-----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, Jfd66PIN6DLHl6H0NXTjQ3Z5OtdYoJUrloJ/Yw9pihPJ0azQWq06AlDWIClPWyvn jfF/xGtGWoBg22qOln6NHg== 0000905718-04-000048.txt : 20040213 0000905718-04-000048.hdr.sgml : 20040213 20040213101025 ACCESSION NUMBER: 0000905718-04-000048 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: POWERWAVE TECHNOLOGIES INC CENTRAL INDEX KEY: 0001023362 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 112723423 STATE OF INCORPORATION: DE FISCAL YEAR END: 0103 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49637 FILM NUMBER: 04595209 BUSINESS ADDRESS: STREET 1: 1801 E. ST. ANDREW PLACE CITY: SANTA ANA STATE: CA ZIP: 92705 BUSINESS PHONE: 7144661000 MAIL ADDRESS: STREET 1: POWERWAVE TECHNOLOGIES INC STREET 2: 1801 E. ST. ANDREW PLACE CITY: SANTA ANA STATE: CA ZIP: 92705 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROCKER DAVID A /NY/ CENTRAL INDEX KEY: 0000919275 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 45 ROCKEFELLER PLAZA STREET 2: SUITE 1759 CITY: NEW YORK STATE: NY ZIP: 10111 BUSINESS PHONE: 212-397-1220 SC 13G/A 1 powerwaveam3.txt SC13GAM3 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 3)* POWERWAVE TECHNOLOGIES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, PAR VALUE $0.0001 PER SHARE - -------------------------------------------------------------------------------- (Title of Class of Securities) 739363109 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2003 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule 13G 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). CUSIP NO. 739363109 - -------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of Above Persons (entities only): David A. Rocker - -------------------------------------------------------------------------------- (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: United States - -------------------------------------------------------------------------------- Number of Shares Beneficially Owned by Each Reporting Person With: (5) Sole Voting Power: 5,359,399* ------------------------------------ (6) Shared Voting Power: 0 ------------------------------------ (7) Sole Dispositive Power: 5,359,399* ------------------------------------ (8) Shared Dispositive Power: 0 ------------------------------------ - -------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person: 5,359,399* - -------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions): N/A - -------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9): 8.5%* - -------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions): IN - -------------------------------------------------------------------------------- * Amount includes: (i) 3,682,498 shares of Powerwave Technologies, Inc. (the "Company") Common Stock, par value $0.0001 per share (the "Common Stock"), owned by Rocker Partners, L.P., a New York limited partnership; (ii) 1,548,246 shares of Common Stock owned by Compass Holdings, Ltd., a corporation organized under the International Business Companies Ordinance of the British Virgin Islands; and (iii) 128,655 shares of Common Stock owned by Helmsman Holdings, Ltd., a corporation organized under the International Business Companies Ordinance of the British Virgin Islands. David A. Rocker has sole voting and dispositive power over the aggregate amount of 5,359,399 shares of Common Stock by virtue of his positions as (i) the sole managing partner of Rocker Partners, L.P. and (ii) the president of Rocker Offshore Management Company, Inc., the investment advisor to Compass Holdings, Ltd. and Helmsman Holdings, Ltd. Item 1(a). Name Of Issuer: Powerwave Technologies, Inc. - -------------------------------------------------------------------------------- Item 1(b). Address of Issuer's Principal Executive Offices: 1801 E. St. Andrew Place, Santa Ana, CA 92705 - -------------------------------------------------------------------------------- Item 2(a). Name of Person Filing: David A. Rocker - -------------------------------------------------------------------------------- Item 2(b). Address of Principal Business Office or, if None, Residence: c/o Rocker Partners, L.P., Suite 1759, 45 Rockefeller Plaza, New York, New York 10111 - -------------------------------------------------------------------------------- Item 2(c). Citizenship: United States - -------------------------------------------------------------------------------- Item 2(d). Title of Class of Securities: Common Stock, par value $0.0001 per share - -------------------------------------------------------------------------------- Item 2(e). CUSIP No.: 739363109 - -------------------------------------------------------------------------------- Item 3. If This Statement Is Filed Pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the Person Filing is a: Not Applicable. - -------------------------------------------------------------------------------- Item 4. Ownership. (a) Amount Beneficially Owned (as of December 31, 2003): 5,359,399 --------- (b) Percent of Class (as of December 31, 2003): 8.5% ---- (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote 5,359,399 --------- (ii) shared power to vote or to direct the vote 0 --- (iii) sole power to dispose or to direct the disposition of 5,359,399 --------- (iv) shared power to dispose or to direct the disposition of 0 --- 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 or Control Person 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. Certification By signing below I certify that, to the best of my 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 such securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. 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. February 13, 2004 /s/ David A. Rocker ---------------------------------------- David A. Rocker, as the sole managing partner of Rocker Partners, L.P. and the president of Rocker Offshore Management Company, Inc., the investment advisor to Compass Holdings, Ltd. and Helmsman Holdings, Ltd. Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001) -----END PRIVACY-ENHANCED MESSAGE-----