-----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, AlfBPtLo9L4brMr7mjbOyPhXAm/0Ec1TYrP/YaMKoUkwekj8cci3FQ8ZtTO+OkAx wD+lIEucvW4e6eNMxlSDaA== 0000808066-97-000019.txt : 19970222 0000808066-97-000019.hdr.sgml : 19970222 ACCESSION NUMBER: 0000808066-97-000019 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD GROUP MEMBERS: CHARLES R. KOKESH GROUP MEMBERS: GREGORY T. GEORGE GROUP MEMBERS: PETER F. BERNARDONI GROUP MEMBERS: TECHNOLOGY FUNDING INC. GROUP MEMBERS: TECHNOLOGY FUNDING LTD. GROUP MEMBERS: TECHNOLOGY FUNDING PARTNERS III L P GROUP MEMBERS: TECHNOLOGY FUNDING VENTURE PARTNERS IV, L.P. GROUP MEMBERS: THOMAS J. TOY SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: THERMATRIX INC CENTRAL INDEX KEY: 0000929473 STANDARD INDUSTRIAL CLASSIFICATION: GENERAL INDUSTRIAL MACHINERY & EQUIPMENT, NEC [3569] IRS NUMBER: 942958515 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49779 FILM NUMBER: 97535122 BUSINESS ADDRESS: STREET 1: 101 METRO DRIVE STREET 2: STE 248 CITY: SAN JOSE STATE: CA ZIP: 95110 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TECHNOLOGY FUNDING PARTNERS III L P CENTRAL INDEX KEY: 0000808066 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 943033783 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O TECHNOLOGY FUNDING INC STREET 2: 2000 ALAMEDA DE LAS PULGAS STE 250 CITY: SAN MATEO STATE: CA ZIP: 94403 BUSINESS PHONE: 4153452200 MAIL ADDRESS: STREET 1: C/O TECHNOLOGY FUNDING INC STREET 2: 2000 ALAMEDA DE LAS PULGAS STE 250 CITY: SAN MATEO STATE: CA ZIP: 94403 SC 13G/A 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ) ------- Thermatrix Inc. - ------------------------------------------------------------------------------ (Name of Issuer) Common Stock - ------------------------------------------------------------------------------ (Title of Class of Securities) 883550 10 5 - ------------------------------------------------------------------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement ( ). (A fee is not required only if the 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 more than five percent or less of such class.) (See Rue 13d-7.) *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 in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 883550 10 5 Page 2 of 12 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Technology Funding Partners III, L.P. - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) ( ) (B) ( X ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER 65,970 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 0 OWNED BY ------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 65,970 REPORTING ------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 65,970 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.8% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------ CUSIP No. 883550 10 5 Page 3 of 12 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Technology Funding Venture Partners IV, An Aggressive Growth Fund, L.P. - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) ( ) (B) ( X ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER 1,105,847 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 0 OWNED BY ------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 1,105,847 REPORTING ------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 0 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 1,105,847 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 14.8% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* PN - ------------------------------------------------------------------------------ CUSIP No. 883550 10 5 Page 4 of 12 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Technology Funding Inc. - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) ( ) (B) ( X ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER 0 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 1,171,817 OWNED BY -------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING -------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 1,171,817 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 1,171,817 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.7% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IA,CO - ------------------------------------------------------------------------------ CUSIP No. 883550 10 5 Page 5 of 12 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Technology Funding Ltd. - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) ( ) (B) ( X ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER 0 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 1,171,817 OWNED BY -------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING ------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 1,171,817 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 1,171,817 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.7% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IA,PN - ------------------------------------------------------------------------------ CUSIP No. 883550 10 5 Page 6 of 12 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Charles R. Kokesh - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) ( ) (B) ( X ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER 0 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 1,171,817 OWNED BY -------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING ------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 1,171,817 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 1,171,817 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.7% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* HC,IN - ------------------------------------------------------------------------------ CUSIP No. 883550 10 5 Page 7 of 12 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Gregory T. George - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) ( ) (B) ( X ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER 0 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 1,171,817 OWNED BY ------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING ------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 1,171,817 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 1,171,817 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.7% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* HC,IN - ------------------------------------------------------------------------------ CUSIP No. 883550 10 5 Page 8 of 12 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Thomas J. Toy - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) ( ) (B) ( X ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S Citizen - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER 0 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 1,171,817 OWNED BY -------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING -------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 1,171,817 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 1,171,817 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.7% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* HC,IN - ------------------------------------------------------------------------------ CUSIP No. 883550 10 5 Page 9 of 12 - ------------------------------------------------------------------------------ 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF ABOVE PERSON Peter F. Bernardoni - ------------------------------------------------------------------------------ 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (A) ( ) (B) ( X ) - ------------------------------------------------------------------------------ 3 SEC USE ONLY - ------------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER 0 SHARES -------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER 1,171,817 OWNED BY -------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING -------------------------------------------------- PERSON WITH 8 SHARED DISPOSITIVE POWER 1,171,817 - ------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH PERSON 1,171,817 - ------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES* ( ) - ------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 15.7% - ------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* HC,IN - ------------------------------------------------------------------------------ CUSIP No. 883550 10 5 Page 10 of 12 Item 1 (a) Name of Issuer: Thermatrix, Inc. --------------- Item 1 (b) Address of Issuer's Principal Executive Offices: ------------------------------------------------ 101 Metro Drive, Suite 248, San Jose, Ca 95110 Item 2 (a) Name of Person Filing: ---------------------- The information contained in Item ( 1 ) of the cover pages hereof (Pages 2 through 9) is incorporated herein by this reference. Item 2 (b) Address of Principal Business Office or, if none, Residence: ------------------------------------------------------------ The Principal business office of each person filing is located at 2000 Alameda de las Pulgas, San Mateo, CA 94403 Item 2 (c) Citizenship: -------------- Each person filing who is identified on the cover pages hereof as an individual is a United States citizen. Item 2 (d) Title of Class of Securities: ----------------------------- Common Stock Item 2 (e) CUSIP Number: 883550 10 5 ------------- Item 3. Classification: Inapplicable. --------------- Item 4. Ownership. ---------- The information contained in Items (5), (6), (7), (8), (9) and (11) of the cover pages hereof (pages 2 through 9) is incorporated herein by this reference. Technology Funding Inc. and Technology Funding Ltd. are the general partners of the limited partnerships that are the direct beneficial owner of the securities being reported on. The individual reporting persons are general partners of Technology Funding Ltd. and/or officers of Technology Funding Inc. Item 5. Ownership of Five Percent or Less of a Class. --------------------------------------------- Inapplicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. ---------------------------------------------------------------- Inapplicable. Item 7. Identification and Classification of the Subsidiary which acquired ------------------------------------------------------------------ the Security being reported on by the Parent Holding Company. ------------------------------------------------------------ Inapplicable. Item 8. Identification and Classification of Members of the Group. ---------------------------------------------------------- Inapplicable. Item 9. Notice of Dissolution of Group. ------------------------------- Inapplicable. Item 10. Certification. -------------- Inapplicable. Page 11 of 12 SIGNATURE(S) - ------------ After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 13, 1997 TECHNOLOGY FUNDING PARTNERS III, L.P. a Delaware Limited Partnership By: TECHNOLOGY FUNDING INC., Managing General Partner By: ----------------------------------- Charles R. Kokesh Chief Executive Officer, by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 TECHNOLOGY FUNDING VENTURE PARTNERS IV, AN AGGRESSIVE GROWTH FUND, L.P., a Delaware Limited Partnership By: TECHNOLOGY FUNDING INC., Managing General Partner By: ----------------------------------- Charles R. Kokesh Chief Executive Officer, by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 TECHNOLOGY FUNDING INC., a California Corporation By: ----------------------------------- Charles R. Kokesh Executive Vice President, by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 TECHNOLOGY FUNDING LTD., a California Limited Partnership By: ----------------------------------- Charles R. Kokesh General Partner, by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 ------------------------------------ Charles R. Kokesh by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 ------------------------------------ Gregory T. George by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 ------------------------------------ Thomas J. Toy Dated: February 13, 1997 ------------------------------------- Peter F. Bernardoni by Thomas J. Toy his Attorney-in-Fact The Powers of Attorney previously filed with the Commission and appointing Mr. Thomas J. Toy as attorney-in-fact for Messrs. Kokesh, George, and Bernardoni are hereby incorporated herein by this reference. Page 12 of 12 AGREEMENT - --------- This will memorialize the agreement by and among all of the undersigned that the Schedule 13G identifying each of the undersigned as "reporting persons" and mailed to Thermatrix, Inc. and filed with the Securities and Exchange Commission on or about February 13, 1997 with respect to the beneficial ownership of shares of Thermatrix's Common Stock is being filed on behalf of each of the persons signing below. This Agreement may be executed in counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. Dated: February 13, 1997 TECHNOLOGY FUNDING PARTNERS III, L.P. a Delaware Limited Partnership By: TECHNOLOGY FUNDING INC., Managing General Partner By: ----------------------------------- Charles R. Kokesh Chief Executive Officer, by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 TECHNOLOGY FUNDING VENTURE PARTNERS IV, AN AGGRESSIVE GROWTH FUND, L.P., a Delaware Limited Partnership By: TECHNOLOGY FUNDING INC., Managing General Partner By: ----------------------------------- Charles R. Kokesh Chief Executive Officer, by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 TECHNOLOGY FUNDING INC., a California Corporation By: ----------------------------------- Charles R. Kokesh Executive Vice President, by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 TECHNOLOGY FUNDING LTD., a California Limited Partnership By: ----------------------------------- Charles R. Kokesh General Partner, by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 ------------------------------------ Charles R. Kokesh by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 ------------------------------------ Gregory T. George by Thomas J. Toy his Attorney-in-Fact Dated: February 13, 1997 ------------------------------------ Thomas J. Toy Dated: February 13, 1997 ------------------------------------ Peter F. Bernardoni by Thomas J. Toy his Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----