-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TpxozNoloZcJVp+8GTfI9UKnmzkCh4KbWnHuh7+7LNPoE9Y/RSsb9H1n5pDPJeh+ B9r6Sg8nU9rKj8v9vTAEyg== 0000889812-99-003521.txt : 19991124 0000889812-99-003521.hdr.sgml : 19991124 ACCESSION NUMBER: 0000889812-99-003521 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19991123 GROUP MEMBERS: ASCOM AG GROUP MEMBERS: ASCOM USA INC. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: IDENTIX INC CENTRAL INDEX KEY: 0000735780 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 942842496 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-38242 FILM NUMBER: 99763137 BUSINESS ADDRESS: STREET 1: 510 N PASTORIA AVE CITY: SUNNYVALE STATE: CA ZIP: 94086 BUSINESS PHONE: 4087312000 MAIL ADDRESS: STREET 1: 510 N PASTORIA AVE STREET 2: 510 N PASTORIA AVE CITY: SUNNYVALE STATE: CA ZIP: 94086 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ASCOM AG CENTRAL INDEX KEY: 0001019270 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 000000000 STATE OF INCORPORATION: V8 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: BELPATRASSE 37 CH 3000 STREET 2: BERNE 14 CITY: BERNE STATE: V8 MAIL ADDRESS: STREET 2: 114 AVENUE OF THE AMERICAS CITY: NEW YORK STATE: NY ZIP: 10036 SC 13D/A 1 AMENDMENT NO. 11 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No.11) IDENTIX INCORPORATED - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK ($0.01 Par Value) - -------------------------------------------------------------------------------- (Title of Class of Securities) 451906101 - -------------------------------------------------------------------------------- (CUSIP Number) Identix Incorporated 510 N. Pastoria Avenue Sunnyvale, CA 94086 Tel: (408) 731-2000 Christopher M. Wells, Esq., Coudert Brothers, 1114 Avenue of the Americas New York, New York 10036 (212) 626-4400 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) November 8, 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 Schedule 13D, and is filing this schedule because of Rule 13d-1 (b)(3) or (4), 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(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 disclosure 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). Page 1 of 10 Pages CUSIP No. 451906101 SCHEDULE 13D Page 2 of 10 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ascom Holding AG - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Switzerland - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 4,330,024 -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,330,024 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- CUSIP No. 451906101 SCHEDULE 13D Page 3 of 10 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ascom USA Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* 00 - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [ ] - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- NUMBER OF 7 SOLE VOTING POWER SHARES 0 BENEFICIALLY -------------------------------------------------------------- OWNED BY 8 SHARED VOTING POWER EACH 0 REPORTING -------------------------------------------------------------- PERSON 9 SOLE DISPOSITIVE POWER WITH 4,330,024 -------------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,330,024 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 14.1% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- This Eleventh Amended Statement (the "Eleventh Amended Statement") to the initial Schedule 13D filed with the Securities and Exchange Commission on behalf of Ascom Hasler Ltd. on September 12, 1988, the First Amendment to Schedule 13D filed on October 25, 1988, the Second Amendment to Schedule 13D filed on December 23, 1988, the Third Amendment to Schedule 13D filed on March 23, 1989, the Fourth Amendment to Schedule 13D filed on December 13, 1989, the Fifth Amendment to Schedule 13D filed on July 24, 1990, the Sixth Amendment to Schedule 13D filed on December 26, 1990, the Seventh Amendment to Schedule 13D filed on August 13, 1992, the Eighth Amendment to Schedule 13D filed on March 30, 1993, the Ninth Amendment to Schedule 13D filed on July 19, 1996, and the Tenth Amendment to Schedule 13D filed on August 12, 1999, all of which are incorporated by reference herein and are referred to collectively herein