NADER TAVAKOLI 4
4 · ENDWAVE CORP · Filed Sep 30, 2009
Insider Transaction Report
Form 4
ENDWAVE CORPENWV
EagleRock Capital Management, L.L.C.
10% Owner
Transactions
- Sale
Common Stock
2009-09-23$3.14/sh−17,600$55,187→ 1,199,333 total(indirect: See footnote) - Sale
Common Stock
2009-09-28$3.19/sh−11,753$37,516→ 1,171,281 total(indirect: See footnote) - Sale
Common Stock
2009-09-29$3.19/sh−10,000$31,900→ 1,161,281 total(indirect: See footnote) - Sale
Common Stock
2009-09-24$3.01/sh−16,299$49,019→ 1,183,034 total(indirect: See footnote)
Footnotes (5)
- [F1]The sale prices ranged from $3.09 to $3.25, with a weighted average price of $3.1356. The undersigned reporting persons hereby undertake to provide upon the request of the Commission staff, the issuer or a security holder of the issues, full information regarding the number of shares sold at each price
- [F2]The sale prices ranged from $2.96 to $3.23, with a weighted average price of $3.0075. The undersigned reporting persons hereby undertake to provide upon the request of the Commission staff, the issuer or a security holder of the issues, full information regarding the number of shares sold at each price.
- [F3]The sale prices ranged from $3.13 to $3.20, with a weighted average price of $3.1920. The undersigned reporting persons hereby undertake to provide upon the request of the Commission staff, the issuer or a security holder of the issues, full information regarding the number of shares sold at each price.
- [F4]The securities disclosed in this Form 4 are directly owned by certain funds, including EagleRock Institutional Partners, LP (the "Funds"), of which EagleRock Capital Management, LLC ("EagleRock") is the investment manager. Mr. Nader Tavakoli is the managing member and principal of EagleRock. By reason of the provisions of Rule 16a-1 under the Securities Exchange Act of 1934, as amended (the "Act"), EagleRock and Mr. Tavakoli may be deemed to be the beneficial owners of the securities beneficially owned by the Funds. EagleRock, Mr. Tavakoli and EagleRock Institutional Partners, LP hereby disclaim beneficial ownership of all securities reported herein, except to the extent of any pecuniary interest therein.
- [F5]Following the transactions of September 29, 2009 reported on this Form 4, EagleRock Institutional Partners, LP is no longer a 10% beneficial owner of the Common Stock of the Issuer.