-----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, A5o81xtheLL6bCS5VbluJfXOLFmge01eQEZOZiplE6N7jB/xsD/HIJDkiOKzTiK+ 9LY6IF8h//G6mcg4vbV6gw== 0000899140-08-000062.txt : 20080104 0000899140-08-000062.hdr.sgml : 20080104 20080104172255 ACCESSION NUMBER: 0000899140-08-000062 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20080104 DATE AS OF CHANGE: 20080104 GROUP MEMBERS: EAGLEROCK INSTITUTIONAL PARTNERS, LP GROUP MEMBERS: NADER TAVAKOLI SUBJECT COMPANY: 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: 1130 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60995 FILM NUMBER: 08512819 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EagleRock Capital Management, L.L.C. CENTRAL INDEX KEY: 0001245844 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A 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 COMPANY: FORMER CONFORMED NAME: EAGLEROCK CAPIAL MANAGEMENT LLC DATE OF NAME CHANGE: 20030624 SC 13G/A 1 e010408b.txt FOURTH AMENDMENT UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934* (Amendment No. 4) Endwave Corporation ------------------- (Name of Issuer) Common Stock, par value $0.001 per share ---------------------------------------- (Title of Class of Securities) 29264A206 --------- (CUSIP Number) December 24, 2007 ----------------- (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 the 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 (the "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. 29264A206 13G Page 2 of 7 Pages - ------------------------------ ----------------------- - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON EagleRock Capital Management, LLC - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,445,658 OWNED BY EACH ------ ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,445,658 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,445,658 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.8% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON OO - ---------- --------------------------------------------------------------------- - ------------------------------ ----------------------- CUSIP No. 29264A206 13G Page 3 of 7 Pages - ------------------------------ ----------------------- - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Nader Tavakoli - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,445,658 OWNED BY EACH ------ ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,445,658 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,445,658 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.8% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN - ---------- --------------------------------------------------------------------- - ------------------------------ ----------------------- CUSIP No. 29264A206 13G Page 4 of 7 Pages - ------------------------------ ----------------------- - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON EagleRock Institutional Partners, LP - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 0 ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY 1,195,709 OWNED BY EACH ------ ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,195,709 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,195,709 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* N/A - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 13.1% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON PN - ---------- --------------------------------------------------------------------- This Amendment No. 4 to Schedule 13G (this "Amendment No. 4") is being filed on behalf of EagleRock Capital Management, LLC, a Delaware limited liability company ("EagleRock"), Mr. Nader Tavakoli, the principal of EagleRock, and EagleRock Institutional Partners, LP, a Delaware limited partnership ("ERIP"), with respect to shares of Common Stock, par value $0.001 per share (the "Common Stock") of Endwave Corporation, a corporation organized under the laws of the State of Delaware (the "Company"), to amend the Schedule 13G filed on November 10, 2005 (as amended by Amendment No. 1 thereto filed on November 14, 2005, Amendment No. 2 thereto filed on February 14, 2006, Amendment No. 3 thereto filed on February 14, 2007, and this Amendment No. 4, the "Schedule 13G"). EagleRock acts as investment manager to several funds, including ERIP, and Mr. Tavakoli, as manager of EagleRock, controls the investment decisions of EagleRock. Capitalized terms used herein and not otherwise defined have the meanings ascribed thereto in the Schedule 13G. Item 4: Ownership: - ------ --------- Item 4 is hereby amended and restated as follows: A. EagleRock Capital Management, LLC --------------------------------- (a) Amount beneficially owned: 1,445,658 (b) Percent of class: 15.8%. The percentages used herein and in the rest of this Schedule 13G are based upon a total of 9,118,256 shares of Common Stock issued and outstanding as of December 24, 2007, calculated as (x) the 11,620,503 shares of Common Stock outstanding as of October 26, 2007, as reported in the Company's Quarterly Report on Form 10-Q for the quarterly period ended September 30, 2007, less (y) the 2,502,247 shares of Common Stock repurchased by the Company on December 24, 2007, as reported in the Company's Current Report on Form 8-K filed on December 28, 2007. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 1,445,658 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 1,445,658 B. Nader Tavakoli --------------- (a) Amount beneficially owned: 1,445,658 (b) Percent of class: 15.8%. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 1,445,658 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 1,445,658 C. Eaglerock Institutional Partners, LP ------------------------------------ (a) Amount beneficially owned: 1,195,709 (b) Percent of class: 13.1%. (c) Number of shares as to which such person has: (i) Sole power to vote or direct the vote: 0 (ii) Shared power to vote or direct the vote: 1,195,709 (iii) Sole power to dispose or direct the disposition: 0 (iv) Shared power to dispose or direct the disposition: 1,195,709 -5- Item 10: Certification: - ------- ------------- Each of the Reporting Persons hereby makes the following certification: By signing below, the undersigned certifies that, to the best of its 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. Exhibits - -------- Exhibit 99.1 Amended and Restated Joint Filing Agreement, dated January 4, 2008, by and among EagleRock Capital Management, LLC, EagleRock Institutional Partners, LP and Mr. Nader Tavakoli. [Signature page follows] -6- 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. Dated: January 4, 2008 EAGLEROCK CAPITAL MANAGEMENT, LLC By: /s/ Nader Tavakoli --------------------------------------- Nader Tavakoli, Managing Member EAGLEROCK INSTITUTIONAL PARTNERS, LP By: EagleRock Institutional GP, LLC, its general partner By: /s/ Nader Tavakoli --------------------------------------- Nader Tavakoli, Managing Member By: /s/ Nader Tavakoli --------------------------------------- Nader Tavakoli [SIGNATURE PAGE TO AMENDMENT NO. 4 TO SCHEDULE 13G WITH RESPECT TO ENDWAVE CORPORATION] EX-99.1 3 e010408c.txt AMENDED AND RESTATED JOINT FILING AGREEMENT Exhibit 99.1 AMENDED AND RESTATED JOINT FILING AGREEMENT ------------------------------------------- In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of the undersigned a statement on Schedule 13G with respect to the Common Stock, par value $0.001 per share, of Endwave Corporation, and further agree that all subsequent amendments to this statement on Schedule 13G shall be filed on behalf of each of the undersigned without the necessity of filing additional joint filing agreements. The undersigned further agree that each party hereto shall be responsible for the timely filing of such statement on Schedule 13G and any amendments thereto, and for the accuracy and completeness of the information concerning such party contained therein, but shall not be responsible for the accuracy or completeness of the information concerning any other party, unless such party knows or has reason to believe that such information is inaccurate. This Agreement may be signed in counterparts with the same effect as if the signature on each counterpart were upon the same instrument. Dated: January 4, 2008 EAGLEROCK CAPITAL MANAGEMENT, LLC By: /s/ Nader Tavakoli --------------------------------------- Nader Tavakoli, Managing Member EAGLEROCK INSTITUTIONAL PARTNERS, LP By: EagleRock Institutional GP, LLC, its general partner By: /s/ Nader Tavakoli --------------------------------------- Nader Tavakoli, Managing Member By: /s/ Nader Tavakoli --------------------------------------- Nader Tavakoli [JOINT FILING AGREEMENT FOR SCHEDULE 13G WITH RESPECT TO ENDWAVE CORPORATION] -----END PRIVACY-ENHANCED MESSAGE-----