<PAGE>
CUSIP NO. 88554G109
------------------------------
4OMB APPROVAL
OMB Number:. . . . . 3235-0145
Expires:. . . October 31, 1994
Estimated average
burden hours per form. . 14.90
------------------------------
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
3DX TECHNOLOGIES
- --------------------------------------------------------------------------------
Name of Issuer
COMMON STOCK
- --------------------------------------------------------------------------------
(Title of Class of Securities)
88554G109
- --------------------------------------------------------------------------------
CUSIP Number
ROBERT C. GREENWOOD ROBERTSON, STEPHENS & COMPANY
555 CALIFORNIA STREET, SUITE 2600, SAN FRANCISCO, CA 94104
(415) 781-9700
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications
AUGUST 19, 1997
- --------------------------------------------------------------------------------
Date of Event which Requires Filing of this Statement
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box [ ].
Check the following box if a fee is being paid with the statement [ ]. (A fee
is not required only if the reporting person: (1) has a previous statement on
file reporting beneficial ownership of more than five percent of the class of
securities described in Item 1; and (2) has filed no amendment subsequent
thereto reporting beneficial ownership of five percent or less of such class).
(See Rule 13d-7.)
NOTE: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13d-1(a) for other parties to whom copies are to
be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the act
but shall be subject to all other provisions of the Act (however, see the
Notes).
<PAGE>
Cusip No. 88554G109
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The Robertson Stephens Orphan Fund
Tax I.D. 94-3108651
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
WC
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER 0
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER 301,000
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER 0
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 301,000
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
301,000
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
4.17%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IV
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Bayview Investors, LTD.
Tax I.D. 94-3108651
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
WC
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER 0
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER
301,000 (includes shares held of record by The
Robertson Stephens Orphan Fund of which Robertson,
Stephens & Co. Investment Management, L.P. and
Bayview Investors, Ltd. are the General Partners.
See Item 5.)
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER 0
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 301,000
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
301,000
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
4.17%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IV
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The Robertson Stephens Orphan Offshore Fund
Tax I.D.
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
WC
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER 0
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER 63,900
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER 0
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 63,900
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
63,900
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
.89%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IV
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
The Robertson Stephens Global Natural Resources Fund
Tax I.D.
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
WC
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER 0
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER 301,000
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER 0
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 301,000
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
301,000
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
4.17%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IV
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robertson, Stephens & Company Investment Management L.P.
Tax I.D. 94-3181687
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
OO (Working Capital of Purchasing Funds) See Item 2.
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER 0
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER
665,900 includes shares held of record by The
Robertson Stephens Orphan Fund of which Robertson,
Stephens & Co. Investment Management, L.P. and
Bayview Investors, Ltd. are the General Partners.
Includes shares held of record by The Robertson
Stephens Orphan Offshore Fund of which Robertson,
Stephens & Co. Investment Management, L.P. is the
General Partner. Included shares held of record
by the Robertson Stephens Global Natural Resources
Fund of which Robertson Stephens & Co Investment
Management L.P. is investment adviser. See Item
5.)
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER 0
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 665,900
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
665,900
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
9.23%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON
CO
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Robertson, Stephens & Company, Incorporated
Tax I.D. 94-3172874 See Exhibit A for a list of Executive Officers
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
OO (Working Capital of Purchasing Funds) See Item 2.
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER 0
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER
665,900 includes shares held of record by The
Robertson Stephens Orphan Fund of which Robertson,
Stephens & Co. Investment Management, L.P. and
Bayview Investors, Ltd. are the General Partners.
Includes shares held of record by The Robertson
Stephens Orphan Offshore Fund of which Robertson,
Stephens & Co. Investment Management, L.P. is the
General Partner. Included shares held of record
by the Robertson Stephens Global Natural Resources
Fund of which Robertson Stephens & Co Investment
Management L.P. is investment adviser. See Item
5.)
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER 0
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 665,900
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
665,900
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
9.23%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON
CO
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Paul Stephens
Tax I.D. ###-##-####
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
WC & PF
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
UNITED STATES
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER 0
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER
665,900 includes shares held of record by The
Robertson Stephens Orphan Fund of which Robertson,
Stephens & Co. Investment Management, L.P. and
Bayview Investors, Ltd. are the General Partners.
Includes shares held of record by The Robertson
Stephens Orphan Offshore Fund of which Robertson,
Stephens & Co. Investment Management, L.P. is the
General Partner. Included shares held of record
by the Robertson Stephens Global Natural Resources
Fund of which Robertson Stephens & Co Investment
Management L.P. is investment adviser. See Item
5.)
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER 0
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 665,900
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
665,900
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
9.23%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Sanford Robertson
Tax I.D. ###-##-####
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
OO (Working Capital of Purchasing Funds) See Item 2.
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER 0
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER
665,900 includes shares held of record by The
Robertson Stephens Orphan Fund of which Robertson,
Stephens & Co. Investment Management, L.P. and
Bayview Investors, Ltd. are the General Partners.
Includes shares held of record by The Robertson
Stephens Orphan Offshore Fund of which Robertson,
Stephens & Co. Investment Management, L.P. is the
General Partner. Included shares held of record
by the Robertson Stephens Global Natural Resources
Fund of which Robertson Stephens & Co Investment
Management L.P. is investment adviser. See Item
5.)
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER 0
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 665,900
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
665,900
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
9.23%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Michael G. McCaffery
Tax I.D. ###-##-####
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
OO(Working Capital of Purchasing Funds) See Item 2.
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER
665,900 includes shares held of record by The
Robertson Stephens Orphan Fund of which Robertson,
Stephens & Co. Investment Management, L.P. and
Bayview Investors, Ltd. are the General Partners.
