-----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, ObFFrgzejJFX6Rm2c7Okf+d6+/nrde8LA92z3gq6EK3q4SVF18Gp3M2SfYnbg4vz smu2WmPvsBEZtyfwwCEJHA== 0000906344-04-000242.txt : 20041103 0000906344-04-000242.hdr.sgml : 20041103 20041103174009 ACCESSION NUMBER: 0000906344-04-000242 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20041101 FILED AS OF DATE: 20041103 DATE AS OF CHANGE: 20041103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SPENCER RICHARD S III CENTRAL INDEX KEY: 0001235465 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21203 FILM NUMBER: 041117369 BUSINESS ADDRESS: STREET 1: 200 EVENTH AVENUE STE 105 CITY: SANTA CRUZ STATE: CA ZIP: 95062 MAIL ADDRESS: STREET 1: 200 SEVENTH AVENUE STE 105 CITY: SANTA CRUZ STATE: CA ZIP: 95062 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: DIEDRICH COFFEE INC CENTRAL INDEX KEY: 0000947661 STANDARD INDUSTRIAL CLASSIFICATION: RETAIL-FOOD STORES [5400] IRS NUMBER: 330086628 STATE OF INCORPORATION: CA FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 28 EXECUTIVE PARK STREET 2: SUITE 200 CITY: IRVINE STATE: CA ZIP: 92614 BUSINESS PHONE: 9492601600 MAIL ADDRESS: STREET 1: 28 EXECUTIVE PARK STREET 2: SUITE 200 CITY: IRVINE STATE: CA ZIP: 92614 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: WESTCLIFF CAPITAL MANAGEMENT LLC/CA CENTRAL INDEX KEY: 0001057396 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21203 FILM NUMBER: 041117368 BUSINESS ADDRESS: STREET 1: 200 7TH AVE SUITE 105 CITY: SANTA CRUZ STATE: CA ZIP: 95062 BUSINESS PHONE: 4084770422 MAIL ADDRESS: STREET 1: 200 SEVENTH AVE STREET 2: SUITE 105 CITY: SANTA CRUZ STATE: CA ZIP: 95602 4 1 edgar.xml PRIMARY DOCUMENT X0202 4 2004-11-01 0000947661 DIEDRICH COFFEE INC DDRX 0001057396 WESTCLIFF CAPITAL MANAGEMENT LLC/CA 200 SEVENTH AVENUE, SUITE 105 SANTA CRUZ CA 95062 0 0 1 0 0001235465 SPENCER RICHARD S III 200 SEVENTH AVENUE, SUITE 105 SANTA CRUZ CA 95062 1 0 1 0 Common Stock 955229 I By managed account The reporting persons ("Reporting Persons") are Westcliff Capital Management, LLC, an investment adviser ("WCM") and Richard S. Spencer III ("Spencer"), a manager and the majority member of WCM. Each Reporting Person disclaims membership in a group with any non-reporting person within the meaning of Rule 13d-5(b)(i) and Rule 16a-1(a)(1) under the Exchange Act. This amount includes securities owned directly in various accounts managed by WCM. These include investment limited partnerships of which WCM is the general partner and investment adviser and separately managed accounts in which neither WCM nor Spencer has any ownership or other economic interest other than entitlement to investment advisory compensation. Spencer and WCM disclaim beneficial ownership of any securities except to the extent of their respective pecuniary interests. This is a voluntary filing. As of November 1, 2004, certain securities were transferred from one account managed by WCM to other accounts managed by WCM. This event did not result in any change in WCM's or Spencer's pecuniary interest in any securities reflected in the Tables. Some accounts pay WCM performance-based compensation; others pay only asset-based compensation. WCM may, in the future, become entitled to performance-based compensation from one or more of the accounts that currently pay only asset-based compensation. WCM and Spencer specifically disclaim any beneficial interest in securities held by accounts that do not pay performance-based compensation and in securities held by accounts that do pay performance-based compensation except to the extent WCM receives such compensation under circumstances in which that receipt does not qualify for the exclusion in Rule 16a-1(a)(2)(ii)(C)(1) and (2). Westcliff Capital Management, LLC, by Richard S. Spencer III, Manager and Majority Member 2004-11-03 Richard S. Spencer III 2004-11-03 -----END PRIVACY-ENHANCED MESSAGE-----