-----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, TqaAKvd4wVTtH7jfoUHykzobTlIoS5Hcppvn1awX4AYnaJYPObhMRmMT6XrCRGZU tjgDhGx4ow8P2pRhEbzWOA== 0000808066-99-000006.txt : 19990209 0000808066-99-000006.hdr.sgml : 19990209 ACCESSION NUMBER: 0000808066-99-000006 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990208 GROUP MEMBERS: AN AGGRESSIVE GROWTH FUND, L.P. 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 PARTNERS III, L.P. GROUP MEMBERS: TECHNOLOGY FUNDING VENTURE PARTNERS IV, 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 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49779 FILM NUMBER: 99523436 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 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities and Exchange Act of 1934 (Amendment No. 1)* Thermatrix, Inc. _________________________ (Name of Issuer) Common Stock _________________________ (Title of Class of Securities) 883550 10 5 _________________________ (CUSIP Number) February 14, 1999 _________________________ (Date of Event Which Requires Filing of this Statement) ______________________________________ Check the appropiate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1 (b) [X] Rule 13d-1 (c) [ ] Rule 13d-1 (d) *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 the 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. 883550 10 5 Page 2 of 10 ________________________________________________________________________________ 1 NAME OF REPORTING PERSON Technology Funding Partners III, L.P. S.S. or I.R.S. identification of above person ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER GROUP (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 CITIZENSHIP OF PLACE OR ORGANIZATION Delaware ________________________________________________________________________________ 5. SOLE VOTING POWER 0 NUMBER OF ________________________________________________________ SHARES 6. SHARED VOTING POWER 65,970 BENEFICIALLY ___________________________________________________________ OWNED BY 7. SOLE DISPOSITIVE POWER 0 EACH ___________________________________________________________ REPORTING 8. SHARED DISPOSITIVE POWER 65,970 PERSON WITH ________________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 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) .86% ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON PN ________________________________________________________________________________ CUSIP No. 883550 10 5 Page 3 of 10 ________________________________________________________________________________ 1 NAME OF REPORTING PERSON Technology Funding Venture Partners IV, An Aggressive Growth Fund 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) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF 0 SHARES ____________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER 1,105,847 OWNED BY ____________________________________________________________ EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING _____________________________________________________________ PERSON WITH 8 SHARED DISPOSTITVE POWER 1,105,847 ________________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 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) 14.37% ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON PN ________________________________________________________________________________ CUSIP No. 883550 10 5 Page 4 of 10 ________________________________________________________________________________ 1 NAME OF REPORTING PERSON Technology Funding Inc. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ________________________________________________________________________________ 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 ________________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF 0 SHARES ___________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER 1,171,817 OWNED BY ___________________________________________________________ EACH 7 SOLE DISPOSITIVE POWER 0 REPORTING ___________________________________________________________ PERSON WITH 8 SHARED DISPOSTIVE POWER 1,171,817 ________________________________________________________________________________ 9 AGGREGATE AMOUNT OF BENEFICIALLY OWNED BY EACH REPORTING 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) 15.13% _______________________________________________________________________________ 12 TYPE OF REPORTING PERSON IA,CO ________________________________________________________________________________ CUSIP No. 883550 10 5 Page 5 of 10 ________________________________________________________________________________ 1 NAME OF REPORTING PERSON Technology Funding Ltd. S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ________________________________________________________________________________ 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 ________________________________________________________________________________ 5 SOLE VOTING POWER 0 NUMBER OF ____________________________________________________________ SHARES 6 SHARED VOTING POWER 1,171,817 BENEFICIALLY ____________________________________________________________ OWNED BY 7 SOLE DISPOSITIVE POWER 0 EACH ____________________________________________________________ REPORTING 8 SHARED DISPOSITIVE POWER 1,171,817 PERSON WITH ______________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING 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) 15.13% ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON IA,PN ________________________________________________________________________________ CUSIP No. 883550 10 5 Page 6 of 10 ________________________________________________________________________________ 1 NAME OF REPORTING PERSON Charles R. Kokesh S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ________________________________________________________________________________ 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 ________________________________________________________________________________ 5 SOLE VOTING POWER 0 NUMBER OF ____________________________________________________________ SHARES 6 SHARED VOTING POWER 1,171,817 BENEFICIALLY ____________________________________________________________ OWNED BY 7 SOLE DISPOSITIVE POWER 0 EACH ____________________________________________________________ REPORTING 8 SHARED DISPOSITIVE POWER 1,171,817 PERSON WITH ________________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,171,817 ________________________________________________________________________________ 10 CHECK BOX IF THE AGGRAGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] ________________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 15.13% ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON HC,IN ________________________________________________________________________________ CUSIP No. 883550 10 5 Page 7 of 10 ________________________________________________________________________________ 1 NAME OF REPORTING PERSON Gregory T. George S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ________________________________________________________________________________ 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 ________________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF 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 REPORTING 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) 15.13% ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON HC,IN ________________________________________________________________________________ CUSIP No. 883550 10 5 Page 8 of 10 ________________________________________________________________________________ 1 NAME OF REPORTING PERSON Thomas J. Toy S.S. or I.R.S IDENTIFICATION NO. OF ABOVE PERSON ________________________________________________________________________________ 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 ________________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF 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 REPORTING PERSON 1,171,817 ________________________________________________________________________________ 10 CHECK BOX IF AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] ________________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY THE AMOUNT IN ROW (9) 15.13% ________________________________________________________________________________ 12 TYPE OF REPORTING PERSON HC,IN ________________________________________________________________________________ CUSIP No. 883550 10 5 Page 9 of 10 ______________________________________________________________________________ 1 NAME OF REPORTING PERSON Peter F. Bernardoni S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON ______________________________________________________________________________ 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 ______________________________________________________________________________ 5 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 BENEFICALLY 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 15.13% _______________________________________________________________________________ 12 TYPE OF REPORTING PERSON HC,IN ______________________________________________________________________________ Page 10 of 10 Item 1. (a) Name of Issuer: Thermatrix, Inc. -------------- (b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 2025 Gateway Place, Suite 132, San Jose, CA 95110-1005 Item 2. (a) Name of Person(s) Filing: ------------------------ Technology Funding Partners III, L.P. Technology Funding Venture Partners IV, An Aggressive Growth Fund,L.P. Technology Funding Inc. Technology Funding Ltd. Charles R. Kokesh Gregory T. George Thomas J. Toy Peter F. Bernardoni (b) Address of Principal Business Office: ------------------------------------ 2000 Alameda de las Pulgas, San Mateo, CA 94403 (c) Citizenship: ----------- United States (d) Title of Class of Securities: ---------------------------- Common Stock (e) CUSIP Number: ------------ 883550 10 5 Item 3. Not Applicable Item 4. Ownership --------- (a) Amount Beneficially Owned: 1,171,817 (b) Percent of Class: 15.13% (c) Number of shares as to which such person(s) has: Incorporated by reference in pages 2 through 9 herein. Technology Funding Inc. and Technology Funding Ltd. are the General Partners of the Limited Partnership(s) referenced herein. 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 -------------------------------------------- Not applicable Item 6. Ownership of More than Five Percent on Behalf of Another Person --------------------------------------------------------------- Not applicable Item 7. Identification and Classification of the Subsidiary which Acquired the Security Being Reported on By the Parent Holding Company. ------------------------------------------------------------------ Not applicable Item 8. Identification and Classification of Members of the Group --------------------------------------------------------- Not Applicable Item 9. Notice of Dissolution of a Group -------------------------------- Not Applicable Item 10. Certification ------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having tht purpose or effect. SIGNATURE 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 14, 1999 TECHNOLOGY FUNDING PARTERS III, L.P. By: TECHNOLOGY FUNDING INC., Managing General Partner By: /s/ Charles R. Kokesh ------------------------ Charles R. Kokesh Chief Executive Officer Dated: February 14, 1999 TECHNOLOGY FUNDING VENTURE PARTNERS IV, An Aggressive Growth Fund, L.P. By: TECHNOLOGY FUNDING INC., Managing General Partner By: /s/ Charles R. Kokesh ------------------------ Charles R. Kokesh Chief Executive Officer Dated: February 14, 1999 TECHNOLOGY FUNDING INC., a California Corporation By: /s/ Charles R. Kokesh ----------------------- Charles R. Kokesh Chief Executive Officer Dated: February 14, 1999 TECHNOLOGY FUNDING LTD. a California Limited Patnership By: /s/ Charles R. Kokesh ----------------------- Charles R. Kokesh Managing General Partner Dated: February 14, 1999 /s/ Charles R. Kokesh ----------------------- Charles R. Kokesh Dated: February 14, 1999 /s/ Gregory T. George ----------------------- Gregory T. George Dated: February 14, 1999 /s/ Thomas J. Toy ---------------------- Thomas J. Toy Dated: February 14, 1999 /s/ Peter F. Bernardoni ----------------------- Peter F. Bernardoni -----END PRIVACY-ENHANCED MESSAGE-----