-----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, AQ4xrUFCD3UbmWMZGPijvaPCilnt+T9jcERET9m041TgiGeuACTBLYwz5SCSMFVL 5fEGDCIbAhyZ/J5QlmgCTA== 0001047469-03-002871.txt : 20030128 0001047469-03-002871.hdr.sgml : 20030128 20030128140257 ACCESSION NUMBER: 0001047469-03-002871 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030128 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ENDOCARDIAL SOLUTIONS INC CENTRAL INDEX KEY: 0000940659 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 411724963 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-52673 FILM NUMBER: 03527543 BUSINESS ADDRESS: STREET 1: 1350 ENERGY LANE STREET 2: STE 110 CITY: ST PAUL STATE: MN ZIP: 55108 BUSINESS PHONE: 6126447890 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: H&Q HEALTHCARE INVESTORS CENTRAL INDEX KEY: 0000805267 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 046564285 STATE OF INCORPORATION: MA FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 30 ROWES WHARF CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6175740537 MAIL ADDRESS: STREET 1: 30 ROWES WHARF CITY: BOSTON STATE: MA ZIP: 02110 SC 13G 1 a2101334zsc13g.txt SC 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ------ EnDocarDial Solutions - -------------------------------------------------------------------------------- (Name of Issuer) Common - -------------------------------------------------------------------------------- (Title of Class of Securities) 292962107 ---------------------------------- (CUSIP Number) 12/31/02 - -------------------------------------------------------------------------------- (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). CUSIP No. 292962107 --------- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Hambrecht & Quist Capital Management 01-0628853 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) /x/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Delaware Corp. - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially 1,666,666 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: -------------------------------------------------- (7) Sole Dispositive Power -------------------------------------------------- (8) Shared Dispositive Power - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,666,666 ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 10.03% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) IA - ------------------------------------------------------------------------------- SCHEDULE 13G EXHIBIT ITEM 1. Endocardial Solutions 1350 Energy Lane, Suite 110 St. Paul, MN 55108 ITEM 2. Hambrecht & Quist Capital Management LLC 30 Rowes Wharf - 4th Floor Boston, MA 02110-3328 (Delaware corporation) Common stock CUSIP: 292962107 ITEM 3. (e) Investment Adviser ITEM 4. Hambrecht & Quist Capital Management LLC ("HQCM") disclaims any beneficial interest in the shares reported in this Schedule 13G. Moreover, HQCM is of the view that the client accounts that it manages are not acting as a "group" for purposes of Section 13(d) under the Securities and Exchange Act of 1934 (the "1934 Act") and that it and such clients are not otherwise required to attribute to each other the "beneficial ownership" of securities "beneficially owned" under Rule 13d-3 promulgated under the 1934 Act. Therefore, HQCM is of the view that the shares held in such accounts should not be aggregated for purposes of Section 13(d). However, HQCM is making this filing on a voluntary basis as if all the shares are beneficially owned by HQCM on a joint basis. 1,666,666 shares of Common stock beneficially owned 10.03% of Common 1,666,666 sole voting power (i) and sole dispositive power (iii) ITEM 5. N/A ITEM 6. Of the 1,666,666 shares of the Common stock reported above, 1,000,000 shares are held by H&Q Healthcare Investors, a registered investment company, which represents 6.0% of the issuer's Outstanding Common stock. ITEM 7. N/A ITEM 8. N/A E-1 ITEM 9. N/A ITEM 10. 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. 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. Date: 1/22/03 ---------------------------------------------------- Signature: ---------------------------------------------------- Name/Title: Kim Carroll, Vice President Hambrecht & Quist Capital Management LLC E-2 -----END PRIVACY-ENHANCED MESSAGE-----