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SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
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OMB No.: 3235-0145
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SCHEDULE 13G
Under the Securities Exchange Act of 1934
POINT WEST CAPITAL CORP.
(Name of Issuer)
COMMON STOCK
(Title of Class of Securities)
730715109
(CUSIP Number)
Robin Rodriguez, 675 Berkmar Court
Charlottesville, VA 22901, Telephone: (804) 817-5135
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
November 25, 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:
|_| 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 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 ("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. 730715109
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CUSIP No.730715109
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON
Kamikaze Trading LLC
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [x]
(b) [. ]
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS
WC
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Virginia
- -------------------------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER
104,742
SHARES _____________________________________________________________
BENEFICIALLY (8) SHARED VOTING POWER
- 0 -
OWNED BY_______________________________________________________________________
EACH (9) SOLE DISPOSITIVE POWER
104,742
REPORTING _____________________________________________________________
PERSON WITH (10) SHARED DISPOSITIVE POWER
- 0 -
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
104,742
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
3.2%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON
00
- -------------------------------------------------------------------------------
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON
Amalgamated Sludge LLC
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [x]
(b) [ ]
- ------------------------------------------------------------------------------
(3) SEC USE ONLY
- ------------------------------------------------------------------------------
(4) SOURCE OF FUNDS
WC
- ------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
- ------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Nevada
- ------------------------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER
55,868
SHARES _____________________________________________________________
BENEFICIALLY (8) SHARED VOTING POWER
-0-
OWNED BY______________________________________________________________________
EACH (9) SOLE DISPOSITIVE POWER
55,868
REPORTING _____________________________________________________________
PERSON WITH (10) SHARED DISPOSITIVE POWER
-0-
- ------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
55,868
- ------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- ------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.7%
- ------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON
00
- ------------------------------------------------------------------------------
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON
Cordell Consultants, Inc. (VA) Money Purchase Plan
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [x]
(b) [ ]
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Virginia
- -------------------------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER
10,056
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BENEFICIALLY (8) SHARED VOTING POWER
-0-
OWNED BY_______________________________________________________________________
EACH (9) SOLE DISPOSITIVE POWER
10,056
REPORTING _____________________________________________________________
PERSON WITH (10) SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
10,056
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.3%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON
CO
- -------------------------------------------------------------------------------
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON
Robin Rodriguez
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [x]
(b) [ ]
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
NUMBER OF (7) SOLE VOTING POWER
3,642
SHARES _____________________________________________________________
BENEFICIALLY (8) SHARED VOTING POWER
-0-
OWNED BY_______________________________________________________________________
EACH (9) SOLE DISPOSITIVE POWER
3,642
REPORTING _____________________________________________________________
PERSON WITH (10) SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
3,642
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.1%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON
IN
- -------------------------------------------------------------------------------
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON
Karen Marino
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(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [x]
(b) [ ]
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS
Not Applicable
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF (7) SOLE VOTING POWER
1,820
SHARES ______________________________________________________________
BENEFICIALLY (8) SHARED VOTING POWER
-0-
OWNED BY_______________________________________________________________________
EACH (9) SOLE DISPOSITIVE POWER
1,820
REPORTING ______________________________________________________________
PERSON WITH (10) SHARED DISPOSITIVE POWER
-0-
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
1,820
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.06%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON
IN
- -------------------------------------------------------------------------------
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(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO.
OF ABOVE PERSON
Anglo-American Investor Services Corp.
- --------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(a) [x]
(b) [ ]
- --------------------------------------------------------------------------------
(3) SEC USE ONLY
- --------------------------------------------------------------------------------
(4) SOURCE OF FUNDS
Not Applicable
- --------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS
REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
- --------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF (7) SOLE VOTING POWER
26,453
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BENEFICIALLY (8) SHARED VOTING POWER
-0-
OWNED BY________________________________________________________________________
EACH (9) SOLE DISPOSITIVE POWER
26,453
REPORTING ______________________________________________________________
PERSON WITH (10) SHARED DISPOSITIVE POWER
-0-
- --------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED
BY EACH REPORTING PERSON
26,453
- --------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT
IN ROW (11) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.8%
- --------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON
CO
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Item 1
This statement on Schedule 13G relates to the Common Stock
(the "Common Stock") of Point West Capital Corp., a Delaware corporation (the
"Company"). The address of the principal executive office of the Company is 1700
Montgomery Street, Suite 250, San Francisco, California 94111. The Reporting
Persons (filing as a group), are owners of shares of the Company's Common Stock.
