-----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, BEP4/UGrZ486oQ3Zk+vR4xX3feAoU8eTX/uAWoUbDZJvZGSfaOy4DLO5mT27wcvc nJI8D9OIKaGJEV52AG+55g== 0001266454-08-000160.txt : 20080215 0001266454-08-000160.hdr.sgml : 20080215 20080215161700 ACCESSION NUMBER: 0001266454-08-000160 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080215 DATE AS OF CHANGE: 20080215 GROUP MEMBERS: W.R. HAMBRECHT + CO., LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENITOPE CORP CENTRAL INDEX KEY: 0001028358 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 770436313 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-79329 FILM NUMBER: 08622924 BUSINESS ADDRESS: STREET 1: 6900 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555-3651 BUSINESS PHONE: (510) 284-3000 MAIL ADDRESS: STREET 1: 6900 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555-3651 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HAMBRECHT WILLIAM R CENTRAL INDEX KEY: 0001031789 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O WR HAMBRECHT & CO LLC STREET 2: 539 BRYANT STREET, STE. 100 CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 4155518600 MAIL ADDRESS: STREET 1: C/O ADOBE SUSTEMS INC STREET 2: 345 PARK AVENUE P O BOX 2704 CITY: SAN JOSE STATE: CA ZIP: 95110-2704 SC 13G 1 hambrecht_13g-genitope.txt ------------------------------- OMB APPROVAL ------------------------------- OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response ......10.4 ------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ___)* Genitope Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 37229P507 - -------------------------------------------------------------------------------- (CUSIP Number) January 31, 2007 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) * 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 the disclosures provided in a prior cover page. The information required in 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). (Continued on following page(s)) Page 1 of 7 Pages - --------------------------------- CUSIP No. 37229P507 - --------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) William R. Hambrecht - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,460,000 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 1,100,000 REPORTING -------------------------------------------------- PERSON WITH: 7 SOLE DISPOSITIVE POWER 1,460,000 -------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,100,000 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,560,000(1) - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) Not Applicable [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6%(1) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - -------------------------------------------------------------------------------- (1) The percent ownership calculated is based upon an aggregate of 42,750,000 shares outstanding as of February 15, 2008. Page 2 of 7 Pages - --------------------------------- CUSIP No. 37229P507 - --------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) W.R. Hambrecht + Co., LLC , IRS TAX ID: 943289837 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [X] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,100,000 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH -0- REPORTING -------------------------------------------------- PERSON WITH: 7 SOLE DISPOSITIVE POWER 1,100,000 -------------------------------------------------- 8 SHARED DISPOSITIVE POWER -0- - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,100,000 - -------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.6% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) BD - -------------------------------------------------------------------------------- Page 3 of 7 Pages - --------------------------------- CUSIP No. 37229P507 - --------------------------------- Item 1(a). Name of Issuer: - ---------- --------------- Genitope Corporation Item 1(b). Address of Issuer's Principal Executive Offices: - ---------- ------------------------------------------------ 6900 Dumbarton Cr. Fremont, CA 94555-3651 Item 2(a). Name of Person Filing: - ---------- ---------------------- The persons filing this Schedule 13G are: (i) William R. Hambrecht Item 2(b). Address of Principal Business Office or, if none, Residence: - ---------- ------------------------------------------------------------ (i)- 2500 Steiner Street (ii) San Francisco, California 94115 Item 2(c). Citizenship: - ---------- ------------ (i) USA (ii) Item 2(d). Title of Class of Securities: - ---------- ----------------------------- Common Stock Item 2(e). CUSIP Number: - ---------- ------------- 37229P507 Page 4 of 7 Pages - --------------------------------- CUSIP No. 37229P507 - --------------------------------- Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) - ------- ------------------------------------------------------------------ or (c), check whether the person filing is a: --------------------------------------------- [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). [ ] An investment adviser in accordance with section 240.13d-1(b)(1)(ii)(E). [ ] An employee benefit plan or endowment fund in accordance with section 240.13d-1(b)(1)(ii)(F). [ ] A parent holding company or control person in accordance with section 240.13d-1(b)(1)(ii)(G). [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); [ ] Group, in accordance with section 240.13d-1(b)(1)(ii)(J). Item 4. Ownership - ------- --------- William R. Hambrecht -------------------- (a) Amount Beneficially Owned: 2,560,000 (b) Percent of Class: 6% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,460,000 (ii) shared power to vote or to direct the vote: 1,100,000 (iii) sole power to dispose or to direct the disposition of: 1,460,000 (iv) shared power to dispose or to direct the disposition of: 1,100,000 Page 5 of 7 Pages - --------------------------------- CUSIP No. 37229P507 - --------------------------------- Item 5. Ownership of Five Percent or Less of a Class. - ------- --------------------------------------------- N/A Item 6. Ownership of More than Five Percent on Behalf of Another Person. - ------- ---------------------------------------------------------------- N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the - ------- ---------------------------------------------------------------------- Security Being Reported on By the Parent Holding Company. --------------------------------------------------------- N/A Item 8. Identification and Classification of Members of the Group. - ------- ---------------------------------------------------------- Attachment of Exhibit identifying W.R. Hambrecht Item 9. Notice of Dissolution of Group. - ------- ------------------------------- N/A Item 10. Certification. - -------- -------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 6 of 7 Pages - --------------------------------- CUSIP No. 37229P507 - --------------------------------- Exhibits. --------- 1. Identification and Classification of Members of the Group W.R. Hambrecht + Co, LLC is a registered broker-dealer, pursuant to the Securities Exchange Act of 1934 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. Date: February 15, 2008 By: /s/ William R. Hambrecht -------------------------------- William R. Hambrecht By: /s/ Jonathan Fayman -------------------------------- Jonathan Fayman Chief Financial Officer W.R. Hambrecht + Co., LLC Page 7 of 7 Pages -----END PRIVACY-ENHANCED MESSAGE-----