-----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, J+InfeSbywHpiGRUCWDX9iUJwMCRzFmkLq355aEl+ooscECLvoFks8PkuaPRwPYs m1IM6FpGk1chNFkJzNm+uA== 0001021408-02-003131.txt : 20020415 0001021408-02-003131.hdr.sgml : 20020415 ACCESSION NUMBER: 0001021408-02-003131 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020306 GROUP MEMBERS: BLUM STRATEGIC GP, L.L.C. GROUP MEMBERS: BLUM STRATEGIC PARTNERS, L.P. GROUP MEMBERS: BLUM(K*TEC)CO-INVESTMENT PARTN GROUP MEMBERS: CARL J. RICKERTSEN GROUP MEMBERS: DANIEL M. DICKINSON GROUP MEMBERS: FREDERIC V. MALEK GROUP MEMBERS: JEFFREY W. GOETTMAN GROUP MEMBERS: RICHARD C. BLUM GROUP MEMBERS: TC CO-INVESTORS IV, LLC GROUP MEMBERS: TC EQUITY PARTNERS IV, L.L.C. GROUP MEMBERS: TC KCO, L.L.C. GROUP MEMBERS: TC MANAGEMENT PARTNERS IV, L.L.C. GROUP MEMBERS: TC MANUFACTURING HOLDINGS, L.L.C. GROUP MEMBERS: THAYER - BLUM FUNDING III, L.L.C. GROUP MEMBERS: THAYER EQUITY INVESTORS IV, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EFTC CORP/ CENTRAL INDEX KEY: 0000916797 STANDARD INDUSTRIAL CLASSIFICATION: PRINTED CIRCUIT BOARDS [3672] IRS NUMBER: 840854616 STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48002 FILM NUMBER: 02568621 BUSINESS ADDRESS: STREET 1: HORIZON TERRACE STREET 2: 9351 GRANT STREET SIXTH FL CITY: DENVER STATE: CO ZIP: 80229 BUSINESS PHONE: 3034518200 MAIL ADDRESS: STREET 1: HORIZON TERRACE STREET 2: 9351 GRANT STREET SIXTH FL CITY: DENVER STATE: CO ZIP: 80229 FORMER COMPANY: FORMER CONFORMED NAME: EFTC CORP DATE OF NAME CHANGE: 19971211 FORMER COMPANY: FORMER CONFORMED NAME: ELECTRONIC FAB TECHNOLOGY CORP DATE OF NAME CHANGE: 19940103 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: THAYER BLUM FUNDING LLC CENTRAL INDEX KEY: 0001110573 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 1455 PENNSYLVANIA AVENUE N W SUITE 350 CITY: WASHINGTON STATE: DC ZIP: 20004 BUSINESS PHONE: 2023710150 MAIL ADDRESS: STREET 1: 1455 PENNSYLVANIA AVENUE N W SUITE 350 CITY: WASHINGTON STATE: DC ZIP: 20004 SC 13D/A 1 dsc13da.txt AMENDMENT #5 TO SCHEDULE 13 D CUSIP No. 268443 10 8 Page 1 of 23 -------------------------------- OMB APPROVAL -------------------------------- OMB Number: 3235-0145 Expires: October 31, 1997 Estimated average burden hours per response . . . 14.90 -------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT No. 5 to SCHEDULE 13D/A Under the Securities Exchange Act of 1934 - -------------------------------------------------------------------------------- EFTC CORPORATION (Name of Issuer) Common Stock, par value $0.01 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 268443 10 8 ----------- (CUSIP Number) Jeffrey W. Goettman Thayer-BLUM Funding, L.L.C. 1455 Pennsylvania Avenue, N.W. Washington, D.C. 20004 (202) 371-0150 with a copy to: Eric A. Stern, Esq. Murray A. Indick, Esq. Latham & Watkins Thayer-BLUM Funding, L.L.C. 555 Eleventh Street, N.W. 909 Montgomery Street Suite 1000 Suite 400 Washington, D.C. 20004 San Francisco, CA 94133 (202) 637-2200 (415) 434-1111 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) February 28, 2002 ----------------- (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(e), 13d-1(f) or 13d-1(g), check the following box [_]. Note: Schedules filed in paper format shall include a signed original and five copies of this schedule, including all exhibits. See Rule 13d-7(b) 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. CUSIP No. 268443 10 8 Page 2 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON THAYER-BLUM FUNDING, L.L.C. SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2265389 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY) - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 3 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON THAYER-BLUM FUNDING III, L.L.C. SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2265389 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY) - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 4 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON THAYER-EQUITY INVESTORS IV, L.P. SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-21228525 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 5 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON TC EQUITY PARTNERS IV, L.L.C. SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2121904 