-----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, NKxEpHftgbClsxPfO3tnkwAMtKDu5+gtMtVFmdqVfuw+GeG14R5yBneFdhQb+BmQ VRJH14c4NyP0+cU7sX7DTQ== 0000357064-98-000005.txt : 19980115 0000357064-98-000005.hdr.sgml : 19980115 ACCESSION NUMBER: 0000357064-98-000005 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980114 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TCI INTERNATIONAL INC CENTRAL INDEX KEY: 0000357064 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 943026925 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-34705 FILM NUMBER: 98506196 BUSINESS ADDRESS: STREET 1: 222 CASPIAN DR CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087476100 MAIL ADDRESS: STREET 1: 222 CASPIN DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089 FORMER COMPANY: FORMER CONFORMED NAME: TECHNOLOGY FOR COMMUNICATIONS INTERNATIONAL INC DATE OF NAME CHANGE: 19880606 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TCI INTERNATIONAL INC EMPLOYEE STOCK OWNERSHIP PLAN CENTRAL INDEX KEY: 0000937812 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 222 CASPIAN DRIVE CITY: SUNNYVALE STATE: CA ZIP: 94089-1014 BUSINESS PHONE: 4087476132 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 9)* TCI INTERNATIONAL, INC. (name of issuer) Common Stock $.01 par value per share (Title of Class of Securities) 872293-10-5 (CUSIP Number) Check the following box if a fee is being paid with this statement ( ). (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *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 would alter the disclosures 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 Act (however, see the Notes). 1. NAME OF REPORTING PERSON/S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON: TCI International Inc. Employee Stock Ownership Plan (formerly the Technology for Communications International Employee Stock Ownership Plan) 94-2431209 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) ( ) (b) ( ) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION: California 12/31/97 NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH (See disclaimer in Item 4) 5. SOLE VOTING POWER (See disclaimer in Item 4) 0 6. SHARED VOTING POWER 0 7. SOLE DISPOSITIVE POWER 507,307 8. SHARED DISPOSITIVE POWER 48,297 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 555,604 (See disclaimer in Item 4) 10. CHECK IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ( ) 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 17.3% 12. TYPE OF REPORTING PERSON EP CUSIP NO. 872293-10-5 Schedule 13G PAGE 2 OF 2 PAGES Item 1(a): Name of Issuer: TCI International,Inc. Item 1(b): Address of Issuer's Principal Executive Offices: 222 Caspian Drive, Sunnyvale, CA 94089 Item 2(a): Name of Person Filing: TCI International Inc. Employee Stock Ownership Plan (formerly the Technology for Communications International Employee Stock Ownership Plan) Item 2(b): Address of Principal Business Office: 222 Caspian Drive, Sunnyvale, CA 94089 Item 2(c): Citizenship: California Item 2(d): CUSIP Number 872293-10-5 Item 3: Type of Reporting Person: Employee Benefit Plan which is subject to the provisions of the Employee Retirement Income Security Act of 1974 Item 4: Ownership The information in Items 5-11 on the cover page is incorporated by reference. Note: TCI International Inc. Employee Stock Ownership Plan (the "Plan") disclaims beneficial ownership of TCI International Inc. common stock held as of December 31, 1997 in trust for inactive Plan participants over which the Plan does not have discretionary voting authority or full discretion to purchase or dispose of securities (48,297 shares as of December 31,1997) or for shares held in trust for active plan participants over which the Plan does not have discretionary voting authority (507,307 shares as of December 31, 1997) and the filing of this statement 13G shall not be construed as an admission that the Plan is the beneficial owner of any securities described in this sentence. Item 5: Ownership of Five Percent or Less of a Class: N/A Item 6: Ownership of More than Five Percent on Behalf of Another Person: Shares are held in trust for the participants of the Employee Stock Ownership Plan. No Plan participant is known to have such interest with respect to more than 5% of the class except as follows: (i) John W. Ballard II and (ii) E.M.T.Jones 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 Item 10: Certification: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. 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: January 13, 1998 Signature: /S/ John W. Ballard II Name and Title: John W. Ballard II Administrative Committee Member, TCI International Inc. Employee Stock Ownership Plan -----END PRIVACY-ENHANCED MESSAGE-----