principal
business and address of any corporation or other organization in which such
employment is conducted: PRIVATE INVESTOR
(d) Whether or not, during the last five years, such person has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) and, if so, give the dates, nature of conviction, name and
location of court, and penalty imposed, or other disposition of the case:
NO
(e) Whether or not, during the last five years, such person was a party
to a civil proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding was or is subject to a judgment,
decree or final order enjoining future violations of, or prohibiting or
mandating activities subject to, federal or state securities laws or finding any
violation with respect to such laws; and, if so, identify and describe such
proceedings and summarize the terms of such judgment, decree or final order;
and: NO
(f) Citizenship: USA
(a) Name: KAREN G SCHULZE
(b) Residence or business address: PO BOX 1319, VAN TX 75790
(c) Present principal occupation or employment and the name, principal
business and address of any corporation or other organization in which such
employment is conducted: HOMEMAKER
(d) Whether or not, during the last five years, such person has been
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) and, if so, give the dates, nature of conviction, name and
location of court, and penalty imposed, or other disposition of the case:
NO
(e) Whether or not, during the last five years, such person was a party
to a civil proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding was or is subject to a judgment,
decree or final order enjoining future violations of, or prohibiting or
mandating activities subject to, federal or state securities laws or finding any
violation with respect to such laws; and, if so, identify and describe such
proceedings and summarize the terms of such judgment, decree or final order;
and: NO
(f) Citizenship: USA
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
------------------------------------------------------------------
SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
SECURITIES PURCHASED WITH PRIVATE FUNDS
TOTAL BASIS = $984,399.35 (121,100 SHARES)
ITEM 4. PURPOSE OF THE TRANSACTION
---------------------------------------
PURPOSE OF TRANSACTION.
LONG-TERM EQUITY INVESTMENT
<PAGE>
SCHEDULE 13D
------------------------ -------------------------------------
CUSIP NO. 83567109 PAGE 5 OF 6 PAGES
------------------------ -------------------------------------
ITEM 5. INTEREST IN SECURITIES AND THE ISSUER
----------------------------------------------------
INTEREST IN SECURITIES OF THE ISSUER.
PETER B SCHULZE
BENEFICIAL OWNERSHIP OF 121,100 SHARES (8.0% OF COMMON STOCK)
SHARED VOTING POWER 119,300 SHARES (7.8% OF COMMON STOCK)
SHARED DISPOSITIVE POWER 119,300 SHARES (7.8% OF COMMON STOCK)
SOLE VOTING POWER 1,800 SHARES (.12% OF COMMON STOCK)
KAREN G SCHULZE
BENEFICIAL OWNERSHIP OF 118,400 SHARES (7.8% OF COMMON STOCK)
SHARED VOTING POWER 118,400 SHARES (7.8% OF COMMON STOCK)
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
--------------------------------------------------------------------------------
TO SECURITIES OF THE ISSUER
-------------------------------
CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO
SECURITIES OF THE ISSUER.
NONE
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
---------------------------------------------------
ATTACHMENT A- SCHEDULE OF TRANSACTIONS
<TABLE>
<CAPTION>
ATTACHMENT A
SONOMA WEST HOLDINGS INC
SWHI
CUSSIP NO. 83567109
ACCOUNT Transaction Date Shares Purchased Cumulative Total % of Class
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
<S> <C> <C> <C> <C>
Peter B. & Karen G. Schulze, JTWROS 4/19/1989 2,000 2,000 0.1%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 4/25/1989 2,000 4,000 0.3%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/30/1989 4,000 8,000 0.5%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 7/10/1989 8,000 16,000 1.1%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 1/15/1990 2,800 18,800 1.2%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 1/26/1990 1,000 19,800 1.3%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 12/22/1992 2,000 21,800 1.4%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 1/5/1993 1,500 23,300 1.5%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 11/26/1993 1,000 24,300 1.6%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Living Waters Trust, Peter B. & Karen G. Schulze Trustees 12/15/1993 2,200 26,500 1.7%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. Schulze, Trustee for Gabriel D. Schulze 3/11/1994 900 27,400 1.8%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. Schulze, Custodian for Elais R. Schulze UGMA 3/11/1994 900 28,300 1.9%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. Schulze, Custodian for Isaiah P. Schulze UGMA 3/11/1994 900 29,200 1.9%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 3/15/1994 3,000 32,200 2.1%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 3/17/1994 2,000 34,200 2.2%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Living Waters Trust, Peter B. & Karen G. Schulze Trustees 4/28/1994 1,000 35,200 2.3%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Living Waters Trust, Peter B. & Karen G. Schulze Trustees 4/29/1994 1,100 36,300 2.4%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Living Waters Trust, Peter B. & Karen G. Schulze Trustees 5/3/1994 500 36,800 2.4%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 5/6/1994 1,400 38,200 2.5%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 7/6/1994 3,000 41,200 2.7%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 7/12/1994 3,000 44,200 2.9%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 7/28/1994 3,000 47,200 3.1%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 2/14/1995 5,000 52,200 3.4%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/2/1995 2,500 54,700 3.6%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/2/1995 2,500 57,200 3.8%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/7/1995 2,500 59,700 3.9%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/12/1995 2,500 62,200 4.1%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/22/1995 1,500 63,700 4.2%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Living Waters Trust, Peter B. & Karen G. Schulze Trustees 9/14/1998 400 64,100 4.2%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 10/19/1998 2,000 66,100 4.3%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 10/19/1998 2,000 68,100 4.5%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
PETER B. & KAREN G. SCHULZE, JTWROS 6/24/1999 20,000 88,100 5.8%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/24/1999 500 88,600 5.8%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Living Waters Trust, Peter B. & Karen G. Schulze Trustees 6/25/1999 3,000 91,600 6.0%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/25/1999 7,000 98,600 6.5%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/25/1999 2,500 101,100 6.6%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/25/1999 7,000 108,100 7.1%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Living Waters Trust, Peter B. & Karen G. Schulze Trustees 6/28/1999 7,000 115,100 7.6%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 6/28/1999 3,000 118,100 7.8%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
Peter B. & Karen G. Schulze, JTWROS 8/9/1999 3,000 121,100 8.0%
--------------------------------------------------------- ---------------- ---------------- ---------------- -----------
</TABLE>
<PAGE>
SCHEDULE 13D
------------------------ -------------------------------------
CUSIP NO. 83567109 PAGE 6 OF 6 PAGES
------------------------ -------------------------------------
SIGNATURE
After reasonable inquiry and to the best of my knowledge and belief, I
certify that the information set forth in this statement is true, complete and
correct.
By: /s/ PETER B. SCHULZE
----------------------------------
Name: PETER B. SCHULZE
Date: 11/22/2000
By: /s/ KAREN G. SCHULZE
----------------------------------
Name: KAREN G. SCHULZE
Date: 11/22/2000
<PAGE>