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY) - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 6 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON TC MANUFACTURING HOLDINGS, L.L.C S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY) 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 7 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON TC CO-INVESTORS IV, LLC S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2139964 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY) 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 8 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON TC MANAGEMENT PARTNERS IV, L.L.C. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2121901 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY) 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 9 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON TC KCO, L.L.C. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY) 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 10 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON FREDERIC V. MALEK S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* IN 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 11 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON CARL J. RICKERTSEN S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 12 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON JEFFREY W. GOETTMAN S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* IN 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 13 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON DANIEL M. DICKINSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 14 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON BLUM STRATEGIC PARTNERS, L.P S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 94-3303833 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* PN 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 15 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON BLUM STRATEGIC GP, L.L.C S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 94-3303831 - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ----------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY) 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 16 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON BLUM (K*TEC) CO-INVESTMENT PARTNERS, L.P. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* PN 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 17 of 23 - ------------------------------------------------------------------------------ 1 NAME OF REPORTING PERSON RICHARD C. BLUM S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON - ------------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 SOURCE OF FUNDS N/A - ------------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_] - ------------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION USA - ------------------------------------------------------------------------------ 7 SOLE VOTING POWER NUMBER OF SHARES ---------------------------------------------------------- BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH 0 ----------------------------------------------------------- REPORTING PERSON 9 SOLE DISPOSITIVE POWER WITH ----------------------------------------------------------- 10 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - ------------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON* IN 14 - ------------------------------------------------------------------------------ CUSIP No. 268443 10 8 Page 18 of 23 Item 1 of the Amended Schedule 13D is hereby amended and supplemented by adding the following after the last paragraph: The number of shares reported in this Amendment No. 5 reflects a decrease of shares under those reported in Amendment No. 4 to 0. The decrease reflects the mergers as described in Item 4(a) below. The total amount of Common Stock after conversion is zero. Item 2 of the Amended Schedule 13D is hereby amended and supplemented by adding the following after the last paragraph: Thayer-BLUM Funding III, L.L.C., a Delaware limited liability company ("TBF III") is a "Reporting Person" for the purposes of this Amendment to Schedule 13D. TBF III is in the business of holding shares of Suntron Corporation for investment