1
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
Under the Securities Exchange Act of 1934
Hambrecht & Quist Group
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(Name of Issuer)
Common Stock, par value $0.01 per share
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(Title of Class of Securities)
406545 10 3
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(CUSIP Number)
December 31, 1998
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(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)
[ ] Rule 13d-1(c)
[X] Rule 13d-1(d)
(Continued on following pages)
Page 1 of 9 Pages
Exhibit Index Contained on Page 8
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2
<TABLE>
<CAPTION>
<S> <C> <C>
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CUSIP NO. 406545103 13 G Page 2 of 9 Pages
- ---------------------------------------------------------- --------------------------------------
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Hambrecht 1980 Revocable Trust
- ------------ ---------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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NUMBER OF 5 SOLE VOTING POWER
SHARES -0-
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
1,572,656
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7 SOLE DISPOSITIVE POWER
-0-
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,572,656
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,572,656
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.5%
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12 TYPE OF REPORTING PERSON*
OO
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
3
<TABLE>
<CAPTION>
<S> <C> <C>
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CUSIP NO. 406545103 13 G Page 3 of 9 Pages
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- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
William R. Hambrecht
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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NUMBER OF 5 SOLE VOTING POWER
SHARES 24,958
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
1,572,656
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7 SOLE DISPOSITIVE POWER
24,958
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8 SHARED DISPOSITIVE POWER
1,572,656
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,597,614
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.6%
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12 TYPE OF REPORTING PERSON*
IN
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<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
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ITEM 1(A). NAME OF ISSUER
Hambrecht & Quist Group
ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
One Bush Street
San Francisco, CA 94104
ITEM 2(A). NAME OF PERSONS FILING
Reference is made to Item 1 of each of the cover pages of this
Schedule, which Items are incorporated by reference herein.
ITEM 2(B). ADDRESS OF PRINCIPAL OFFICE
The address for each Reporting Person is:
c/o W.R. Hambrecht + Co., LLC
550 Fifteenth Street
San Francisco, CA 94103
ITEM 2(C) CITIZENSHIP
Reference is made to Item 4 of each of the cover pages of this
Schedule, which Items are incorporated by reference herein.
ITEM 2(D) AND (E). TITLE OF CLASS OF SECURITIES AND CUSIP NUMBER
Common Stock, par value $0.01 per share
CUSIP # 406545103
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5
ITEM 3. Not Applicable
ITEM 4. OWNERSHIP
Reference is made to items 5-9 and 11 of each of the cover pages of
this Schedule, which Items are incorporated by reference herein. At December 31,
1998, 1,572,656 shares of Common Stock were held directly by the Hambrecht 1980
Revocable Trust (the "Trust"), of which William R. Hambrecht is he trustee. In
addition, at December 31, 1998, a total of 24,958 shares of Common Stock were
held directly by Mr. Hambrecht.
Because voting and investment decisions concerning the Trust may be
made by Mr. Hambrecht as trustee, each of the reporting persons may be deemed a
member of a group that shares voting and dispositive power over the securities
held by the Trust. The filing of this Schedule shall not be construed as an
admission by any reporting person that it is the beneficial owner of any
securities other than those directly held by such reporting person.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Not applicable.
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6
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
ITEM 10. CERTIFICATION.
Not applicable
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7
SIGNATURES
After reasonable inquiry and to the best of our knowledge and
belief, the undersigned certify that the information set forth in this statement
is true, complete and correct.
Dated: October ____, 1999.
HAMBRECHT 1980 REVOCABLE TRUST
By: /s/ William R. Hambrecht
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William R. Hambrecht, Trustee
/s/ William R. Hambrecht
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William R. Hambrecht
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9
EXHIBIT INDEX
Found on
Sequentially
Exhibit Numbered Page
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Exhibit A: Agreement of Joint Filing Page 9
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EXHIBIT A
Agreement of Joint Filing
The undersigned, being duly authorized therunto, hereby
execute this agreement as an exhibit to the Schedule 13G to evidence the
agreement of the below-named parties, in accordance with rules promulgated
pursuant to the Securities Exchange Act of 1934, to file this Schedule, as it
may be amended, jointly on behalf of each of such parties
Executed this _____ day of October, 1999.
HAMBRECHT 1980 REVOCABLE TRUST
By: /s/ William R. Hambrecht
----------------------------------------
William R. Hambrecht, Trustee
/s/ William R. Hambrecht
----------------------------------------
William R. Hambrecht
