SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Rule 13d-101
Under the Securities Exchange Act of 1934
(Amendment No. __)*
RAVENSWOOD WINERY INC
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
754438109
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(CUSIP Number)
Robert F. Raney III
WR Hambrecht + Co., LLC
550 15th Street
San Francisco CA 94103
4155518657
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(Name, Address and Telephone Number of Person Authorized
to Receive Notices and Communications)
July 26, 1999
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(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 that is the subject of this Schedule 13D, and is filing
this schedule because of ss. 240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check
the following box. |_|
NOTE: Schedules filed in paper format shall include a signed original and
five copies of the schedule, including all exhibits. See Rule 13d-7 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 ("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).
Page 1 of 4 Pages
<PAGE>
CUSIP No. 754438109
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(1) Names and I.R.S. Identification Nos.(entities only) of reporting persons.
WR Hambrecht + Co., LLC
943289837
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(2) Check the appropriate box if a member of a group (see instructions) (a)|_|
(b)|_|
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(3) SEC use only.
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(4) Source of funds (see instructions).
WC
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(5) Check if disclosure of legal proceedings is required pursuant to Items |_|
2(d) or 2(e).
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(6) Citizenship or place of organization.
Delaware
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Number of shares beneficially owned by each reporting person with:
(7) Sole voting power:
N/A
(8) Shared voting power:
532436 WR Hambrecht + Co., LLC
Convertible Debentures 12/2008 125,000 convertible to 7875 common
shares WR Hambrecht + Co., LLC
Convertible Debentures 12/2003 convertible to 5625 common shares : WR
Hambrecht + Co., LLC
109765 William R. Hambrecht, Partner, WR Hambrecht + Co.,LLC
(9) Sole dispositive power:
N/A
(10) Shared dispositive power:
N/A
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(11) Aggregate amount beneficially owned by each reporting person.
665701
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(12) Check if the aggregate amount in Row (11) excludes certain shares |_|
(see instructions).
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(13) Percent of class represented by amount in Row (11).
13.11%
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(14) Type of reporting person (see instructions).
BD
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Page 2 of 4 Pages
<PAGE>
Item 1. Security and Issuer.
Common Stock and Convertible Debentures, Ravenswood Winery
Item 2. Identity and Background.
(a) WR Hambrecht + Co., LLC
(b) 550 15th Street
San Francisco, CA 94103
(c) Broker Dealer
(d) No criminal proceedings convictions.
(e) Not a party to any civil proceedings.
(f) Delaware
Item 3. Source and Amount of Funds or Other Consideration.
Working Capital
Item 4. Purpose of Transaction.
Long Term Investment
Item 5. Interest in Securities of the Issuer.
(a) Common Shares 642201 12.84%
Convertible Debentures 12/2008 125,000 convertible to 7875 common
shares 0.15% of common shares outstanding
Convertible Debentures 12/2003 convertible to 5625 common shares: WR
Hambrecht + Co., LLC 0.11% of shares outstanding
109765 William R. Hambrecht, Partner, WR Hambrecht + Co.,LLC
(b) Sole power to dispose of 665701 shares held by William R.
Hambrecht, Partner, WR Hambrecht + Co., LLC
(c) N/A
(d) N/A
(e) N/A
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to
Securities of the Issuer.
N/A
Item 7. Material to be Filed as Exhibits.
N/A
Page 3 of 4 Pages
<PAGE>
Signature: 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.
WR Hambrecht + Co., LLC
Date: 10/25/99 Signature /s/ Robert F. Raney III
------------------------------------------
Name: Robert F. Raney III
Title: Compliance Analyst
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative (other than an executive
officer or general partner of the filing person), evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement: Provided, however, That a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
ATTENTION--Intentional misstatements or omissions of fact constitute Federal
criminal violations (See 18 U.S.C. 1001). (Secs. 13(d), 13(g), 14(d), 23, 48
Stat. 894, 895, 901; sec. 8, 49 Stat. 1379; sec. 203(a), 49 Stat. 704; sec. 10,
78 Stat. 88a; Secs. 2, 3, 82 Stat. 454, 455; secs. 1, 2, 3-5, 84 Stat. 1497;
sec. 18, 89 Stat. 155; secs. 202, 203, 91 Stat. 1494, 1498, 1499; 15 U.S.C.
78m(d), 78m(g), 78n(d), 78w) [44 FR 2145, Jan. 9, 1979; 44 FR 11751, Mar. 2,
1979; 44 FR 70340, Dec. 6, 1979; 47 FR 11466, Mar. 16, 1982; 61 FR 49959, Sept.
24, 1996; 62 FR 35340, July 1, 1997; 63 FR 2867, Jan. 16, 1998; 63 FR 15287,
Mar. 31, 1998]
Page 4 of 4 Pages