purposes following the merger described in Item 4(a) below. TC KCo, L.L.C. is a member of TBF III and is a "Thayer Entity" for the purposes of this Amendment to Schedule 13D. Blum (K*TEC) Co-Investment Partners, L.P. is a member of TBF III and is a "Blum Entity" for the purposes of this Amendment to Schedule 13D. RCBA GP, L.L.C. and RCBA Strategic Partners, L.P. changed their names to Blum Strategic GP, L.L.C. and Blum Strategic Partners, L.P., respectively. Except as provided in this paragraph, the information required for TBF III under (a) through (f) of this Item 2 is the identical to that of the Purchaser. Item 3 of the Amended Schedule 13D is hereby amended and supplemented by adding the following after the last paragraph: On February 28, 2002, 37,851,343 shares of common stock, par value $.01 per share, of the Company held by TBF III were exchanged for 9,462,835 shares of common stock of Suntron Corporation ("Suntron") pursuant to the Merger Agreement described below in Item 4. Item 4 of the Amended Schedule 13D is hereby amended and supplemented by adding the following after the last paragraph: On February 27, 2002, Purchaser merged and into TBF III with TBF III as the surviving entity pursuant to an Agreement and Plan of Merger, dated February 27, 2002 between Purchaser and TBF III. On February 28, 2002, Suntron acquired the Company and Thayer-BLUM Funding II, L.L.C. ("TBF II"), a wholly-owned subsidiary of TBF III, pursuant to the Merger Agreement, the terms of which are more fully described in Amendment No. 4 to this Schedule 13D. Under the Merger Agreement, TBF II and the Company merged with a separate, wholly owned subsidiaries of Suntron, with TBF II and the Company continuing as the surviving corporations and wholly owned subsidiaries of Suntron (the "Mergers"). As a result of the Mergers, each share of the Company's common stock was converted into 0.25 shares of the Suntron's common stock and all outstanding units of TBF II were converted into 9,462,835 shares of the Suntron's common stock. As a result of the Mergers, the Reporting Persons no longer own any shares of the Company's Common Stock. CUSIP No. 268443 10 8 Page 19 of 23 Item 5(a) of the Amended Schedule 13D is hereby amended and supplemented to read in its entirety: (a) The Reporting Persons listed in Item 2 above may be deemed to be members in a group. However, the Reporting Persons would be deemed to have beneficial ownership of zero shares of Common Stock. Item 7 of the Amended Schedule 13D is hereby amended and supplemented by adding the following: Exhibit 99.1: Agreement and Plan of Merger, dated as of February 27, 2002, between the Purchaser and TBF III Exhibit 99.2: Amended and Restated Agreement and Plan of Merger, dated as of May 3, 2001, between the Company, Suntron (formerly known as Express EMS Corporation), K*TEC Electronics Holding Corporation and TBF II (filed as Exhibit 2.1 to Suntron's Registration Statement on Form S-4 filed on November 8, 2001, File No. 333-72992, and incorporated by reference herein) CUSIP No. 268443 10 8 Page 20 of 23 SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct. Dated: March 6, 2002 THAYER-BLUM FUNDING, L.L.C. By: /s/ Jeffrey W. Goettman ----------------------------- Name: Jeffrey W. Goettman Title: Authorized Person THAYER-BLUM FUNDING III, L.L.C. By: /s/ Jeffrey W. Goettman ----------------------------- Name: Jeffrey W. Goettman Title: Authorized Person THAYER EQUITY INVESTORS IV, L.P. By: TC Equity Partners IV, L.L.C., its General Partner By: /s/ Barry E. Johnson ----------------------------- Barry E. Johnson, Attorney-in-Fact TC EQUITY PARTNERS IV, L.L.C. By: /s/ Barry E. Johnson ----------------------------- Barry E. Johnson, Attorney-in-Fact CUSIP No. 268443 10 8 Page 21 of 23 TC MANUFACTURING HOLDINGS, L.L.C. By: TC Co-Investors IV, LLC, its Managing Member By: TC Management IV, L.L.C., its Managing Member By: /s/ Barry E. Johnson ------------------------------- Barry E. Johnson, Attorney-in-Fact TC CO-INVESTORS IV, LLC By: TC Management Partners IV, L.L.C., its Managing Member By: /s/ Barry E. Johnson ------------------------------- Barry E. Johnson, Attorney-in-Fact TC MANAGEMENT PARTNERS IV, L.L.C. By: /s/ Barry E. Johnson ------------------------------- Barry