TYPE: SC 13G/A OTHERDOC
SEQUENCE: 1
FILENAME: a2036920zsc13ga.txt
DESCRIPTION: SCHEDULE 13G/A
OTHERDOC AVAILABLE Series=a2036920zsc13ga.txt Ver="": Document is copied.
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
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CUSIP NO. 45190610 13G PAGE 2 OF 7 PAGES
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Capital Ventures International
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) |_|
(b) |_|
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
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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)
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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)
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12 TYPE OF REPORTING PERSON*
CO
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(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.
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CUSIP NO. 45190610 13G PAGE 3 OF 7 PAGES
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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
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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).
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CUSIP NO. 45190610 13G PAGE 5 OF 7 PAGES
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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
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CUSIP NO. 45190610 13G PAGE 6 OF 7 PAGES
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(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.
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CUSIP NO. 45190610 13G PAGE 7 OF 7 PAGES
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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.
TYPE: EX-99.(A) OTHERDOC
SEQUENCE: 2
FILENAME: a2036920zex-99_a.txt
DESCRIPTION: JOINT FILING AGREEMENT
OTHERDOC AVAILABLE Series=a2036920zex 99_a.txt Ver="": Document is copied.
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
freedgar.com
steve |
