SECURITIES AND EXCHANGE COMMISSION
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Washington, D.C. 20549
SCHEDULE 13D/A
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(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO 13d-1(a)
AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(a)
(Amendment No 4)
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Point West Capital Corporation
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(Name of Issuer)
Common Stock, $0.01 par value
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(Title of Class of Securities)
730715 10 9
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(CUSIP Number)
Alan B. Perper,President
Point West Capital Corporation
1700 Montgomery Street, Suite 250
San Francisco, CA 94111
(415) 394-9467
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
April 15, 1999
---------------
(Date of Event Which Requires Filing of This Statement)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition which is the subject of this Amended and Restated
Schedule 13D, and is filing this schedule because of Rule 13d-1(c), 13d-1(f) or
13d-1(g) , check the following Box [ ]
Note: Schedules filed in paper format shall include a signed original
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and five copies of the schedule, including all exhibits. See Rule
13d-7(b) for other parties to whom copies are to be sent.
__________
*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 (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).
(Continued on following pages)
(Page 1 of 9 Pages)
<PAGE>
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CUSIP No. 730715 10 9 13D Page 2 of 9 pages
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- ------------- ------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Alan B. Perper
- ------------- ------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------------- ------------------------------------------------------------------
3 SEC USE ONLY
- ------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS*
NOT APPLICABLE
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) [ ]
- ------------- ----------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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7 SOLE VOTING POWER
NUMBER OF 2,000
SHARES ---------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
EACH 327,665
REPORTING ---------------------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
2,000
---------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
244,665
- ------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
329,665
- ------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES
CERTAIN SHARES*
[ ]
- ------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
9.9%
- ------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ------------- ------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
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<PAGE>
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CUSIP No. 730715 10 9 13D Page 3 of 9 pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Janet G. Raiche
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------------- ------------------------------------------------------------------
3 SEC USE ONLY
- ------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS*
NOT APPLICABLE
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) [ ]
- ------------- ----------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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7 SOLE VOTING POWER
NUMBER OF 0
SHARES ---------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
EACH 244,665
REPORTING ---------------------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
0
---------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
244,665
- ------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
244,665
- ------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES
CERTAIN SHARES*
[ ]
- ------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
7.3%
- ------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
IN
- ------------- ------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
------------------------------------
<PAGE>
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CUSIP No. 730715 10 9 13D Page 4 of 9 pages
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Perper/Raiche Revocable Trust
- ------------- ------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
- ------------- ------------------------------------------------------------------
3 SEC USE ONLY
- ------------- ------------------------------------------------------------------
4 SOURCE OF FUNDS*
NOT APPLICABLE
- ------------- ------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEM 2(d) OR 2(e) [ ]
- ------------- ----------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- ------------- ----------------------------------------------------------------
7 SOLE VOTING POWER
NUMBER OF 244,665
SHARES ---------------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY
EACH 0
REPORTING ---------------------------------------------------------------
PERSON WITH 9 SOLE DISPOSITIVE POWER
244,665
---------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- ------------- ------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
244,665
- ------------- ------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 11 EXCLUDES
CERTAIN SHARES*
[ ]
- ------------- ------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 11
7.3%
- ------------- ------------------------------------------------------------------
14 TYPE OF REPORTING PERSON*
00
- ------------- ------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
------------------------------------
<PAGE>
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CUSIP No. 730715 10 9 SCHEDULE 13D Page 5 of 9 pages
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AMENDMENT NO. 4 to
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SCHEDULE 13D
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This Amendment No 4. to Schedule 13D amends the Schedule 13D originally
filed on December 1, 1997, as amended and restated by Amendment No. 1 to
Schedule 13D filed on January 6, 1998, by Amendment No. 2 to Schedule 13D filed
on February 16, 1999 and by Amendment No. 3 to Schedule 13D filed on March 24,
1999 (as amended and restated to the date hereof, the "Schedule 13D"). This
Amendment No. 4 is being filed to report shares of Common Stock sold by the
reporting persons and entities with which they may share beneficial ownerhip.
Capitalized terms used in this Amendment No. 4 and not defined are used as
defined in the Schedule 13D.
Item 5. Interest in Securities of the Issuer.
====== ====================================
Item 5 of the Schedule 13D is hereby amended as follows.
(a) Number of Shares Beneficially Owned by Persons Filing This
----------------------------------------------------------
Statement.
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The first sentence of the fourth paragraph of Item 5(a) is
amended and restated to read as follows:
The Perper/Raiche Trust is the record holder of 244,665
shares of Common Stock.
