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Heights Capital Management, Inc, et al. – ‘SC 13G’ on 7/13/99 re: Identix Inc

On:  Tuesday, 7/13/99   ·   Accession #:  929624-99-1268   ·   File #:  5-38242

Previous ‘SC 13G’:  ‘SC 13G’ on 3/15/99   ·   Latest ‘SC 13G’:  This Filing

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  As Of                Filer                Filing    For·On·As Docs:Size              Issuer               Agent

 7/13/99  Heights Capital Management, Inc   SC 13G                 1:15K  Identix Inc                       Donneley R R & S… Inc/FA
          Capital Ventures International
          Heights Capital Management Inc
          Heights Capital Management, Inc.

Statement of Beneficial Ownership   —   Schedule 13G
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: SC 13G      Schedule 13G - Identix Incorporated                   10     33K 


Document Table of Contents

Page (sequential) | (alphabetic) Top
 
11st Page   -   Filing Submission
4Item 1(a). Name of Issuer:
"Item 1(b). Address of Issuer's Principal Executive Offices:
"Item 2(a). Name of Person Filing:
"Item 2(b). Address of Principal Business Office:
"Item 2(c). Citizenship:
"Item 2(d). Title of Class of Securities:
"Item 2(e). Cusip Number:
"Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
5Item 4. Ownership
6Item 5. Ownership of Five Percent or Less of a Class
"Item 6. Ownership of More Than Five Percent on Behalf of Another Person
"Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company
"Item 8. Identification and Classification of Members of the Group
"Item 9. Notice of Dissolution of Group
"Item 10. Certification
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 __________ SCHEDULE 13G (Rule 13d-102) Information required to be Included in Statements Filed Pursuant to Rule 13d- 1(b), (c) and (d) and Amendments Thereto Filed Pursuant to Rule 13d-2. Identix Incorporated -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value -------------------------------------------------------------------------------- (Title of Class of Securities) 45190610 -------------------------------------------------------------------------------- (CUSIP number) July 1, 1999 -------------------------------------------------------------------------------- (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) _______________ * 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 7 Pages)
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----------------------- --------------------- CUSIP NO. 45190610 13G PAGE 2 OF 7 PAGES ----------------------- --------------------- ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Capital Ventures International ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] ------------------------------------------------------------------------------ SEC USE ONLY 3 ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Cayman Islands ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 2,053,140 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 2,053,140** ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 2,053,140 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 2,053,140** ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,053,140 ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 6.56% ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 CO ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! **Heights Capital Management, Inc. is the investment adviser to Capital Ventures International and as such may exercise voting and dispositive power over these shares.
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----------------------- --------------------- CUSIP NO. 45190610 13G PAGE 3 OF 7 PAGES ----------------------- --------------------- ------------------------------------------------------------------------------ NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Heights Capital Management, Inc. ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* 2 (a) [_] (b) [_] ------------------------------------------------------------------------------ SEC USE ONLY 3 ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Cayman Islands ------------------------------------------------------------------------------ SOLE VOTING POWER 5 NUMBER OF 0 SHARES ----------------------------------------------------------- SHARED VOTING POWER BENEFICIALLY 6 OWNED BY 2,053,140** ----------------------------------------------------------- EACH SOLE DISPOSITIVE POWER 7 REPORTING 0 PERSON ----------------------------------------------------------- SHARED DISPOSITIVE POWER WITH 8 2,053,140 ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,053,140 ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* 10 [_] ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 6.56% ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* 12 CO ------------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! **Heights Capital Management, Inc. is the investment adviser to Capital Ventures International and as such may exercise voting and dispositive power over these shares.
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Item 1(a). Name of Issuer: Identix Incorporated 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: (1) One Capitol Place P.O. Box 1787 GT. Grand Cayman, Cayman Islands BWI (2) 425 California Street Suite 1100 San Francisco, CA 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 (the "Common Stock") Item 2(e). Cusip Number: 45190610 Item 3. If this statement is filed pursuant to Rule 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 Act, (b) [_] Bank as defined in Section 3(a)(6) of the Act, (c) [_] Insurance Company as defined in Section 3(a)(19) of the Act, Page 4 of 7.
