-----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, AJOeBm7p2pK0hpV1C7gPqk0xJbPzVPCyJhI3k4m00DpUmUQp/zJ7GwSGg0RMIz+C vZ6z5fCsodXVHqGAMTRv/Q== 0000899140-09-000864.txt : 20090504 0000899140-09-000864.hdr.sgml : 20090504 20090504171814 ACCESSION NUMBER: 0000899140-09-000864 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090430 FILED AS OF DATE: 20090504 DATE AS OF CHANGE: 20090504 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: NADER TAVAKOLI CENTRAL INDEX KEY: 0001266000 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31635 FILM NUMBER: 09794420 MAIL ADDRESS: STREET 1: 551 FIFTH AVE 334TH FL CITY: NEW YORK STATE: NY ZIP: 10176 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENDWAVE CORP CENTRAL INDEX KEY: 0001118941 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 954333817 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 130 BAYTECH DRIVE CITY: SAN JOSE STATE: CA ZIP: 95134 BUSINESS PHONE: (408)522-3100 MAIL ADDRESS: STREET 1: 130 BAYTECH DRIVE CITY: SAN JOSE STATE: CA ZIP: 95134 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EagleRock Capital Management, L.L.C. CENTRAL INDEX KEY: 0001245844 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31635 FILM NUMBER: 09794421 BUSINESS ADDRESS: STREET 1: 551 FIFTH AVENUE 34TH FL CITY: NEW YORK STATE: NY ZIP: 10176 BUSINESS PHONE: 2126925412 MAIL ADDRESS: STREET 1: 551 FIFTH AVENUE 34TH FL CITY: NEW YORK STATE: NY ZIP: 10176 FORMER NAME: FORMER CONFORMED NAME: EAGLEROCK CAPIAL MANAGEMENT LLC DATE OF NAME CHANGE: 20030624 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: EagleRock Institutional Partners, LP CENTRAL INDEX KEY: 0001423074 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-31635 FILM NUMBER: 09794419 BUSINESS ADDRESS: STREET 1: 24 WEST 40TH STREET STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 BUSINESS PHONE: 212-278-2140 MAIL ADDRESS: STREET 1: 24 WEST 40TH STREET STREET 2: 10TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10018 4 1 ercmllc_enwv4-050409ex.xml X0303 4 2009-04-30 0 0001118941 ENDWAVE CORP ENWV 0001245844 EagleRock Capital Management, L.L.C. 24 WEST 40TH ST., 10TH FLOOR NEW YORK NY 10018 0 0 1 0 0001266000 NADER TAVAKOLI 24 WEST 40TH ST., 10TH FLOOR NEW YORK NY 10018 0 0 1 0 0001423074 EagleRock Institutional Partners, LP 24 WEST 40TH ST. 10TH FLOOR NEW YORK NY 10018 0 0 1 0 Common Stock 2009-04-30 4 S 0 16163 2.9042 D 1217682 I See footnote The sale prices ranged from $2.76 to $3.03, with a weighted average price of $2.9042. The undersigned reporting persons hereby undertake to provide upon the request of the Commission staff, the issuer or a security holder of the issues, full information regarding the number of shares sold at each price. The securities disclosed in this Form 4 are directly owned by certain funds, including EagleRock Institutional Partners, LP (the "Funds"), of which EagleRock Capital Management, LLC ("EagleRock") is the investment manager. Mr. Nader Tavakoli is the managing member and principal of EagleRock. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), EagleRock and Mr. Tavakoli may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. EagleRock, Mr. Tavakoli and EagleRock Institutional Partners, LP hereby disclaim beneficial ownership of all securities reported herein, except to the extent of any pecuniary interest therein. Exhibit List Exhibit 99.1 Joint Filer Information Nader Tavakoli, Managing Member of EagleRock Capital Management, LLC 2009-05-04 Nader Tavakoli 2009-05-04 Nader Tavakoli, Managing Member of EagleRock Institutional GP, LLC, general partner of EagleRock Institutional Partners, LP 2009-05-04 EX-99 2 e4879990.txt EXHIBIT 99.1 JOINT FILERS INFORMATION Exhibit 99.1 Attachment to Form 4 JOINT FILER INFORMATION Name and Address: Nader Tavakoli 24 West 40th St., 10th Floor New York, NY 10018 Date of First Event Requiring Statement: 04/30/09 Issuer and Ticker Symbol: Endwave Corporation (ENWV) Relationship to Issuer: 10% Owner Designated Filer: EagleRock Capital Management, LLC TABLE I INFORMATION Title of Security: Common Stock Date of First Transaction 04/30/09 Transaction Code S Amount of Securities and Price 16,163 at $2.9042 (1) Securities Acquired (A) or Disposed of (D) D Amount of Securities Beneficially Owned Following Reported Transactions 1,217,682 Ownership Form: I Nature of Indirect Beneficial Ownership: (2) Attachment to Form 4 JOINT FILER INFORMATION Name and Address: EagleRock Institutional Partners, LP 24 West 40th St., 10th Floor New York, NY 10018 Date of Event Requiring Statement: 04/30/09 Issuer and Ticker Symbol: Endwave Corporation (ENWV) Relationship to Issuer: 10% Owner Designated Filer: EagleRock Capital Management, LLC TABLE I INFORMATION Title of Security: Common Stock Date of First Transaction 04/30/09 Transaction Code S Amount of Securities and Price 12,931 at $2.9042 (1) Securities Acquired (A) or Disposed of (D) D Amount of Securities Beneficially Owned Following Reported Transactions 1,003,346 Ownership Form: D Nature of Indirect Beneficial Ownership: n/a -----END PRIVACY-ENHANCED MESSAGE-----