-----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, OvwAnOEH43fyZrXS6QnRtzpPvdJYM9bq9Qo1d4lOEuBimGd+p9uKqTHwMrAcpGdS RZL7Eq0VRHA4NzUXSLbtSg== 0000912057-97-016222.txt : 19970509 0000912057-97-016222.hdr.sgml : 19970509 ACCESSION NUMBER: 0000912057-97-016222 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970508 SROS: NASD GROUP MEMBERS: BAYVIEW INVESTORS, LTD. GROUP MEMBERS: G. RANDY HECHT GROUP MEMBERS: KENNETH R. FITZSIMMONS GROUP MEMBERS: MICHAEL G. MCCAFFERY GROUP MEMBERS: PAUL STEPHENS GROUP MEMBERS: ROBERTSON STEPHENS & CO INC ET AL GROUP MEMBERS: ROBERTSON, STEPHENS & COMPANY INVESTMENT MANAGEMENT L.P. GROUP MEMBERS: SANFORD ROBERTSON GROUP MEMBERS: THE ROBERTSEN STEPHONS ORPHAN FUND GROUP MEMBERS: THE ROBERTSON STEPHENS GLOBAL NATURAL RESOURCES FUND GROUP MEMBERS: THE ROBERTSON STEPHENS ORPHAN OFFSHORE FUND SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: 3DX TECHNOLOGIES INC CENTRAL INDEX KEY: 0000915518 STANDARD INDUSTRIAL CLASSIFICATION: CRUDE PETROLEUM & NATURAL GAS [1311] IRS NUMBER: 760386601 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-49753 FILM NUMBER: 97598429 BUSINESS ADDRESS: STREET 1: 12012 WICKCHESTER STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77084 BUSINESS PHONE: 7135793398 MAIL ADDRESS: STREET 1: 12012 WICKCHESTER STREET 2: SUITE 250 CITY: HOUSTON STATE: TX ZIP: 77079 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ROBERTSON STEPHENS & CO INC ET AL CENTRAL INDEX KEY: 0000922235 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 555 CALIFORNIA ST STE 2600 CITY: SAN FRANSICO STATE: CA ZIP: 94104 BUSINESS PHONE: 4157819700 SC 13D 1 SCHEDULE 13D CUSIP NO. 88554G109 ---------------------------------------- ---------------------------------------- 4OMB APPROVAL ---------------------------------------- OMB Number:. . . . . . . . . . 3235-0145 Expires: . . . . . . . .October 31, 1994 Estimated average burden hours per form. . . . . . . 14.90 ---------------------------------------- ---------------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Initial Filing)* 3DX TECHNOLOGIES - -------------------------------------------------------------------------------- Name of Issuer COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 88554G109 - -------------------------------------------------------------------------------- CUSIP Number ROBERT C. GREENWOOD ROBERTSON, STEPHENS & COMPANY 555 CALIFORNIA STREET, SUITE 2600, SAN FRANCISCO, CA 94104 (415) 781-9700 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications APRIL 2, 1997 - -------------------------------------------------------------------------------- Date of Event which Requires Filing of this Statement If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ]. Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting 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.) NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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). CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Robertson Stephens Orphan Fund Tax I.D. 94-3108651 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY 188,400 OWNED ------------------------------------------------------- BY EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON WITH ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 188,400 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 188,400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 2.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IV - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bayview Investors, LTD. Tax I.D. 94-3108651 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 188,400 (includes shares held of record by The SHARES Robertson Stephens Orphan Fund of which Robertson, BENEFICIALLY Stephens & Co. Investment Management, L.P. and OWNED Bayview Investors, Ltd. are the General Partners. BY EACH See Item 5.) REPORTING ------------------------------------------------------- PERSON WITH 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 188,400 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 188,400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 2.6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IV - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Robertson Stephens Orphan Offshore Fund Tax I.D. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION Cayman Islands - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY 40,000 OWNED ------------------------------------------------------- BY EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON WITH ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 40,000 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 40,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) .6% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IV - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON The Robertson Stephens Global Natural Resources Fund Tax I.D. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 NUMBER OF ------------------------------------------------------- SHARES 8 SHARED VOTING POWER BENEFICIALLY 156,000 OWNED ------------------------------------------------------- BY EACH 9 SOLE DISPOSITIVE POWER REPORTING 0 PERSON WITH ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 156,000 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 156,000 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 2.2% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IV - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Robertson, Stephens & Company Investment Management L.P. Tax I.D. 94-3181687 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (Working Capital of Purchasing Funds) See Item 2. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 384,400 includes shares held of record by The SHARES Robertson Stephens Orphan Fund of which Robertson, BENEFICIALLY Stephens & Co. Investment Management, L.P. and OWNED Bayview Investors, Ltd. are the General Partners. BY EACH Includes shares held of record by The Robertson REPORTING Stephens Orphan Offshore Fund of which Robertson, PERSON WITH Stephens & Co. Investment Management, L.P. is the General Partner. Included shares held of record by the Robertson Stephens Global Natural Resources Fund of which Robertson Stephens & Co Investment Management L.P. is investment adviser. See Item 5.) ------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 384,400 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 384,400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 5.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Cusip No. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Robertson, Stephens & Company, Incorporated Tax I.D. 94-3172874 See Exhibit A for a list of Executive Officers - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (Working Capital of Purchasing Funds) See Item 2. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 384,400 includes shares held of record by The SHARES Robertson Stephens Orphan Fund of which Robertson, BENEFICIALLY Stephens & Co. Investment Management, L.P. and OWNED Bayview Investors, Ltd. are the General Partners. BY EACH Includes shares held of record by The Robertson REPORTING Stephens Orphan Offshore Fund of which Robertson, PERSON WITH Stephens & Co. Investment Management, L.P. is the General Partner. Included shares held of record by the Robertson Stephens Global Natural Resources Fund of which Robertson Stephens & Co Investment Management L.P. is investment adviser. See Item 5.) ------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 384,400 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 384,400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 5.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON CO - -------------------------------------------------------------------------------- Cusip No. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Paul Stephens Tax I.D. ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* WC & PF - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 384,400 includes shares held of record by The SHARES Robertson Stephens Orphan Fund of which Robertson, BENEFICIALLY Stephens & Co. Investment Management, L.P. and OWNED Bayview Investors, Ltd. are the General Partners. BY EACH Includes shares held of record by The Robertson REPORTING Stephens Orphan Offshore Fund of which Robertson, PERSON WITH Stephens & Co. Investment Management, L.P. is the General Partner. Included shares held of record by the Robertson Stephens Global Natural Resources Fund of which Robertson Stephens & Co Investment Management L.P. is investment adviser. See Item 5.) ------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 384,400 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 384,400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 5.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- Cusip No. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sanford Robertson Tax I.D. ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (Working Capital of Purchasing Funds) See Item 2. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 384,400 includes shares held of record by The SHARES Robertson Stephens Orphan Fund of which Robertson, BENEFICIALLY Stephens & Co. Investment Management, L.P. and OWNED Bayview Investors, Ltd. are the General Partners. BY EACH Includes shares held of record by The Robertson REPORTING Stephens Orphan Offshore Fund of which Robertson, PERSON WITH Stephens & Co. Investment Management, L.P. is the General Partner. Included shares held of record by the Robertson Stephens Global Natural Resources Fund of which Robertson Stephens & Co Investment Management L.P. is investment adviser. See Item 5.) ------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 384,400 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 384,400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 5.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- Cusip No. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael G. McCaffery Tax I.D. ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (Working Capital of Purchasing Funds) See Item 2. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 384,400 includes shares held of record by The SHARES Robertson Stephens Orphan Fund of which Robertson, BENEFICIALLY Stephens & Co. Investment Management, L.P. and OWNED Bayview Investors, Ltd. are the General Partners. BY EACH Includes shares held of record by The Robertson REPORTING Stephens Orphan Offshore Fund of which Robertson, PERSON WITH Stephens & Co. Investment Management, L.P. is the General Partner. Included shares held of record by the Robertson Stephens Global Natural Resources Fund of which Robertson Stephens & Co Investment Management L.P. is investment adviser. See Item 5.) ------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 384,400 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 384,400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 5.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- Cusip No. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON G. Randy Hecht Tax I.D. ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (Working Capital of Purchasing Funds) See Item 2. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 384,400 includes shares held of record by The SHARES Robertson Stephens Orphan Fund of which Robertson, BENEFICIALLY Stephens & Co. Investment Management, L.P. and OWNED Bayview Investors, Ltd. are the General Partners. BY EACH Includes shares held of record by The Robertson REPORTING Stephens Orphan Offshore Fund of which Robertson, PERSON WITH Stephens & Co. Investment Management, L.P. is the General Partner. Included shares held of record by the Robertson Stephens Global Natural Resources Fund of which Robertson Stephens & Co Investment Management L.P. is investment adviser. See Item 5.) ------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 384,400 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 384,400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 5.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- Cusip No. 88554G109 - -------------------------------------------------------------------------------- SCHEDULE 13D - -------------------------------------------------------------------------------- CUSIP NO. 88554G109 - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Kenneth R. Fitzsimmons Tax I.D. ###-##-#### - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)/ / (b)/X/ - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 SOURCE OF FUNDS* OO (Working Capital of Purchasing Funds) See Item 2. - -------------------------------------------------------------------------------- 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) / / - -------------------------------------------------------------------------------- 6 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA - -------------------------------------------------------------------------------- 7 SOLE VOTING POWER 0 ------------------------------------------------------- 8 SHARED VOTING POWER NUMBER OF 384,400 includes shares held of record by The SHARES Robertson Stephens Orphan Fund of which Robertson, BENEFICIALLY Stephens & Co. Investment Management, L.P. and OWNED Bayview Investors, Ltd. are the General Partners. BY EACH Includes shares held of record by The Robertson REPORTING Stephens Orphan Offshore Fund of which Robertson, PERSON WITH Stephens & Co. Investment Management, L.P. is the General Partner. Included shares held of record by the Robertson Stephens Global Natural Resources Fund of which Robertson Stephens & Co Investment Management L.P. is investment adviser. See Item 5.) ------------------------------------------------------- 9 SOLE DISPOSITIVE POWER 0 ------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 384,400 - -------------------------------------------------------------------------------- 