as the "Prior Filings," is being filed pursuant to Rule 13d-2 under the Securities Exchange Act of 1934, as amended, on behalf of Ascom Holding AG ("Ascom AG") and Ascom USA Inc. ("Ascom USA" and, together with Ascom AG, sometimes collectively referred to herein as the "Reporting Persons"). Unless otherwise stated herein, all capitalized terms used in this Eleventh Amended Statement have the same meanings as those set forth in the Prior Filings. Item 3. Source and Amount of Funds or Other Consideration. Not applicable. Item 4. Purpose of Transaction. Item 4 is hereby supplemented as follows: The Reporting Persons effected the following dispositions of the Issuer's Common Stock in open market transactions: (i) 9,000 shares at $7.27778 per share on August 12, 1999; (ii) 11,000 shares at $7.50 per share on August 13, 1999; (iii) 6,000 shares at $7.54167 per share on August 16, 1999; (iv) 6,900 shares at $7.625 per share on August 17, 1999; (v) 12,000 shares at $7.85417 per share on August 18, 1999; (vi) 7,100 shares at $8.00 per share on August 19, 1999; (vii) 3,000 shares at $8.04167 per share on August 20, 1999; (viii) 3,100 shares at $8.00202 per share on August 23, 1999; (ix) 18,000 shares at $8.06944 per share on August 24, 1999; (x) 8,000 shares at $8.20312 per share on August 25, 1999; (xi) 5,900 shares at $8.31250 per share on August 26, 1999; (xii) 8,000 shares at $8.07812 per share on August 30, 1999; (xiii) 400 shares at $8.125 per share on August 31, 1999; (xiv) 3,800 shares at $8.00 per share on September 1, 1999; (xv) 12,000 shares at $8.02083 per share on September 2, 1999; (xvi) 10,800 shares at $8.0625 per share on September 3, 1999; (xvii) 18,000 shares at $8.88194 per share on September 7, 1999; (xviii) 3,000 shares at $9.00 per share Page 4 of 10 Pages on September 8, 1999; (xix) 11,200 shares at $9.00223 per share on September 9, 1999; (xx) 16,900 shares at $9.07433 per share on September 10, 1999; (xxi) 2,900 shares at $8.5625 per share on September 27, 1999; (xxii) 5,600 shares at $8.25 per share on September 28, 1999; (xxiii) 5,000 shares at $8.25 per share on September 29, 1999; (xxiv) 9,600 shares at $8.33594 per share on September 30, 1999; (xxv) 11,900 shares at $8.41597 per share on October 1, 1999; (xxvi) 15,000 shares at $8.94042 per share on October 4, 1999; (xxvii) 11,500 shares at $8.5625 per share on October 6, 1999; (xxviii) 16,000 shares at $8.375 per share on October 11, 1999; (xxix) 5,200 shares at $8.43269 per share on October 12, 1999; (xxx) 2,900 shares at $8.28879 per share on October 13, 1999; (xxxi) 2,600 shares at $8.10817 per share on October 14, 1999; (xxxii) 2,000 shares at $8.00 per share on October 15, 1999; (xxxiii) 2,000 shares at $8.00 per share on October 21, 1999; (xxxiv) 37,100 shares at $8.00977 per share on October 22, 1999; (xxxv) 12,000 shares at $8.01198 per share on October 25, 1999; (xxxvi) 5,000 shares at $8.00 per share on October 26, 1999; (xxxvii) 9,800 shares at $8.66326 per share on November 5, 1999; (xxxviii) 22,000 shares at $9.18465 per share on November 8, 1999; (xxxix) 6,000 shares at $9.00 per share on November 9, 1999; (xl) 6,800 shares at $9.01654 per share on November 10, 1999; (xli) 400 shares at $8.875 per share on November 11, 1999; (xlii) 17,000 shares at $9.04411 on November 12, 1999; (xliii) 12,500 shares at $10.2 per share on November 15, 1999; (xliv) 15,000 shares at $10.675 per share on November 16, 1999; (xlv) 7,000 shares at $10.00 per share on November 17, 1999; (xlvi) 5,000 shares at $10.00 per share on November 18, 1999 (collectively, the "Share Disposition Transactions"). Except as described herein and as set forth in the Prior Filings, the Reporting Persons have no present plans or proposals which may relate to the types of changes or transactions described in clauses (a) through (j) of Item 4 of Schedule 13D. Item 5. Interest in Securities of the Issuer. Item 5 is hereby supplemented as follows: (a) and (b). As a result of the Share Disposition Transactions, the aggregate number of shares and percentage of Common Stock of the Issuer beneficially owned by the Reporting Persons, as well as the number of shares as to which there is sole power to vote or direct the vote, shared power to vote or direct the vote, sole power to dispose or direct the disposition, or shared power to dispose or direct the disposition of the Reporting Persons are as follows: Page 5 of 10 Pages
