-----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, QomsgUap6dJZPTDMWm4uC9UNd15SAXB8GvoLGCVPHD9+oaHU+YfoLkV7jm5/uGZ9 jV6eFJKQDNdM5PUhWcj55w== 0000930661-02-000151.txt : 20020414 0000930661-02-000151.hdr.sgml : 20020414 ACCESSION NUMBER: 0000930661-02-000151 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020124 GROUP MEMBERS: SHAWN KIMEL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ENCAD INC CENTRAL INDEX KEY: 0000913599 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 953672088 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-45318 FILM NUMBER: 02516633 BUSINESS ADDRESS: STREET 1: 6059 CORNERSTONE COURT W CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 6196775179 MAIL ADDRESS: STREET 1: 6059 CORNERSTONE COURT WEST CITY: SANSAN DIEGO STATE: CA ZIP: 92122 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: K2 ARBITRAGE FUND LP CENTRAL INDEX KEY: 0001161620 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: (416) 365-2155 MAIL ADDRESS: STREET 1: 440 ADALAID WEST STREET 2: TORONTO, ONTARIO M5V 1S7 CITY: TORONTO, ONTARIO STATE: A6 ZIP: 000000000 SC 13G 1 dsc13g.txt SCHED 13G (K2 ARBITRAGE - ENCAD, INC) SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. ...)* ENCAD(R), INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $0.001 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 0-23034 ------------------------------------------- (CUSIP Number) January 14, 2002 ------------------------------------------- (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 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). CUSIP NO. 0-23034 13G Page 2 of 6 - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). K2 ARBITRAGE FUND, L.P. - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (A) [_] (B) [X] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION ONTARIO, CANADA - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER NUMBER OF 701,625 SHARES ----------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 701,625 PERSON ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER WITH -0- - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 701,625 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.8% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) PN - ------------------------------------------------------------------------------ CUSIP NO. 0-23034 13G Page 3 of 6 - ------------------------------------------------------------------------------ 1 NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). SHAWN KIMEL - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (A) [_] (B) [_] - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION ONTARIO, CANADA - ------------------------------------------------------------------------------ 5 SOLE VOTING POWER NUMBER OF 10,000 SHARES ----------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 706,525 ----------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 10,000 PERSON ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER WITH 706,525 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 716,525 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.0% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN - ------------------------------------------------------------------------------ CUSIP NO. 0-23034 13G Page 4 of 6 ITEM 1(a). NAME OF ISSUER. The name of the Issuer is ENCAD(R), INC. (the "Issuer"). ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES. The Issuer's principal executive offices are located at 6059 Cornerstone Court West, San Diego, California 92121. ITEM 2(a). NAME OF PERSON FILING. This statement is being filed on behalf of K2 Arbitrage Fund, L.P. ("K2") and Shawn Kimel ("Kimel"). ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE. The address of the principal business office of K2 and Kimel is 440 Adelaide West, Toronto, Ontario, M5V 1S7. ITEM 2(c). CITIZENSHIP. K2 is a citizen of Canada. Kimel is also a citizen of Canada. ITEM 2(d). TITLE OF CLASS OF SECURITIES. This statement relates to shares of Common Stock, par value of $0.001 per share ("Common Stock") of the Issuer. ITEM 2(e). CUSIP NUMBER. The CUSIP number for the shares of Common Stock is 0-23034. ITEM 3. NOT APPLICABLE. ITEM 4. OWNERSHIP. Pursuant to Rule 13d-3(a), at the close of business on January 23, 2002, K2 may be deemed to be the beneficial owner of 701,625 shares of the Common Stock, which constitutes approximately 5.8% of the 12,001,351 shares of the Common Stock outstanding at October 31, 2001, according to the Issuer's Annual Report on Form 10-K filed on November 9, 2001 (the "Outstanding Shares"). K2 has the sole power to vote or to direct the vote of 701,625 shares of Common Stock; K2 has the sole power to dispose or to direct the disposition of 701,625 shares of Common Stock. CUSIP NO. 0-23034 13G Page 5 of 6 Pursuant to Rule 13d-3(a), at the close of business on January 23, 2002, Kimel may be deemed to be the beneficial owner of 716,525 shares of the Common Stock, which constitutes approximately 6.0% of the Outstanding Shares. Kimel has the sole power to vote or to direct the vote of 10,000 shares of Common Stock and shared power to vote or direct the vote of 706,525 shares of Common Stock; Kimel has the sole power to dispose or to direct the disposition of 10,000 shares of Common Stock and shared power to dispose or direct the disposition of 706,525 share of Common Stock. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not applicable. ITEM 10. CERTIFICATIONS. By signing below, the undersigned certify that, to the best of their knowledge and belief, the securities referred to above 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. CUSIP NO. 0-23034 13G Page 6 of 6 SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. Pursuant to Rule 13d-1(k)(l)(iii) of Regulation 13D-G of the General Rules and Regulations of the Securities and Exchange Commission under the Securities Exchange Act of 1934, as amended, the undersigned agree that the attached statement is filed on behalf of each of them in the capacities set forth below. Date: January 24, 2002 K2 ARBITRAGE FUND, L.P. By: K2 GENPAR, INC. Its: General Partner /s/ Shawn Kimel ------------------------------------ Shawn Kimel, President and Secretary SHAWN KIMEL /s/ Shawn Kimel ------------------------------------- Shawn Kimel -----END PRIVACY-ENHANCED MESSAGE-----