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 384,400 - -------------------------------------------------------------------------------- 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* / / - -------------------------------------------------------------------------------- 13 PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11) 5.3% - -------------------------------------------------------------------------------- 14 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION Cusip No. 88554G109 ITEM 1. SECURITY AND ISSUER. This Schedule 13D is filed with respect to the Common Stock of 3DX Technologies, Inc. (The "Company") whose principal offices are located at 12012 Wickchester, Suite 250, Houston, TX 77079-1208. ITEM 2: IDENTITY AND BACKGROUND. The Schedule 13D is filed on behalf of The Robertson Stephens Orphan Fund, Robertson, Stephens & Company Investment Management, L.P. ("RS&Co.,L.P."), Bayview Investors, Ltd. ("Bayview"), The Robertson Stephens Orphan Offshore Fund, Robertson, Stephens & Company, Inc. ("RS&Co., Inc."), The Robertson Stephens Global Natural Resources Fund and RS&Co., Inc.'s five shareholders, Messrs. Sanford R. Robertson, Paul H. Stephens, Michael G. McCaffery, G. Randy Hecht, and Kenneth R. Fitzsimmons. The purchase of the Company's shares giving rise to this 13D was made by three investment funds, The Robertson Stephens Orphan Fund, The Robertson Stephens Orphan Offshore Fund and the Robertson Stephens Global Natural Resources Fund. This Schedule 13D relates to the direct beneficial ownership in the shares of the Company by the Funds, and the indirect beneficial ownership of RS&Co., L.P., Bayview, and RS&Co., Inc. in the shares of the Company held by the Funds. Messrs. Robertson, Stephens, McCaffery, Hecht and Fitzsimmons disclaim any beneficial ownership with respect to shares of the Company that RS&Co., Inc. may be deemed to be beneficially own, are included in this Schedule 13D for protective disclosure purposes only, and shall not be deemed by their inclusion in this Schedule 13D to have made any admission that any such person has any beneficial interest in such shares. Set forth below is the following information with respect to the persons signing this Schedule 13D: name; place of organization; address of principal business and office; principal business; information concerning criminal convictions during the past five years; and information concerning civil or administrative proceedings during the past five years with respect to any state or federal securities laws. I. (a) The Robertson Stephens Orphan Fund, L.P., is a California limited partnership. Robertson Stephens & Co. Investment Management L.P. and Bayview Investors LTD. are the General Partners. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) Limited Partnership (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. II. (a) The Robertson Stephens Orphan Offshore Fund is a Cayman Islands limited partnership. Robertson, Stephens & Co Investment Management L.P. is the General Partner. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 Cusip No. 88554G109 (c) Limited Partnership (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. III. (a) Robertson Stephens Global Natural Resources Fund, A Massachusetts Business Trust. The Registered Investment Manager of The Robertson Stephens Global Natural Resources Fund is: Robertson, Stephens & Co. Investment Management, L.P. The General Partner of Robertson, Stephens & Co. Investment Management, L.P. is Robertson, Stephens & Company, Incorporated. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) Limited Partnership (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. IV. (a) Bayview Investors LTD., is a California limited partnership. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) Limited Partnership (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. V. (a) Robertson, Stephens & Company, Incorporated, is a California Corporation. Robertson, Stephens & Company, Incorporated is the General Partner of Robertson, Stephens & Company Investment Management, L.P. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) Corporation, Investment Banking. (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. VI. (a) Paul H. Stephens. Cusip No. 88554G109 (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) Paul H. Stephens is Managing Director and Chief Investment Officer, and a shareholder, of Robertson, Stephens & Company, Incorporated. (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. VII. (a) Sanford R. Robertson. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) Sanford R. Robertson is the Chairman of and a shareholder of Robertson, Stephens & Company, Incorporated. (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. VIII. (a) Michael G. McCaffery. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) Michael G. McCaffery is the President and Chief Executive Officer, and a shareholder, of Robertson, Stephens & Company, Incorporated. (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) Limited Partnership (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. IX. (a) G. Randy Hecht. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) G. Randy Hecht is the Executive Vice President, Chief Operating Officer, and shareholder of Robertson, Stephens & Company, Incorporated. Cusip No. 88554G109 (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. X. (a) Kenneth R. Fitzsimmons. (b) 555 California Street, Suite 2600 San Francisco, CA 94104 (c) Kenneth R. Fitzsimmons is the Managing Director, Director of Capital Markets, and shareholder of Robertson, Stephens & Company, Incorporated. (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. ITEM 3: SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION: The securities with respect to which this Schedule 13D is filed were purchased by the Funds using working capital contributed by their respective partners and shareholders. ITEM 4: PURPOSE OF TRANSACTION: The securities with respect to which this Schedule 13D is filed were purchased by the Funds in the ordinary course of investment and not with the intention nor effect of changing or influencing control of the Issuer. The reporting persons may sell all or part or acquire additional securities of the Issuer depending on market conditions and other economic factors. ITEM 5: INTEREST IN SECURITIES OF THE ISSUER. (a) (b) The aggregate number and percentage of the class of securities identified pursuant to Item 1 of this Schedule 13D that are beneficially owned by the persons listed in Item 2 are as follows:
No. of Shares Name of Beneficially Percentage of Beneficial Owner Owned Class(1) ---------------------------------------------------------------------------------------- The Robertson Stephens Orphan Fund 188,400 (2) 2.6% The Robertson Stephens Orphan Offshore Fund 40,000 (3) .6% The Robertson Stephens Global Natural Resources Fund 156,000 (4) 2.2% Robertson Stephens & Co Investment Mngmnt L.P. 384,400 (5) 5.3% Bayview Investors LTD 188,400 (6) 2.6% Robertson Stephens & Co. Incorporated 384,400 (7) 5.3% Paul H. Stephens 384,400 (8) 5.3% Sanford R. Robertson 384,400 (9) 5.3% Michael G. McCaffery 384,400 (10) 5.3% G. Randy Hecht 384,400 (11) 5.3% Kenneth R. Fitzsimmons 384,400 (12) 5.3%
Cusip No. 88554G109 (1) All percentages in this table are based, pursuant to Rule 13D-1(e) of the Securities Exchange Act of 1934, as amended, on 7,216,177 shares of Common Stock of the Issuer outstanding as of April 19, 1997. (2) The Robertson Stephens Orphan Fund is a California limited partnership. (3) The Orphan Offshore Fund is a Cayman Islands limited partnership. (4) The Robertson Stephens Global Natural Resources Fund is a registered investment company. Robertson, Stephens & Co. Investment Management L.P. is the registered investment manager for the Global Natural Resources Fund. RS&Co., Inc. is the General Partner of Robertson Stephens & Co. Investment Management L.P. (5) Robertson, Stephens & Co.Investment Management L.P., a California Limited Partnership, as General Partner of The Robertson Stephens Orphan Fund and the Orphan Offshore Fund, and is deemed to have shared dispositive power over 384,400 shares of the Company. (6) Bayview Investors, Ltd. is a California Limited Partnership, and as General Partner of The Robertson Stephens Orphan Fund and is deemed to have shared dispositive power over 188,400 shares of the Company. (7) Robertson, Stephens & Company, Inc., a California Corporation, is the General Partner of Robertson, Stephens & Company Investment Management L.P., and as such is deemed to have shared dispositive power over 384,400 shares of the Company. (8) Paul H. Stephens is the Chief Investment Officer of RS&Co., Inc. and as such may be deemed to have shared voting power over 384,400 shares of the Company. He is also a shareholder of Robertson, Stephens & Company Inc. (9) Sanford R. Robertson is Chairman and a shareholder of Robertson, Stephens & Company Inc. and as such may be deemed to have shared voting power over 384,400 shares of the Company held by the Funds. (10) Michael G. McCaffery is President and Chief Executive Officer and a shareholder of Robertson, Stephens & Company Inc. and as such may be deemed to have shared voting power