THIS DOCUMENT IS A COPY OF THE 10KSB FILED ON SEPTEMBER 29, 1999 PURSUANT TO A
RULE 201 TEMPORARY HARDSHIP EXEMPTION
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-KSB/A
(MARK ONE)
[X] ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the Fiscal Year Ended June 30, 1999
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
For the transition period from ________ to _________.
Commission File Number: 0-30002
RAVENSWOOD WINERY, INC.
(Exact name of small business as specified in its charter)
California 94-3026706
(State or other jurisdiction (I.R.S. Employer Identification No.)
incorporation or organization)
18701 Gehricke Road 95476
Sonoma, California (Zip Code)
(Address of principal executive offices)
Registrant's telephone number, including area code: (707) 938-1960
Securities registered pursuant to Section 12(b) of the Act:
Title of each class Title of each exchange on which registered
- - ------------------- ------------------------------------------
None
Securities registered pursuant to Section 12(g) of the Act:
Common Stock, no par value
Check whether the issuer (1) has filed all reports required to be filed by
Section 13 or 15(d) of the Securities Exchange Act of 1934 during the preceding
12 months (or for such shorter period that the registrant was required to file
such reports), and (2) has been subject to such filing requirements for the
past 90 days. Yes [X] No [ ].
Check if disclosure of delinquent filers pursuant to Item 405 of
Regulation S-K (section 229.405 of this chapter) is not contained herein, and
no disclosure will be contained, to the best of registrant's knowledge, in
definitive proxy or information statements incorporated by reference in Part
III of this Form 10-K or any amendment to this Form 10-KSB. [X].
State issuer's revenues for its most recent fiscal year. $23,729,787.
State the aggregate market value of the voting and non-voting common
equity held by non-affiliates computed by reference to the price at which the
common equity was sold, or the average bid and asked price of such common
equity, as of a specified date within the past 60 days. For purposes of the
foregoing calculation only, the issuer has included in the shares owned by
affiliates the beneficial ownership of common equity of officers and directors
of the registrant and members of their families, and such inclusion shall not
be construed as an admission that any such person is an affiliate for any other
purpose. $25,298,973.
As of September 5, 1999, there were 4,568,352 outstanding shares of Common
Stock.
DOCUMENTS INCORPORATED BY REFERENCE
Portions of the issuer's Proxy Statement related to the 1999 Annual
Meeting of Shareholders, to be filed subsequent to the date hereof--Part III
Transitional Small Business Disclosure Format (check one): Yes [ ] No [X]
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SIGNATURES
Pursuant to the requirements of Section 13 or 15(d) of the Securities
Exchange Act of 1934, as amended, the registrant has duly caused this amendment
to be signed on its behalf by the undersigned, thereunto duly authorized on
October 1, 1999.
RAVENSWOOD WINERY, INC.
By: /s/ Callie S. Konno
-----------------------------------------
Callie S. Konno, Chief Financial Officer,
Treasurer and Director (Principal Financial Officer)
