-----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, LGlKX3BDnl0hbve9f1+CGF1fSDFVuL6FfLPYXRQBP9Ci3oa1cTKax2AJOStpv6hG gRPBDsScswq7D5uKL3kCCA== 0000912057-02-009548.txt : 20020415 0000912057-02-009548.hdr.sgml : 20020415 ACCESSION NUMBER: 0000912057-02-009548 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020312 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: THREE FIVE SYSTEMS INC CENTRAL INDEX KEY: 0000032272 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 860654102 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-07284 FILM NUMBER: 02573291 BUSINESS ADDRESS: STREET 1: 1600 N DESERT DR CITY: TEMPE STATE: AR ZIP: 85281-1230 BUSINESS PHONE: 6024960035 MAIL ADDRESS: STREET 1: 1600 N DESERT DRIVE CITY: TEMPE STATE: AZ ZIP: 85281-1230 FORMER COMPANY: FORMER CONFORMED NAME: ELECTRONIC RESEARCH ASSOCIATES INC DATE OF NAME CHANGE: 19900507 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRSTHAND CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0000916733 IRS NUMBER: 770449623 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 125 S MARKET STREET 2: SUITE 1200 CITY: SAN JOSE STATE: CA ZIP: 95113 BUSINESS PHONE: 4082942200 FORMER COMPANY: FORMER CONFORMED NAME: INTERACTIVE RESEARCH ADVISERS INC /ADV DATE OF NAME CHANGE: 19980217 SC 13G 1 a2073159zsc13g.txt SCHEDULE 13G OMB APPROVAL OMB Number 3235-0145 Expires: October 31, 2002 Estimated average burden Hours per response 14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.___)* THREE-FIVE SYSTEMS, INC. - -------------------------------------------------------------------------------- (NAME OF ISSUER) COMMON STOCK - -------------------------------------------------------------------------------- (TITLE OF CLASS SECURITIES) 88554L108 ------------------------------------ (CUSIP NUMBER) January 31, 2002 - -------------------------------------------------------------------------------- (DATE OF EVENT WHICH REQUIRES FILING OF THIS STATEMENT) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: /X/ Rule 13d-1(b) / / 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 the disclosure provided in a prior cover page. The information required in 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). POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENT VALID OMB CONTROL NUMBER. 1 CUSIP NO. 88554L108 1. Name of Reporting Persons. Firsthand Capital Management, Inc. I.R.S. Identification Nos. of above persons (entities only). EIN: 77-0449623 - -------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) ------ (b) ------ 3. SEC Use Only --------------------------------------------------------- 4. Citizenship or Place of Organization California ---------- Number of Shares 5. Sole Voting Power 1,095,100 Beneficially ------------------------------------------------------------ Owned by Each 6. Shared Voting Power 0 Reporting Person ------------------------------------------------------------ With: 7. Sole Dispositive Power 1,095,100 ------------------------------------------------------------ 8. Shared Dispositive Power 0 ------------------------------------------------------------ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,095,100 --------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ----------- 11. Percent of Class Represented by Amount in Row (9) 5.2% ---- 12. Type of Reporting Person (See Instructions) IA, CO ------ 2 CUSIP NO. 88554L108 1. Name of Reporting Persons. Firsthand Funds on behalf of its series, as follows: Technology Value Fund Technology Leaders Fund Technology Innovators Fund The Communications Fund The e-Commerce Fund Global Technology Fund Firsthand Core Growth Fund Firsthand Aggressive Growth Fund I.R.S. Identification Nos. of above persons (entities only). 77-6100553 31-1576988 77-0484956 77-0522622 77-0522623 06-1588825 06-1628702 06-1635819 - ------------------------------------------------------------------------------- 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) ------ (b) ------ 3. SEC Use Only --------------------------------------------------------- 4. Citizenship or Place of Organization Delaware -------- Number of Shares 5. Sole Voting Power 1,095,100 Beneficially ------------------------------------------------------------ Owned by Each 6. Shared Voting Power 0 Reporting Person ------------------------------------------------------------ With: 7. Sole Dispositive Power 1,095,100 ------------------------------------------------------------ 8. Shared Dispositive Power 0 ------------------------------------------------------------ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,095,100 --------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ----------- 11. Percent of Class Represented by Amount in Row (9) 5.2% ---- 12. Type of Reporting Person (See Instructions) IV -- 3 CUSIP NO. 88554L108 1. Name of Reporting Persons. Landis, Kevin Michael I.R.S. Identification Nos. of above persons (entities only). 