Item 2
(a) Name of Person Filing. This statement is filed as a joint
statement pursuant to Rule 13d-1(b)(1)(ii)(J) by (i) Kamikaze Trading LLC, a
Virginia limited liability company ("Kamikaze") with respect to the shares owned
by it, (ii) Amalgamated Sludge LLC, a Nevada limited liability company
("Amalgamated") with respect to the shares owned by it, (iii) Cordell
Consultants, Inc. (VA) Money Purchase Plan, a Virginia corporation ("Cordell")
with respect to the shares owned by it, (iv) Anglo-American Investor Services
Corp., a Delaware corporation ("AAISC"), with respect to the shares owned by it,
(v) Robin Rodriguez with respect to the shares owned by him and because of his
position as President of Kamikaze, Managing Member of Amalgamated, President of
Cordell, and President of AAISC, and (vi) Karen Marino, the wife of Robin
Rodriguez, with respect to the shares owned by her.
(b) Address of Principal Office/Residence. The address of the
principal business and principal office of each of Kamikaze, Amalgamated,
Cordell and Karen Marino is 5540 Laurel Ridge Road, Ruckersville, Virginia
22968. The address of the principal business and the principal office of each of
AAISC and Robin Rodriguez is 675 Berkmar Court, Charlottesville, Virginia 22901.
(c) Citizenship. All natural persons referred to above are
citizens of the United States.
(d) Title of Class of Securities. This statement on Schedule
13G relates to the Common Stock of the Company.
(e) Cusip Number. The Cusip Number of the Company is 730715109.
Item 3
If this statement is filed pursuant to ss.ss.240.13d-1(b) or
240.13d-2(b) or (c), check whether the person filing is a:
(a) |_| Broker or dealer registered under section 15 of the Act (15 U.S.C.
78o);
(b) |_| Bank is defined in section 3(a)(6) of the Act (15 U.S.C. 78c);
(c) |_| Insurance company as defined in section 3(a)(19) of the Act
(15 U.S.C. 78c);
(d) |_| Investment company registered under section 8 of the Investment
Company Act of 1940 (15 U.S.C. 80a-8);
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(e) |_| An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E);
(f) |_| An employee benefit plan or endowment fund in accordance with
ss.240.13d-1(b)(1)(ii)(F);
(g) |_| A parent holding company or control person in accordance with
ss.240.13d-1(b)(1)(ii)(G);
(h) |_| A savings associations as defined in Section 3(b) of the Federal
Deposit Insurance Act (12 U.S.C. 1813);
(i) |_| A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the Investment
Company Act of 1940 (15 U.S.C. 80a-3);
(j) |X| Group, in accordance with ss.240.13d-1(b)(1)(ii)(J).
Item 4 - Ownership
(a) The aggregate percentage of the outstanding shares of
Common Stock reported owned by each person referred to herein is based upon
3,253,324 shares of Common Stock outstanding as of November 25, 1998, based upon
information received from the Company and as reported on the Company's 10Q for
the quarter ending September 30, 1998.
As of the close of business on November 25, 1998:
(i) Kamikazee owns 104,742 shares of Common Stock which constitute
approximately 3.2% of the Common Stock outstanding.
(ii) Amalgamated owns 55,868 shares of Common Stock which constitute
approximately 1.7% of the Common Stock outstanding.
(iii) Cordell owns 10,056 shares of Common Stock which constitute
approximately 0.3% of the Common Stock outstanding.
(iv) AAISC owns 26,453 shares of Common Stock which constitute
approximately 0.8% of the Common Stock outstanding.
(v) Robin Rodriguez owns 3,642 shares of Common Stock which constitute
approximately 0.1% of the Common Stock outstanding.
(vi) Karen Marino owns 1,820 shares of Common Stock which constitute
approximately 0.06% of the Common Stock outstanding.
(b) Each such entity has the sole power to vote and dispose of
the shares owned by it, which power is exercisable by Robin Rodriguez as the
chief executive officer or managing principal of the entity. Robin Rodriguez has
the sole power to vote and dispose of the shares owned by him. Karen Marino has
the sole power to vote and dispose of the shares owned by her.
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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 ____. N/A
Instruction. Dissolution of a group requires a response to this item.