over 384,400 shares of the Company held by the Funds. (11) G. Randy Hecht is Executive Vice President, Chief Operating Officer and a shareholder of Robertson, Stephens & Company Inc. and as such may be deemed to have shared voting power over 384,400 shares of the Company held by the Funds. (12) Kenneth R. Fitzsimmons is the Managing Director, Director of Capital Markets and a shareholder of Robertson, Stephens & Company Inc. and as such may be deemed to have shared voting power over 384,400 shares of the Company held by the Funds. Cusip No. 88554G109 (c) The following is a list of transactions by the filing parties in the last 60 days. Entity Date Shares Price Transaction ------ ---- ------ ----- ----------- Global Natural Resources 4/2/97 50,000 8.13 open mkt purchase Global Natural Resources 4/2/97 6,000 8.25 open mkt purchase Orphan Fund 4/2/97 50,000 8.13 open mkt purchase Orphan Fund 4/2/97 4,000 8.25 open mkt purchase Orphan Fund 4/2/97 21,000 8.70 open mkt purchase ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. Please refer to Item 5. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS. The following exhibits are filed herewith: Exhibit A - Agreement of Joint Filing Cusip No. 88554G109 ITEM 8. SIGNATURE PAGE. After reasonable inquiry and to the best of my knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: May 7, 1997 THE ROBERTSON STEPHENS ORPHAN FUND, A CALIFORNIA LIMITED PARTNERSHIP. By Robertson, Stephens & Company, L.P. By Robertson, Stephens & Company, Incorporated By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer THE ROBERTSON STEPHENS GLOBAL NATURAL RESOURCES FUND, A REGISTERED INVESTMENT COMPANY By Robertson, Stephens & Company, L.P. By Robertson, Stephens & Company, Incorporated By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer BAYVIEW INVESTORS, LTD., A CALIFORNIA LIMITED PARTNERSHIP. By Robertson, Stephens & Company, L.P. By Robertson, Stephens & Company, Incorporated By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer ROBERTSON, STEPHENS & COMPANY, L.P., A CALIFORNIA LIMITED PARTNERSHIP. By Robertson, Stephens & Company, Incorporated By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer ROBERTSON, STEPHENS & COMPANY, INCORPORATED By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer Cusip No. 88554G109 Paul H. Stephens* ----------------- Paul H. Stephens Sanford R. Robertson* --------------------- Sanford R. Robertson Michael G. McCaffery* --------------------- Michael G. McCaffery G. Randy Hecht* --------------- G. Randy Hecht Kenneth R. Fitzsimmons* ----------------------- Kenneth R. Fitzsimmons *By: ----------------------------- Robert C. Greenwood Pursuant to Power of Attorney Previously Filed Cusip No. 88554G109 EXHIBIT A AGREEMENT OF JOINT FILING The undersigned hereby agree that they are filing jointly pursuant to Rule 13d-1(f)(1) of the Act of the Statement dated January 31, 1997 containing the information required by Schedule 13D, for the Common Stock of CD Radio, Inc. held by The Robertson Stephens Orphan Fund, Bayview Investors, Ltd., Robertson, Stephens & Company, Investment Management L.P., and Robertson, Stephens & Company, Incorporated. Dated: May 7, 1997 THE ROBERTSON STEPHENS ORPHAN FUND, A CALIFORNIA LIMITED PARTNERSHIP. By Robertson, Stephens & Company, L.P. By Robertson, Stephens & Company, Incorporated By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer THE ROBERTSON STEPHENS ORPHAN OFFSHORE FUND, A CAYMAN ISLANDS LIMITED PARTNERSHIP. By Robertson, Stephens & Company, L.P. By Robertson, Stephens & Company, Incorporated By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer BAYVIEW INVESTORS, LTD., A CALIFORNIA LIMITED PARTNERSHIP. By Robertson, Stephens & Company, L.P. By Robertson, Stephens & Company, Incorporated By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer ROBERTSON, STEPHENS & COMPANY INVESTMENT MANAGEMENT, L.P., A CALIFORNIA LIMITED PARTNERSHIP. By Robertson, Stephens & Company, Incorporated By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer Cusip No. 88554G109 ROBERTSON, STEPHENS & COMPANY, INCORPORATED By: Paul H. Stephens* ----------------- Paul H. Stephens Managing Director and Chief Investment Officer Paul H. Stephens* ----------------- Paul H. Stephens Sanford R. Robertson* --------------------- Sanford R. Robertson Michael G. McCaffery* --------------------- Michael G. McCaffery G. Randy Hecht* --------------- G. Randy Hecht Kenneth R. Fitzsimmons* ----------------------- Kenneth R. Fitzsimmons *By ----------------------------- Robert C. Greenwood Pursuant to Power of Attorney Previously Filed -----END PRIVACY-ENHANCED MESSAGE-----