-----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, L58xzp5xfVCnHTDEjWm+vCPJphUHFO6nsnOy4VYvVsxR3L9iQJ3vzCdQpouC4Mkk 6yYrMWrgTWszOmjIy6eb9Q== 0000898432-01-000182.txt : 20010307 0000898432-01-000182.hdr.sgml : 20010307 ACCESSION NUMBER: 0000898432-01-000182 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010103 FILED AS OF DATE: 20010301 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RAVENSWOOD WINERY INC CENTRAL INDEX KEY: 0000937015 STANDARD INDUSTRIAL CLASSIFICATION: BEVERAGES [2080] IRS NUMBER: 943026706 STATE OF INCORPORATION: CA FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-30002 FILM NUMBER: 1558537 BUSINESS ADDRESS: STREET 1: 18701 GEHRICKE RD STREET 2: SUITE 308 CITY: SONOMA STATE: CA ZIP: 95476 MAIL ADDRESS: STREET 1: 18701 GEHRICKE RD CITY: SONOMA STATE: CA ZIP: 95476 COMPANY DATA: COMPANY CONFORMED NAME: WR HAMBRECHT & CO LLC CENTRAL INDEX KEY: 0001092683 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER IRS NUMBER: 943289837 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 550 15TH STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94103 BUSINESS PHONE: 4155518657 MAIL ADDRESS: STREET 1: 550 15TH STREET CITY: SAN FRANCISCO STATE: CA ZIP: 94103 4 1 0001.txt
- --------------------- ------------------------------ FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL - --------------------- Washington, D.C. 20549 ------------------------------ [X]Check this box if no OMB Number: 3235-0287 longer subject to Expires: December 31, 2001 Section 16. Form 4 Estimated average burden hours or Form 5 obligations hours per response.........0.5 may continue. SEE ------------------------------ Instruction 1(b). STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities and Exchange Act of 1934, Section 17(a) of the Public fo the Public Utility Holding Company Act of 1934 or Section 30(f) of the Investment Company Act of 1940 - ----------------------------------------------------------------------------------------------------------------------------------- 1. Name and Address of Reporting 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person(s) Person* Symbol to Issuer Ravenswood Winery, Inc. (RVWD) (Check all applicable) William R. Hambrecht ____Director _X_ 10% Owner - -------------------------------------------------------------------------------- (Last) (First) (Middle) 3. IRS or Social 4. Statement for ____Officer (give __ Other (specify Security Month/Year title below) below) 539 Bryant Street, Suite 100 Number of January 2001 Reporting ____________________________ Person (Voluntary) - ----------------------------------------------------------------------------------------------------------------------------------- (Street) 5. If Amendment, 7. Individual or Joint/Group Filing Date of Original (Check Applicable Line) (Month/Year) _X_ Form filed by One Reporting ___ Form filed by More than One San Francisco CA 94107 Reporting Person - ----------------------------------------------------------------------------------------------------------------------------------- (City) (State) (Zip) Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of Security 1. Trans- 1. Trans- 1. Securities Acquired (A) 1. Amount of 1. Owner- 1. Nature of (Instr. 3) action action or Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Instr. Owned at Direct Owner- 8) End of Month (D) or ship (Month/ Indirect Day/ (A) or (Instr. 3 (I) Year Code V Amount (D) Price and 4) (Instr. 4) (Instr. 4) - ----------------------------------------------------------------------------------------------------------------------------------- common stock 1/3/01 S 100,000 D $11.38 0 D - ----------------------------------------------------------------------------------------------------------------------------------- common stock 388,500(1) I As manager of W.R. Hambrecht + Co., LLC - ----------------------------------------------------------------------------------------------------------------------------------- (1) Mr. Hambrecht is the Manager of W.R. Hambrecht + Co., LLC ("LLC") and has shared voting and dispository power over the 388,500 shares of Ravenswood Winery, Inc. beneficially owned for purposes of Section 16 directly by the LLC. Mr. Hambrecht indirectly holds a 16.5% interest in the LLC and, accordingly, disclaims beneficial ownership of all but 64,103 shares held by the LLC. Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. PAGE 1 OF 2(Over) * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1475 (3-99) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (E.G., puts, calls, warrants, options, convertible securities) - ----------------------------------------------------------------------------------------------------------------------------------- 1. Title of 1. Conver- 1. Trans- 1. Number of 1. Date Exer- 1. Title and 1. Price 1. Number 1. Owner 1. Nature Derivative sion or action Derivative cisable and Amount of of of di- ship of In- Security Exercise Date Securities Expiration Underlying Deri- riva- Form direct (Instr. 3) Price of (Month/ Acquired (A) Date Securities vative tive of De- Benefi- Deri- Day/ or Disposed (Month/Day/Year) (Instr. 3 Secur- Secur- riva- cial vative Year) of (D) and 4) ity ities tive Owner- Security (Instr. Bene- secur- ship 5) ficially ity: (Instr. Owned Direct 4) at End (D) or of Month Indirect (Instr. 4) (1) Date Expira- Amount or (Instr. 4) Exer- tion Title Number of Code V (A) (D) cisable Shares - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------------- Explanation of Responses: **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. /s/ William R. Hambrecht 2/28/01 SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a) ------------------------ ------ **William R. Hambrecht Date Note: File three copies of this Form, one of which must be manually signed. If space insufficient, SEE Instruction 6 for procedure. Potential persons who are to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. PAGE 2 OF 2 SEC 1475 (3-99)
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