-----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, HEr7IPXyXIEs73J6rAmIq6R6ZHB9uddQ3eo/L3k7b3y0qLXyDnZ9jWxOg1BBCcWT R3DIXPFRan/Yu6dN1UmawA== 0000937812-99-000003.txt : 19990209 0000937812-99-000003.hdr.sgml : 19990209 ACCESSION NUMBER: 0000937812-99-000003 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990208 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: 99523112 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: BALLARD JOHN W CENTRAL INDEX KEY: 0000901814 STANDARD INDUSTRIAL CLASSIFICATION: [] 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: 4087476130 SC 13G/A 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. __10__)* 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: John W. Ballard II Trustee under Agreement dated July 22, 1981 The Ballard Living Trust 94-6523387 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION: California 12/31/98 NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5 SOLE VOTING POWER (See disclaimer in Item 4) 447,391 6 SHARED VOTING POWER 7 SOLE DISPOSITIVE POWER 343,515 8 SHARED DISPOSITIVE POWER 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 447,391 Includes 103,876 shares held in trust for John W. Ballard II by the TCI International Inc. Stock Ownership Plan 10 CHECK IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ______ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 13.9% 12 TYPE OF REPORTING PERSON OO 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: John W. Ballard, Trustee Item 2(b): Address of Principal Business Office: 222 Caspian Drive, Sunnyvale, CA 94089 Item 2(c): Citizenship: USA Item 2(d): CUSIP Number 872293-10-5 Item 3: Type of Reporting Person: N/A Item 4: Ownership The information in Items 5-11 on the cover page is incorporated by reference. Amount shown as Beneficially Owned includes 103,876 shares held in trust for John W. Ballard II by the TCI International Inc. Employee Stock Ownership Plan. 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: 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 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: February 2, 1999 Signature: /s/ John W. Ballard II ---------------------------- Name and Title: John W. Ballard II Trustree under Agreement dated July 22, 1981 The Ballard Living Trust -----END PRIVACY-ENHANCED MESSAGE-----