-----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, WlrvswKHWSQt3S6Rc5DAAnLsRPhbQSUr0mgVq76SkPofU83R8R/JST5GOqXRVl0i kgltymeK7VF3/tNrlGs1BQ== 0000912057-01-003880.txt : 20010205 0000912057-01-003880.hdr.sgml : 20010205 ACCESSION NUMBER: 0000912057-01-003880 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010202 GROUP MEMBERS: CAPITAL VENTURES INTERNATIONAL GROUP MEMBERS: CAPITAL VENTURES INTERNATIONAL /E9/ GROUP MEMBERS: HEIGHTS CAPITAL MANAGEMENT,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 13G/A SEC ACT: SEC FILE NUMBER: 005-38242 FILM NUMBER: 1522856 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: CAPITAL VENTURES INTERNATIONAL /E9/ CENTRAL INDEX KEY: 0001011712 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 401 CITY LINE AVENUE, SUITE 220 STREET 2: C/O BALA INTERNATIONAL INC CITY: BALA CYNWYD STATE: PA ZIP: 19004 BUSINESS PHONE: 6106172700 SC 13G/A 1 a2036920zsc13ga.txt SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 ----------------- SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (AMENDMENT NO. 1)(1) Identix Incorporated ----------------------------------------- (NAME OF ISSUER) Common Stock, $.01 par value ----------------------------------------- (TITLE OF CLASS OF SECURITIES) 4519016 ----------------------------------------- (CUSIP NUMBER) December 31, 2000 --------------------------------------------------- (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) |X| Rule 13d - 1(c) |_| Rule 13d - 1(d) - ---------- (1) The remainder of this cover page shall be filled out for a reporting person's initial filing of this form with respect to the subject class of securities, and for any subsequent amendment containing information which could alter the 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 7 - -------------------------------------------------------------------------------- CUSIP NO. 45190610 13G PAGE 2 OF 7 PAGES - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Capital Ventures International - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 1,567,140(1) -------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 1,567,140(1)(2) -------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 1,567,140(1) -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,567,140(1)(2) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,567,140(1) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.7%(3) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- (1) Includes 241,546 shares issuable upon presently exercisable warrants. (2) Heights Capital Management, Inc. is the investment advisor to Capital Ventures International and, as such, may exercise voting and dispositive power over these shares. (3) Based on 33,344,673 outstanding shares of the issuer's common stock as reported on the issuer's 10Q for the quarter ended September 30, 2000. - -------------------------------------------------------------------------------- CUSIP NO. 45190610 13G PAGE 3 OF 7 PAGES - -------------------------------------------------------------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Heights Capital Management, Inc. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 0 -------------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 1,567,140(1)(2) -------------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 0 -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,567,140(1)(2) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,567,140(2) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.7%(3) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- (1) Includes 241,546 shares issuable upon presently exercisable warrants. (2) Heights Capital Management, Inc. is the investment advisor to Capital Ventures International and, as such, may exercise voting and dispositive power over these shares. (3) Based on 33,344,673 outstanding shares of the issuer's common stock as reported on the issuer's 10Q for the quarter ended September 30, 2000. - -------------------------------------------------------------------------------- CUSIP NO. 45190610 13G PAGE 4 OF 7 PAGES - -------------------------------------------------------------------------------- ITEM 1(a). NAME OF ISSUER: Identix, Incorporated (the "Company"). ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 510 North Pastoria Avenue Sunnyvale, California 94086 ITEM 2(a). NAME OF PERSON FILING: (1) Capital Ventures International (a "Reporting Person") (2) Heights Capital Management, Inc. (a "Reporting Person") ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: (1) One Capitol Place, P.O. Box 1787 GT, Grand Cayman Islands, B.W.I. (2) 425 California Street, San Francisco, California 94104 ITEM 2(c). CITIZENSHIP: (1) Cayman Islands (2) Delaware ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $.01 par value per share, of the Company ("Common Stock"). ITEM 2(e). CUSIP NUMBER: 45190610 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A: (a) |_| Broker or dealer registered under Section 15 of the Exchange Act; (b) |_| Bank as defined in Section 3(a)(6) of the Exchange Act; (c) |_| Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) |_| Investment company registered under Section 8 of the Investment Company Act; (e) |_| An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E); (f) |_| An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) |_| A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) |_| A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) |_| A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) |_| Group, in accordance with Rule 13d-1(b)(1)(ii)(J). - -------------------------------------------------------------------------------- CUSIP NO. 45190610 13G PAGE 5 OF 7 PAGES - -------------------------------------------------------------------------------- ITEM 4. OWNERSHIP. (1) Capital Ventures International (a) Amount beneficially owned: 1,567,140 (b) Percent of Class: 4.7% (c) Number of shares to which such person has: (i) Sole power to vote or direct the vote: 1,567,140 (ii) Shared power to vote or direct the vote: 1,567,140 (iii) Sole power to dispose or to direct the disposition of: 1,567,140 (iv) Shared power to dispose or to direct the disposition of: 1,567,140 (2) Heights Capital Management, Inc. (a) Amount beneficially owned: 1,567,140 (b) Percent of Class. 4.7% (c) Number of shares to which such person has: (i) Sole power to vote or direct the vote. 0 (ii) Shared power to vote or direct the vote: 1,567,140 - -------------------------------------------------------------------------------- CUSIP NO. 45190610 13G PAGE 6 OF 7 PAGES - -------------------------------------------------------------------------------- (iii) Sole power to dispose or to direct the disposition of. 0 (iv) Shared power to dispose or to direct the disposition of: 1,567,140 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. If this statement is being filed to report the fact that as of the date hereof the Reporting Person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following |X| ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED 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 A GROUP. Not applicable ITEM 10. CERTIFICATION. By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having such purpose or effect. - -------------------------------------------------------------------------------- CUSIP NO. 45190610 13G PAGE 7 OF 7 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. Date: February 2, 2001 ---------------- CAPITAL VENTURES INTERNATIONAL By: Heights Capital Management, Inc., pursuant to a Limited Power of Attorney, a copy of which was filed as Exhibit A to the original Schedule 13G which is hereby incorporated by reference. By: /s/ Todd Silverberg -------------------------------- Todd Silverberg, General Counsel and Secretary HEIGHTS CAPITAL MANAGEMENT, INC. By: /s/ Todd Silverberg -------------------------------- Todd Silverberg, General Counsel and Secretary EXHIBIT INDEX Exhibit No. Description - ----------- ----------- 99(a) Joint Filing Agreement, dated July 8, 1999, pursuant to Rule 13d-1(k) between Capital Ventures International and Heights Capital Management, Inc. EX-99.(A) 2 a2036920zex-99_a.txt JOINT FILING AGREEMENT EXHIBIT 99(a) JOINT FILING AGREEMENT The undersigned hereby agrees that the statement on Schedule 13G with respect to the shares of Common Stock of Identix Incorporated dated July 8, 1999, and any amendments thereto signed by each of the undersigned shall be filed on behalf of each of them pursuant to and in accordance with the provisions of 13(d)-1(k) under the Securities Exchange Act of 1934. Date: July 8, 1999 CAPITAL VENTURES INTERNATIONAL By: Heights Capital Management, pursuant to a Limited Power of Attorney, a copy of which is filed as Exhibit A to the Schedule 13G By: /s/ Michael Spolan --------------------------------- Michael Spolan, General Counsel and Secretary Date: July 8, 1999 By: /s/ Michael Spolan --------------------------------- Michael Spolan, General Counsel and Secretary -----END PRIVACY-ENHANCED MESSAGE-----