E. Johnson, Attorney-in-Fact TC KCO, L.L.C. By: /s/ Barry E. Johnson ------------------------------- Barry E. Johnson, Attorney-in-Fact CUSIP No. 268443 10 8 Page 22 of 23 FREDERIC V. MALEK By: /s/ Barry E. Johnson --------------------------- Barry E. Johnson, Attorney in Fact CARL J. RICKERTSEN By: /s/ Barry E. Johnson --------------------------- Barry E. Johnson, Attorney in Fact JEFFREY W. GOETTMAN By: /s/ Barry E. Johnson --------------------------- Barry E. Johnson, Attorney in Fact DANIEL M. DICKINSON By: /s/ Barry E. Johnson --------------------------- Barry E. Johnson, Attorney in Fact CUSIP No. 268443 10 8 Page 23 of 23 BLUM STRATEGIC PARTNERS, L.P. By: BLUM STRATEGIC GP, L.L.C., its General Partner By: /s/ Murray A. Indick --------------------------- Murray A. Indick, Member BLUM (K*TEC) CO-INVESTMENT PARTNERS, L.P. By: BLUM STRATEGIC GP, L.L.C., its General Partner By: /s/ Murray A. Indick --------------------------- Murray A. Indick, Member BLUM STRATEGIC GP, L.L.C. By: /s/ Murray A. Indick --------------------------- Murray A. Indick, Member RICHARD C. BLUM By: /s/ Murray A. Indick --------------------------- Murray A. Indick, Attorney-in-Fact EX-99.1 3 dex991.txt EXHIBIT 99.1 Exhibit 99.1 AGREEMENT AND PLAN OF MERGER ---------------------------- THIS AGREEMENT AND PLAN OF MERGER (this "Agreement") is made and --------- entered into as of February 27, 2002 by and between Thayer-BLUM Funding, L.L.C., a Delaware limited liability company ("TBF"), and Thayer-BLUM Funding III, --- L.L.C., a Delaware limited liability company ("TBF III" or, after the Effective ------- Time (as defined in Article V hereof), the "Surviving Company"). ----------------- W I T N E S S E T H: - - - - - - - - - - WHEREAS, TBF and TBF III each is a limited liability company duly formed and validly existing under the laws of the State of Delaware; WHEREAS, the Delaware Limited Liability Company Act Del. Code Ann. ---- ---- ---- tit. 6 (S)(S) 18-101 et seq. (the "Act"), permits a limited liability company -- ---- --- formed and existing under the Act to merge with and into a limited liability company formed and existing under the Act; WHEREAS, the managers of each of TBF and TBF III have duly authorized the merger of TBF with and into TBF III pursuant to the terms of this Agreement; and WHEREAS, all other conditions precedent to the merger of TBF with and into TBF III have been, or prior to the Effective Time will be, satisfied or validly waived; NOW, THEREFORE, in consideration of the mutual covenants and agreements herein contained, and for other good and valuable consideration, the receipt and sufficiency of which are hereby acknowledged, it is agreed that, in accordance with the applicable statutes of the State of Delaware, TBF shall be, and hereby is, at the Effective Time, merged with and into TBF III (the "Merger"), with TBF to be the Surviving Company. The mode of carrying the ------ Merger into effect shall be as follows: ARTICLE I MERGER ------ At the Effective Time, TBF shall be merged with and into TBF III, the separate existence of TBF shall cease, TBF III shall continue in existence and the Merger shall in all respects have the effects provided for by the Act. Prior to the Effective Time, TBF and TBF III shall take all such action (including, without limitation, obtaining the approval of this Agreement and the Merger by all the members of TBF and TBF III) as shall be necessary or appropriate in order to effectuate the Merger. If at any time after the Effective Time, TBF III shall consider or be advised that any further assignments, conveyances or assurances in law are necessary or desirable to carry out the provisions hereof, the proper managers, members or other agents of TBF shall execute and deliver any and all proper deeds, assignments, and assurances in law, and do all such additional things necessary or proper to carry out the provisions hereof. ARTICLE II TERMS OF TRANSACTION -------------------- At the Effective Time, all of the limited liability company interests held by Thayer Equity Investors IV, L.P., TC Manufacturing Holdings, L.L.C., and RCBA Strategic Partners, L.P., collectively, as the members of TBF immediately prior to the Effective Time, by virtue of the Merger shall automatically convert into interests