SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 10-Q/A
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[X] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the quarterly period ended September 30, 1997
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OR
[ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d)
OF THE SECURITIES EXCHANGE ACT OF 1934
For the transition period from ______ to ______
Commission file number 0-27736
POINT WEST CAPITAL CORPORATION
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(Exact name of registrant as specified in its charter)
Delaware 94-3165263
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(State or other jurisdiction of (I.R.S. Employer
incorporation or organization) Identification Number)
1700 Montgomery Street, Suite 250
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San Francisco, California 94111
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(Address of principal executive offices) (Zip Code)
(415) 394-9467
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(Registrant's telephone number, including area code)
Indicate by check mark whether the registrant (1) has filed all reports required
to be filed by Section 13 or 15(d) of the Securities Exchange Act of 1934 during
the preceding 12 months (or for such shorter period that the registrant was
required to file such reports), and (2) has been subject to such filing
requirements for the past 90 days. Yes [X] No [ ]
At October 31, 1997, there were 3,253,324 shares of the registrant's Common
Stock outstanding.
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Item 6. Exhibits and Reports on Form 8-K
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(a) Exhibits.
Number Description
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10.1 Limited Liability Company Agreement of Allegiance
Capital, LLC
10.2 Fourteen Hill Capital, L.P. Agreement of Limited
Partnership
10.3 Fourteen Hill Management, LLC Operating Agreement by
Point West Capital Corporation and Fourteen Hill
Management, LLC as of June 9, 1997
27 Financial Data Schedule
(b) Reports on Form 8-K.
None.
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SIGNATURES
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Pursuant to the requirements of the Securities Exchange Act of 1934, the
Registrant has duly caused this report to be signed on its behalf by the
undersigned thereunto duly authorized.
POINT WEST CAPITAL CORPORATION
DATED: November 14, 1997 /S/ ALAN B. PERPER
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ALAN B. PERPER
President
(Duly Authorized Officer)
DATED: November 14, 1997 /S/ JOHN WARD ROTTER
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JOHN WARD ROTTER
Executive Vice President and
Chief Financial Officer
(Principal Financial and
Accounting Officer)
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