-----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, BZ6vPbgmkq7Ey0H4fXUYuyDpyAsp2RG0txyrhC49/rsZpXGgv0V8/m2R3eUNwisr wbh5dK8kfk9tnNOn1F+/CA== 0000901309-98-000060.txt : 19980925 0000901309-98-000060.hdr.sgml : 19980925 ACCESSION NUMBER: 0000901309-98-000060 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19980924 SROS: NASD GROUP MEMBERS: CHARLES W. RUFF GROUP MEMBERS: CLOVER CAPITAL MANAGEMENT INC /NY/ GROUP MEMBERS: CLOVER CAPITAL MANAGEMENT, INC. GROUP MEMBERS: GEOFFREY H. ROSENBERGER GROUP MEMBERS: JAMES G. GOULD GROUP MEMBERS: MICHAEL E. JONES SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CALIFORNIA MICROWAVE INC CENTRAL INDEX KEY: 0000016357 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 941668412 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-13084 FILM NUMBER: 98714266 BUSINESS ADDRESS: STREET 1: 1143 BORREGAS AVE CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087324000 MAIL ADDRESS: STREET 1: 1143 BORREGAS AVE CITY: SUNNYVALE STATE: CA ZIP: 94089 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CLOVER CAPITAL MANAGEMENT INC /NY/ CENTRAL INDEX KEY: 0000869854 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 11 TOBEY VILLAGE OFFICE PARK CITY: PITTSFORD STATE: NY ZIP: 14534 BUSINESS PHONE: 7163856090 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) Under the Securities Exchange Act of 1934 INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), and (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )* California Microwave, Inc. (Name of Issuer) Common Stock, $.10 par value (Title of Class of Securities) 130442106 (CUSIP Number) September 16, 1998 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: _X_ Rule 13d-1(b) ___ 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). Page 1 of 11 pages CUSIP No. 130442106 Page 2 of 11 pages - ------------------------------------------------------------------ (1) NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Clover Capital Management, Inc. 16-1263400 - ------------------------------------------------------------------ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) / / (b) /x/ - ------------------------------------------------------------------ (3) SEC USE ONLY - ------------------------------------------------------------------ (4) CITIZENSHIP OR PLACE OF ORGANIZATION New York State - ------------------------------------------------------------------ (5) SOLE VOTING POWER 0 ---------------------------------------- NUMBER OF SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED BY 975,800 EACH REPORTING PERSON ---------------------------------------- WITH (7) SOLE DISPOSITIVE POWER 0 ---------------------------------------- (8) SHARED DISPOSITIVE POWER 975,800 - ------------------------------------------------------------------ (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 975,800 - ------------------------------------------------------------------ (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * / / - ------------------------------------------------------------------ (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - ------------------------------------------------------------------ (12) TYPE OF REPORTING PERSON * IA - ------------------------------------------------------------------ SEE INSTRUCTION BEFORE FILLING OUT! Page 2 of 11 pages CUSIP No. 130442106 Page 3 of 11 pages - ------------------------------------------------------------------ (1) NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Michael E. Jones - ------------------------------------------------------------------ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /x/ - ------------------------------------------------------------------ (3) SEC USE ONLY - ------------------------------------------------------------------ (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------ (5) SOLE VOTING POWER 0 ---------------------------------------- NUMBER OF SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED BY 975,800 EACH REPORTING PERSON ---------------------------------------- WITH (7) SOLE DISPOSITIVE POWER 0 ---------------------------------------- (8) SHARED DISPOSITIVE POWER 975,800 - ------------------------------------------------------------------ (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 975,800 - ------------------------------------------------------------------ (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * / / - ------------------------------------------------------------------ (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - ------------------------------------------------------------------ (12) TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------ SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 11 pages CUSIP No. 130442106 Page 4 of 11 pages - ------------------------------------------------------------------ (1) NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Geoffrey H. Rosenberger - ------------------------------------------------------------------ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /x/ - ------------------------------------------------------------------ (3) SEC USE ONLY - ------------------------------------------------------------------ (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------ (5) SOLE VOTING POWER 0 ---------------------------------------- NUMBER OF SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED BY 975,800 EACH REPORTING PERSON ---------------------------------------- WITH (7) SOLE DISPOSITIVE POWER 0 ---------------------------------------- (8) SHARED DISPOSITIVE POWER 975,800 - ------------------------------------------------------------------ (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 975,800 - ------------------------------------------------------------------ (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * / / - ------------------------------------------------------------------ (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - ------------------------------------------------------------------ (12) TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------ SEE INSTRUCTION BEFORE FILLING OUT! Page 4 of 11 pages CUSIP No. 130442106 Page 5 of 11 pages - ------------------------------------------------------------------ (1) NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Charles W. Ruff - ------------------------------------------------------------------ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /x/ - ------------------------------------------------------------------ (3) SEC USE ONLY - ------------------------------------------------------------------ (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------ (5) SOLE VOTING POWER 2,000 ---------------------------------------- NUMBER OF SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED BY 977,700 EACH REPORTING PERSON ---------------------------------------- WITH (7) SOLE DISPOSITIVE POWER 2,000 ---------------------------------------- (8) SHARED DISPOSITIVE POWER 977,700 - ------------------------------------------------------------------ (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 979,700 - ------------------------------------------------------------------ (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * / / - ------------------------------------------------------------------ (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - ------------------------------------------------------------------ (12) TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------ SEE INSTRUCTION BEFORE FILLING OUT! Page 5 of 11 pages CUSIP No. 130442106 Page 6 of 11 pages - ------------------------------------------------------------------ (1) NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) James G. Gould - ------------------------------------------------------------------ (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /x/ - ------------------------------------------------------------------ (3) SEC USE ONLY - ------------------------------------------------------------------ (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------------------------------------------ (5) SOLE VOTING POWER 0 ---------------------------------------- NUMBER OF SHARES (6) SHARED VOTING POWER BENEFICIALLY OWNED BY 976,900 EACH REPORTING PERSON ---------------------------------------- WITH (7) SOLE DISPOSITIVE POWER 0 ---------------------------------------- (8) SHARED DISPOSITIVE POWER 976,900 - ------------------------------------------------------------------ (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 976,900 - ------------------------------------------------------------------ (10) CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * / / - ------------------------------------------------------------------ (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.0% - ------------------------------------------------------------------ (12) TYPE OF REPORTING PERSON * IN - ------------------------------------------------------------------ SEE INSTRUCTION BEFORE FILLING OUT! Page 6 of 11 pages Item 1(a). Name of Issuer California Microwave, Inc. Item 1(b). Address of Issuer's Principal Executive Offices 1143 Borregas Avenue Sunnyvale, California 94089 Item 2. (a) The persons filing this Schedule are Clover Capital Management, Inc. ("Clover"), Michael E. Jones, Geoffrey H. Rosenberger, Charles W. Ruff and James G. Gould (collectively, the "Reporting Persons"). (b) Address of principal business office of the Reporting Persons: 11 Tobey Village Office Park Pittsford, NY 14534 (c) Citizenship Clover is incorporated in the State of New York. The other Reporting Persons are U.S. citizens. (d) Title of Class of Securities Common Stock, $.10 par value (e) CUSIP Number 130442106 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) / / Broker of Dealer registered under Section 15 of the Act (b) / / Bank as defined in section 3(a)(6) of the Act (c) / / Insurance Company as defined in section 3(a)(19) of the Act (d) / / Investment Company registered under section 8 of the Investment Company Act (e) /x/ Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see sec. 240.13d-1(b)(1)(ii)(F) (g) / / Parent Holding Company, in accordance with sec. 240.13d-1(b)(ii)(G) (h) / / Group, in accordance with sec. 240.13d-1(b)(1)(ii)(H) Page 7 of 11 pages Item 4. Ownership Amount Beneficially Owned ------------------------- See item 9 on pages 2, 3, 4, 5 and 6 (b) Percent of Class ---------------- See item 11 on pages 2, 3, 4, 5 and 6 (c) Number of shares as to which person has: (i) sole power to vote or to direct the vote ---------------------------------------- See item 5 on pages 2, 3, 4, 5 and 6 (ii) shared power to vote or to direct the vote ------------------------------------------ See item 6 on pages 2, 3, 4, 5 and 6 (iii) sole power to dispose or to direct the disposition of ----------------------------------------------------- See item 7 on pages 2, 3, 4, 5 and 6 (iv) shared power to dispose or to direct the disposition of ------------------------------------------------------- See item 8 on pages 2, 3, 4, 5 and 6 Item 5. Ownership of Five Percent or Less of a Class If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following / /. Item 6. Ownership of more than Five Percent on Behalf of Another Person As investment adviser to the client accounts owning the subject securities, Clover shares the voting and dispositive power with the account owner of each account. As directors of Clover, Messrs. Jones, Rosenberger, Ruff and Gould share the dispositive powers with Clover. 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 Page 8 of 11 pages Item 10. Certification By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. Page 9 of 11 pages 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. CLOVER CAPITAL MANAGEMENT, INC. September 23, 1998 By: /s/ Michael E. Jones --------------------------- Michael E. Jones Managing Director September 23, 1998 /s/ Michael E. Jones -------------------------------- Michael E. Jones September 23, 1998 /s/ Geoffrey H. Rosenberger -------------------------------- Geoffrey H. Rosenberger September 23, 1998 /s/ Charles W. Ruff -------------------------------- Charles W. Ruff September 23, 1998 /s/ James G. Gould -------------------------------- James G. Gould Page 10 of 11 pages EX-99 2 EXHIBIT A AGREEMENT PURSUANT TO RULE 13D-1(F)(1) The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G in connection with their beneficial ownership of the common stock of California Microwave, Inc. at September 23, 1998 and agree that this filing is filed on behalf of each of them. CLOVER CAPITAL MANAGEMENT, INC. September 23, 1998 By: /s/ Michael E. Jones --------------------------- Michael E. Jones Managing Director September 23, 1998 /s/ Michael E. Jones -------------------------------- Michael E. Jones September 23, 1998 /s/ Geoffrey H. Rosenberger -------------------------------- Geoffrey H. Rosenberger September 23, 1998 /s/ Charles W. Ruff -------------------------------- Charles W. Ruff September 23, 1998 /s/ James G. Gould -------------------------------- James G. Gould Page 11 of 11 pages -----END PRIVACY-ENHANCED MESSAGE-----