2. Check the Appropriate Box if a Member of a Group (See Instructions) (a) ------ (b) ------ 3. SEC Use Only --------------------------------------------------------- 4. Citizenship or Place of Organization United States ------------- Number of Shares 5. Sole Voting Power 1,095,100 Beneficially ------------------------------------------------------------ Owned by Each 6. Shared Voting Power 0 Reporting Person ------------------------------------------------------------ With: 7. Sole Dispositive Power 1,095,100 ------------------------------------------------------------ 8. Shared Dispositive Power 0 ------------------------------------------------------------ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 1,095,100 --------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) --------- 11. Percent of Class Represented by Amount in Row (9) 5.2% ---- 12. Type of Reporting Person (See Instructions) HC (CONTROL PERSON), IN ----------------------- 4 Item 1. (a) Name of Issuer Three-Five Systems, Inc. (b) Address of Issuer's Principal Executive Offices 1600 N. Desert Drive Tempe, AZ 85281 Item 2. (a) Name of Person Filing (i) Firsthand Capital Management, Inc. ("FCM") (ii) Firsthand Funds ("Firsthand") (iii) Kevin Michael Landis ("Landis") (b) Address of Principal Business office or, if None, Residence (i) 125 South Market, Suite 1200, San Jose, CA 95113 (c) Citizenship (i) FCM: California (ii) Firsthand: Delaware (iii) Landis: United States (d) Title of Class Securities Common stock (e) CUSIP Number 88554L108 Item 3. If this statement is filed pursuant to Sections 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: (a) / / Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) / / Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) / / Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). 5 (d) /X/ Investment company registered under section 8 of the Investment Company Act (15 U.S.C. 80a-8). (e) /X/ An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E). (f) / / An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(ii)(F). (g) /X/ A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G). (h) / / A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813). (i) / / A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3). (j) / / Group in accordance with Section 240.13d-1(b) (ii)(J). This statement is filed by FCM, an investment adviser registered under the Investment Advisers Act of 1940, as amended, its control person Landis, and Firsthand, an investment company registered under the Investment Company Act of 1940, as amended. (See, also, Exhibit A.) Item 4. Ownership Common stock: (a) Amount Beneficially Owned: 1,095,100 --------- (b) Percent of Class: 5.2% ---- (c) Number of shares as to which the joint filers have: (i) sole power to vote or to direct the vote: 1,095,100 --------- (ii) shared power to vote or to direct the vote: 0 --- (iii) sole power to dispose or to direct the disposition of: 1,095,100 --------- (iv) shared power to dispose of or to direct the disposition of: 0 --- 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 securities, check the following / /. Item 6. Ownership of More than Five Percent on Behalf of Another Person. N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company. N/A Item 8. Identification and Classification of Members of the Group. N/A Item 9. Notice of Dissolution of Group. N/A 6 Item 10. Certification: (a) The following certification shall be included if the statement is filed pursuant to Section 240.13d-1(b): By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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 that purpose or effect.
SIGNATURE Date: 03/08/2002 FIRSTHAND CAPITAL MANAGEMENT, INC. /s/ Kevin M Landis -------------------------- Kevin M. Landis, President FIRSTHAND FUNDS /s/ Kevin M Landis -------------------------- Kevin M. Landis, Trustee /s/ Kevin M Landis -------------------------- Kevin M. Landis, Control Person
7 EXHIBIT A IDENTIFICATION AND CLASSIFICATION OF JOINT FILERS Pursuant to Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934, the reporting persons making this joint filing are identified and classified as follows:
NAME CLASSIFICATION Firsthand Capital Management, Inc. ("FCM") Investment adviser registered under the Investment Advisers Act of 1940, as amended. Firsthand Funds on behalf of its series, as follows Investment company registered under the Investment ("Firsthand"): Company Act of 1940, as amended. Technology Value Fund Technology Leaders Fund Technology Innovators Fund The Communications Fund The e-Commerce Fund Global Technology Fund Firsthand Core Growth Fund Firsthand Aggressive Growth Fund Kevin Michael Landis A control person of FCM and Firsthand.
8 EXHIBIT B JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(k)(1) This agreement is made pursuant to Rule 13d-1(k)(1) under the Securities and Exchange Act of 1934 (the "Act") by and among the parties listed below, each referred to herein as a "Joint Filer." The Joint Filers agree that a statement of beneficial ownership as required by Sections 13(g) or 13(d) of the Act and the Rules thereunder may be filed on each of their behalf on Schedule 13G or Schedule 13D, as appropriate, and that said joint filing may thereafter be amended by further joint filings. The Joint Filers state that they each satisfy the requirements for making a joint filing under Rule 13d-1 and are not acting as a group as defined by Rule 13d-1(b)(ii)(J).
SIGNATURE Date: 03/08/2002 FIRSTHAND CAPITAL MANAGEMENT, INC. /s/ Kevin M Landis -------------------------- Kevin M. Landis, President FIRSTHAND FUNDS /s/ Kevin M Landis -------------------------- Kevin M. Landis, Trustee /s/ Kevin M Landis -------------------------- Kevin M. Landis, Control Person
9 EXHIBIT C DISCLAIMER OF BENEFICIAL OWNERSHIP Three-Five Systems, Inc. Common Stock 1,095,100 Shares Kevin Michael Landis disclaims beneficial ownership as to all shares beneficially owned for Section 13(g) filing purposes by Firsthand Capital Management, Inc., an investment adviser, and Firsthand Funds. 10 -----END PRIVACY-ENHANCED MESSAGE-----