Item 6 - Ownership of More than Five Percent on Behalf of Another Person
If any other person is known to have the right to receive or the power
to direct the receipt of dividends from, or the proceeds from the sale of, such
securities, a statement to that effect should be included in response to this
item and, if such interest relates to more than five percent of the class, such
person should be identified. A listing of the shareholders of an investment
company registered under the Investment Company Act of 1940 or the beneficiaries
of employee benefit plan, pension fund or endowment fund is not required. N/A
Item 7 - Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding Company
If a parent holding company has filed this schedule, pursuant to Rule
13d-1(b)(ii)(G), so indicate under Item 3(g) and attach an exhibit stating the
identity and the Item 3 classification of the relevant subsidiary. If a parent
holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule
13d-1(d), attach an exhibit stating the identification of the relevant
subsidiary. N/A
Item 8 - Identification and Classification of Members of the Group
If a group has filed this schedule pursuant to
ss.240.13d-1(b)(1)(ii)(J), so indicate under item 3(j) and attach an exhibit
stating the identity and Item 3 classification of each member of the group. If a
group has filed this schedule pursuant to ss.240.13d-1(c) or ss.240.13d-1(d),
attach an exhibit stating the identity of each member of the group.
Item 9 - Notice of Dissolution of Group
Notice of dissolution of a group may be furnished as an exhibit stating the
date of the dissolution and that all further filings with respect to
transactions in the security reported on will be filed, if required, by members
of the group, in their individual capacity. See Item 5. N/A
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Item 10 - Certification
(a) The following certification shall be included if the statement is
filed pursuant to ss.240.13d-1(b):
By signing below I certify that, to the best of my knowledge
and belief, the securities referred to above were acquired and
are held in the ordinary course of business and 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.
(b) The following certification shall be included if the statement is
filed pursuant to ss.240.13d.1(c):
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 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.
SIGNATURE
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 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.
Dated: December 15, 1998
/S/_ROBIN RODRIGUEZ
Robin Rodriguez,individually and as
attorney-in-fact for each of Karen
Marino, Kamikazee Trading,LLC,
Amalgamated Sludge, LLC, Cordell
Consultants, Inc. (VA) Money Purchase
Plan and Anglo-American Investor
Services Corp.
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EXHIBIT 1
AGREEMENT REGARDING JOINT FILING
UNDER SECTION 13(d) OF THE EXCHANGE ACT
FOR VALUE RECEIVED, the undersigned, effective as of December
15, 1998, hereby agree as follows:
1. Joint Filing Authorization. Each party hereto authorizes
ROBIN RODRIGUEZ to file on their behalf with the Securities & Exchange
Commission (the "SEC"), all appropriate exchanges and other appropriate parties,
as a joint filing for all of the undersigned parties pursuant to Rule
13d-1(k)(1)(iii), a statement of their beneficial ownership of the Common Stock
of POINT WEST CAPITAL CORP. (the "Company") on Schedule 13G as promulgated by
the SEC, including any pertinent amendments thereto, and including, where
applicable, additions or deletions to the group represented by the undersigned.
2. Power of Attorney. Each party hereto hereby designates and
appoints ROBIN RODRIGUEZ as their attorney-in-fact, to take all actions and to
execute all documentation in their stead and on their behalf necessary or
prudent to effectuate the joint filings relating to the Company contemplated by
this Agreement, until revoked in writing by the party.
3. Binding on Heirs, Representatives, Successors and Assigns.
This Agreement shall be binding upon the undersigned and their respective heirs,
representatives, successors and assigns.
/s/ROBIN RODRIGUEZ
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ROBIN RODRIGUEZ
/s/KAREN MARINO
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KAREN MARINO
KAMIKAZEE TRADING, LLC, a Virginia
limited liability company
By:/s/ROBIN RODRIGUEZ
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Robin Rodriguez, President and Manager
AMALGAMATED SLUDGE, LLC, a Nevada
limited liability company
By:/s/ROBIN RODRIUGEZ
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Robin Rodriguez, Managing Member
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CORDELL CONSULTANTS, INC. (VA)
MONEY PURCHASE PLAN, a
Virginia corporation
By:/s/ROBIN RODRIGUEZ
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Robin Rodriguez, President
ANGLO-AMERICAN INVESTOR SERVICES CORP.,
a Delaware corporation
By:/s/ROBIN RODRIGUEZ
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Robin Rodriguez, President