in the Surviving Company in the amounts set forth in Schedule A. ---------- At the Effective Time, all of the limited liability company interests held by Thayer Equity Investors IV, L.P., TC KCo, L.L.C., BLUM Strategic Partners, L.P., and BLUM (K*TEC) Co-Investment Partners, L.P., collectively, as the members of TBF III immediately prior to the Effective Time, by virtue of the Merger shall automatically convert into interests in the Surviving Company in the amounts set forth in Schedule A. ---------- ARTICLE III CERTIFICATE OF INCORPORATION AND BYLAWS --------------------------------------- From and after the Effective Time, and until thereafter amended as provided by law, the Certificate of Formation and the Limited Liability Company Agreement of TBF III as in effect immediately prior to the Effective Time shall be the Certificate of Formation and the Limited Liability Company Agreement of the Surviving Company. ARTICLE IV MANAGERS AND OFFICERS --------------------- From and after the Effective Time, and until their successors are duly elected or appointed, or until their earlier death, resignation or removal, the managers of the Surviving Company shall be the same as the managers of TBF III immediately prior to the Effective Time. From and after the Effective Time, and until their successors are duly elected or appointed, or until their earlier death, resignation or removal, the officers of the Surviving Company shall be the same as the officers of TBF III immediately prior to the Effective Time. ARTICLE V EFFECTIVE TIME -------------- A certificate of merger evidencing the Merger shall be filed in the Office of the Secretary of State of the State of Delaware pursuant to the applicable requirements of the Act (the "Certificate of Merger") prior to the --------------------- time that the Merger will become effective. The Merger shall become effective on February 27, 2002 at 10:00 a.m. Eastern Time (such time of effectiveness, the "Effective Time") and the Certificate of Merger shall so specify. -------------- ARTICLE VI TERMINATION ----------- At any time prior to the Effective Time, the managers of TBF or TBF III may terminate and abandon this Agreement. ARTICLE VII AMENDMENTS ---------- At any time prior to the Effective Time, the managers of TBF and TBF III may amend, modify or supplement this Agreement in such manner as they jointly may determine to the fullest extent permitted by applicable law. ARTICLE VIII GOVERNING LAW ------------- This Agreement shall be governed by and construed in accordance with the domestic laws of the State of Delaware without giving effect to any choice of law or conflict of law provision or rule (whether of the State of Delaware or any other jurisdiction) that would cause the application of the laws of any jurisdiction other than the State of Delaware. ARTICLE IX MISCELLANEOUS ------------- This Agreement may be executed in counterparts, each of which when so executed shall be deemed to be an original, and such counterparts shall together constitute but one and the same instrument. IN WITNESS WHEREOF, the undersigned have duly executed this Agreement as of the day and year first above written. THAYER-BLUM FUNDING, L.L.C. By: /s/ Jeffrey W. Goettmann --------------------------------------- Name: Jeffrey W. Goettmann Title: Authorized Person THAYER-BLUM FUNDING III, L.L.C. By: /s/ Jeffrey W. Goettmann -------------------------------------- Name: Jeffrey W. Goettmann Title: Authorized Person SCHEDULE A - -------------------------------------------------------------------------------- Member Membership Interests - -------------------------------------------------------------------------------- Thayer Equity Investors IV, L.P. - -------------------------------------------------------------------------------- TC KCO, L.L.C. - -------------------------------------------------------------------------------- TC Manufacturing Holdings, L.L.C. - -------------------------------------------------------------------------------- BLUM Strategic Partners, L.P. - -------------------------------------------------------------------------------- BLUM (K*TEC) Co-Investment Partners, L.P. - -------------------------------------------------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----