Power to Vote\1 Power to No of Shares Percentage --------------------- --------------------- Person Beneficially Owned of Class Sole Shared Sole Shared - ------ ------------------ -------- ---- ------ ---- ------ Ascom USA 4,330,024 14.1% 0 0 4,330,024 0 Ascom AG2 4,330,024 14.1% 0 0 4,330,024 0
1 The Common Stock is subject to a voting trust described in Prior Filings pursuant to which Ascom USA has no voting power except to cast votes regarding certain extraordinary corporate events. 2 Ascom USA is a wholly-owned subsidiary of Ascom Holding Inc., a Delaware corporation, which, in turn, is a wholly-owned subsidiary of Ascom AG. Therefore, Ascom AG may be deemed a beneficial owner of the Common Stock directly owned by Ascom USA. (c) The Reporting Persons effected the following dispositions of the Issuer's Common Stock in open market transactions: (i) 2,900 shares at $8.5625 per share on September 27, 1999; (ii) 5,600 shares at $8.25 per share on September 28, 1999; (iii) 5,000 shares at $8.25 per share on September 29, 1999; (iv) 9,600 shares at $8.33594 per share on September 30, 1999; (v) 11,900 shares at $8.41597 per share on October 1, 1999; (vi) 15,000 shares at $8.94042 per share on October 4, 1999; (vii) 11,500 shares at $8.5625 per share on October 6, 1999; (viii) 16,000 shares at $8.375 per share on October 11, 1999; (ix) 5,200 shares at $8.43269 per share on October 12, 1999; (x) 2,900 shares at $8.28879 per share on October 13, 1999; (xi) 2,600 shares at $8.10817 per share on October 14, 1999; (xii) 2,000 shares at $8.00 per share on October 15, 1999; (xiii) 2,000 shares at $8.00 per share on October 21, 1999; (xiv) 37,100 shares at $8.00977 per share on October 22, 1999; (xv) 12,000 shares at $8.01198 per share on October 25, 1999; (xvi) 5,000 shares at $8.00 per share on October 26, 1999; (xvii) 9,800 shares at $8.66326 per share on November 5, 1999; (xviii) 22,000 shares at $9.18465 per share on November 8, 1999; (xix) 6,000 shares at $9.00 per share on November 9, 1999; (xx) 6,800 shares at $9.01654 per share on November 10, 1999; (xxi) 400 shares at $8.875 per share on November 11, 1999; (xxii) 17,000 shares at $9.04411 on November 12, 1999; (xxiii) 12,500 shares at $10.2 per share on November 15, 1999; (xxiv) 15,000 shares at $10.675 per share on November 16, 1999; (xxv) 7,000 shares at $10.00 per share on November 17, 1999; (xxvi) 5,000 shares at $10.00 per share on November 18, 1999. Except as set forth in this Eleventh Amended Statement, neither the Reporting Persons nor, to the best of their knowledge and belief, any officer, director or controlling Page 6 of 10 Pages person of the Reporting Persons has effected any transactions in the Issuer's common stock during the past sixty (60) days. Item 7. Material to be filed as Exhibits. Item 7 is hereby supplemented as follows: Exhibit Description ------- ----------- 1. Joint Filing Agreement, dated November 18, 1999, between Ascom AG and Ascom USA. Page 7 of 10 Pages 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. Dated: November 18, 1999 ASCOM USA INC. By: /s/ Norbert Weissberg --------------------------- Name: Norbert Weissberg Title: President ASCOM HOLDING AG By: /s/ Markus Zimmermann ------------------------------- Name: Markus Zimmermann Title: First Vice President Page 8 of 10 Pages EXHIBIT INDEX Exhibit - ------- 1. Joint Filing Agreement, dated November 18, 1999 between Ascom AG and Ascom USA. Page 9 of 10 Pages EX-1 2 JOINT FILING AGREEMENT EXHIBIT 1 --------- JOINT FILING AGREEMENT The undersigned hereby agree that this Statement on Schedule 13D with respect to the beneficial ownership of shares of Common Stock of Identix Incorporated is filed jointly, on behalf of each of them. Dated: November 18, 1999 ASCOM HOLDING AG By: /s/ Markus Zimmermann ------------------------------- Name: Markus Zimmermann Title: First Vice President ASCOM USA INC. By: /s/ Norbert Weissberg______ ------------------------------- Name: Norbert Weissberg Title: President Page 10 of 10 Pages -----END PRIVACY-ENHANCED MESSAGE-----