(b) Percent of Outstanding Common Stock Beneficially Owned by Each
--------------------------------------------------------------
Person Filing This Statement.
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Item 5(b) is amended to reflect the fact that the Perper/Raiche
Trust and Janet G. Raiche may each be deemed to beneficially own
7.3% of the outstanding Common Stock and that Alan B. Perper may
be deemed to beneficially own 9.9% of the outstanding Common
Stock.
(c) Number of Shares of Common Stock as to Which Each of the
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Persons Filing This Statement Has:
-----------------------------------
(i) Sole Voting Power.
The fifth paragraph of Item 5(c)(i) is amended to
relfect the fact that the Perper/Raiche Trust has
sole power to vote 244,665 shares of Common Stock.
(ii) Shared Voting Power.
The third paragraph of Item 5(c)(ii) is amended
and restated to read as follows:
Alan B. Perper and Janet G. Raiche, as
trustees of the Perper/Raiche Trust, share
the power to vote or direct the vote of the
244,665 shares of Common Stock held of record
by the Perper/Raiche Trust.
(iii) Sole Dispositive Power.
The fifth paragraph of Item 5(c)(iii)is amended to
reflect the fact that the Perper/Raiche Trust has
sole power to dispose of or direct the disposition
of the 244,665 shares of Common Stock that it
holds of record.
(iv) Shared Dispositive Power.
The second paragraph of Item 5(c)(iv) is amended
and restated to read as follows:
Alan B. Perper and Janet G. Raiche, as
trustees of the Perper/Raiche Trust, share
the power to dispose of or direct the
disposition of the 244,665 shares of Common
Stock held of record by the Perper/Raiche
Trust.
<PAGE>
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CUSIP No. 730715 10 9 SCHEDULE 13D Page 6 of 9 pages
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(d) Transactions in Common Stock by Persons Filing This Statement.
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See Schedule 1 for information regarding sales effected by
reporting persons during April 1999.
<PAGE>
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CUSIP No. 730715 10 9 Schedule 13D Page 7 of 9 pages
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After reasonable inquiry and to the best of their knowledge
and belief, the undersigned certify that the information set forth in this
Amendment No. 4 to Schedule 13D is true, complete and correct.
THE ECHELON GROUP OF COMPANIES, LLC
May 7, 1999 By: /s/Bradley N. Rotter
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Bradley N. Rotter,
Managing Member
May 7, 1999 /s/Bradley N. Rotter
-----------------------------------
Bradley N. Rotter
May 7, 1999 /s/Alan B. Perper
------------------------------------
Alan B. Perper
May 7, 1999 /s/John Ward Rotter
------------------------------------
John Ward Rotter
May 7, 1999 By: /s/ Janet G. Raiche
---------------------------------
Janet G. Raiche
Trustee
LODESTONE CAPITAL FUND, LLC
By: LODESTONE PARTNERS, LLC
Manager
May 7, 1999 By: /s/Michael Fitzsimmons
-------------------------------
Michael Fitzsimmons
Manager
May 7, 1999 By: /s/John Ward Rotter
-------------------------------
John Ward Rotter
Manager
LODESTONE PARTNERS, LLC
May 7, 1999 By: /s/Michael Fitzsimmons
-------------------------------
Michael Fitzsimmons
Manager
May 7, 1999 By: /s/John Ward Rotter
-------------------------------
John Ward Rotter
Manager
<PAGE>
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CUSIP No. 730715 10 9 Schedule 13D Page 8 of 9 pages
- ------------------------- -------------------------
PERPER/RAICHE REVOCABLE TRUST
May 7, 1999 By: /s/ Alan B. Perper
---------------------------------
Alan B. Perper
Trustee
May 7, 1999 By: /s/ Janet G. Raiche
---------------------------------
Janet G. Raiche
Trustee
<PAGE>
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CUSIP No. 730715 10 9 Schedule 13D Page 9 of 9 pages
- ------------------------- -------------------------
Schedule 1 to Amendment No. 4 to Schedule 13D
Summary of Transactions for April 1999
All of the following sales were effected in brokerage transactions on the Nasdaq
Stock Market.
Number of Average
Date Shares Sold Price
---- ------------ --------
The Perper/ Raiche 04/15/99 1,000 16.0000
- ------------------ 04/15/99 1,000 16.2500
Revocable Trust 04/15/99 10,000 15.7500
- -------------- 04/22/99 1,000 15.5625