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(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). Item 4. Ownership. Provide the following information regarding the aggregate number and percentage of the class of securities of the issue identified in Item 1. (1) Capital Ventures International (a) Amount beneficially owned: 2,053,140 shares (b) Percent of class: 6.56% (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: 2,053,140 (ii) Shared power to vote or to direct the vote: 2,053,140 (iii) Sole power to dispose or to direct the disposition of: 2,053,140 (iv) Shared power to dispose or to direct the disposition of: 2,053,140 (2) Heights Capital Management, Inc. (a) Amount beneficially owned: 2,053,140 (b) Percent of Class: 6.56% (c) Number of Shares as to which such person has: Page 5 of 7.
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(i) Sole power to vote or to direct the vote: 0 (ii) Shared power to vote or to direct the vote: 2,053,140 (iii) Sole power to dispose or to direct the disposition of: 0 (iv) Shared power to dispose or direct the disposition of: 2,053,140 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 [ ]. 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 on 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 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 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 that purpose or effect. Page 6 of 7.
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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. Dated: July 8, 1999 Capital Ventures International By: Heights Capital Management, Inc., pursuant to a Limited Power of Attorney, a copy of which is filed as Exhibit A hereto By: /s/ Michael Spolan ___________________________________ Name: Michael Spolan Title: General Counsel Dated: July 8, 1999 Heights Capital Management, Inc. By: /s/ Michael Spolan ___________________________________ Name: Michael Spolan Title: General Counsel Page 7 of 7.
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Exhibit Index Exhibit No. Description ----------- ----------- A Limited Power of Attorney B Joint Filing Agreement, dated July 8, 1999, pursuant to Rule 13d-1(k)(1) between Capital Ventures International and Heights Capital Management, Inc.
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Exhibit A LIMITED POWER OF ATTORNEY THIS LIMITED POWER OF ATTORNEY given on the 3rd day of April, 1998 by CAPITAL VENTURES INTERNATIONAL (hereinafter called "the Company"), whose Registered Office is situated at Second Floor, One Capital Place, P.O. Box 1787, Grand Cayman, Cayman Islands, B.W.I. WHEREAS, by agreement dated March 10, 1997 by and between the Company and Heights Capital Management, the Company expressly authorized Heights Capital Management to enter into transactions in certain designated areas as defined in the Agreement attached hereto marked "Appendix 1." NOW THIS DEED WITNESSETH that Ian A.N. Wight (Director) and Woodbourne Associates (Cayman) Limited (Secretary) of the Company, hereby appoint on behalf of the company the firm of HEIGHTS CAPITAL MANAGEMENT which through its officers, directors and employees is hereby formally granted limited power of attorney for the purpose of entering into transactions on behalf of and for the account of the Company and to take any actions on behalf of the Company as may be necessary to consummate such transactions, including but not limited to instructing the transfer of funds where necessary and executing required documentation. IN WITNESS WHEREOF, the Company has caused its common seal to be hereunto affixed the day and year above written. [Download Table] THE COMMON SEAL OF CAPITAL VENTURES INTERNATIONAL /s/ Ian A.N. Wright ------------------------------------ was hereunto affixed in the presence of: Ian A.N. Wight (Director) /s/ Woodbourne Associates (Cayman) Limited ------------------------------------------ Woodbourne Associates (Cayman) Limited Secretary
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Exhibit B Joint Filing Agreement The undersigned hereby agree that the statement on Schedule 13G with respect to the shares of Common Stock of Identix Incorporated, dated July 8, 1999, and any further 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 Rule 13d-1(k) under the Securities Exchange Act of 1934. Date: July 8, 1999 Capital Ventures International By: Heights Capital Management, Inc., pursuant to a Limited Power of Attorney, a copy of which is filed as Exhibit A to the Schedule 13G By: /s/ Michael Spolan ____________________________________ Name: Michael Spolan Title: General Counsel Date: July 8, 1999 Heights Capital Management, Inc. By: /s/ Michael Spolan _________________________________________ Name: Michael Spolan Title: General Counsel

Dates Referenced Herein   and   Documents Incorporated by Reference

Referenced-On Page
This ‘SC 13G’ Filing    Date First  Last      Other Filings
Filed on:7/13/99
7/8/99710
7/1/9918-K
3/10/979
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Filing Submission 0000929624-99-001268   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)

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