Includes shares held of record by The Robertson
Stephens Orphan Offshore Fund of which Robertson,
Stephens & Co. Investment Management, L.P. is the
General Partner. Included shares held of record
by the Robertson Stephens Global Natural Resources
Fund of which Robertson Stephens & Co Investment
Management L.P. is investment adviser. See Item
5.)
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 665,900
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
665,900
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
9.23%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
G. Randy Hecht
Tax I.D. ###-##-####
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
OO (Working Capital of Purchasing Funds) See Item 2.
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
- -------------------------------------------------------------------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER
665,900 includes shares held of record by The
Robertson Stephens Orphan Fund of which Robertson,
Stephens & Co. Investment Management, L.P. and
Bayview Investors, Ltd. are the General Partners.
Includes shares held of record by The Robertson
Stephens Orphan Offshore Fund of which Robertson,
Stephens & Co. Investment Management, L.P. is the
General Partner. Included shares held of record
by the Robertson Stephens Global Natural Resources
Fund of which Robertson Stephens & Co Investment
Management L.P. is investment adviser. See Item
5.)
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 665,900
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
665,900
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
9.23%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
- -------------------------------------------------------------------------------
SCHEDULE 13D
- -------------------------------------------------------------------------------
CUSIP NO. 88554G109
- -------------------------------------------------------------------------------
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Kenneth R. Fitzsimmons
Tax I.D. ###-##-####
- -------------------------------------------------------------------------------
(2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) / /
(b) /X/
- -------------------------------------------------------------------------------
(3) SEC USE ONLY
- -------------------------------------------------------------------------------
(4) SOURCE OF FUNDS*
OO (Working Capital of Purchasing Funds) See Item 2.
- -------------------------------------------------------------------------------
(5) CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e) / /
- -------------------------------------------------------------------------------
(6) CITIZENSHIP OR PLACE OF ORGANIZATION
CALIFORNIA
- ------------------------------------------------------------ -------------------
NUMBER OF SHARES (7) SOLE VOTING
BENEFICIALLY OWNED POWER
BY EACH REPORTING --------------------------------------------------
PERSON WITH (8) SHARED VOTING
POWER
665,900 includes shares held of record by The
Robertson Stephens Orphan Fund of which Robertson,
Stephens & Co. Investment Management, L.P. and
Bayview Investors, Ltd. are the General Partners.
Includes shares held of record by The Robertson
Stephens Orphan Offshore Fund of which Robertson,
Stephens & Co. Investment Management, L.P. is the
General Partner. Included shares held of record
by the Robertson Stephens Global Natural Resources
Fund of which Robertson Stephens & Co Investment
Management L.P. is investment adviser. See Item
5.)
--------------------------------------------------
(9) SOLE DISPOSITIVE
POWER
--------------------------------------------------
(10) SHARED DISPOSITIVE
POWER 665,900
- -------------------------------------------------------------------------------
(11) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
665,900
- -------------------------------------------------------------------------------
(12) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES*
/ /
- -------------------------------------------------------------------------------
(13) PERCENT OF CLASS REPRESENT BY AMOUNT IN ROW (11)
9.23%
- -------------------------------------------------------------------------------
(14) TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE,
RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE
ATTESTATION
<PAGE>
Cusip No. 88554G109
ITEM 1. SECURITY AND ISSUER.
This Schedule 13D is filed with respect to the Common Stock of 3DX
Technologies, Inc. (The "Company") whose principal offices are located at 12012
Wickchester, Suite 250, Houston, TX 77079-1208.
ITEM 2: IDENTITY AND BACKGROUND.
The Schedule 13D is filed on behalf of The Robertson Stephens Orphan
Fund, Robertson, Stephens & Company Investment Management, L.P. ("RS&Co.,L.P."),
Bayview Investors, Ltd. ("Bayview"), The Robertson Stephens Orphan Offshore
Fund, Robertson, Stephens & Company, Inc. ("RS&Co., Inc."), The Robertson
Stephens Global Natural Resources Fund and RS&Co., Inc.'s five shareholders,
Messrs. Sanford R. Robertson, Paul H. Stephens, Michael G. McCaffery, G. Randy
Hecht, and Kenneth R. Fitzsimmons. The purchase of the Company's shares giving
rise to this 13D was made by three investment funds, The Robertson Stephens
Orphan Fund, The Robertson Stephens Orphan Offshore Fund and the Robertson
Stephens Global Natural Resources Fund.
This Schedule 13D relates to the direct beneficial ownership in the
shares of the Company by the Funds, and the indirect beneficial ownership of
RS&Co., L.P., Bayview, and RS&Co., Inc. in the shares of the Company held by the
Funds. Messrs. Robertson, Stephens, McCaffery, Hecht and Fitzsimmons disclaim
any beneficial ownership with respect to shares of the Company that RS&Co., Inc.
may be deemed to be beneficially own, are included in this Schedule 13D for
protective disclosure purposes only, and shall not be deemed by their inclusion
in this Schedule 13D to have made any admission that any such person has any
beneficial interest in such shares.
Set forth below is the following information with respect to the
persons signing this Schedule 13D: name; place of organization; address of
principal business and office; principal business; information concerning
criminal convictions during the past five years; and information concerning
civil or administrative proceedings during the past five years with respect to
any state or federal securities laws.
I. (a) The Robertson Stephens Orphan Fund, L.P., is a California limited
partnership. Robertson Stephens & Co. Investment Management L.P.
and Bayview Investors LTD. are the General Partners.
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) Limited Partnership
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
II. (a) The Robertson Stephens Orphan Offshore Fund is a Cayman Islands
limited partnership. Robertson, Stephens & Co Investment Management
L.P. is the General Partner.
(b) 555 California Street, Suite 2600
<PAGE>
San Francisco, CA 94104
(c) Limited Partnership
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
III. (a) Robertson Stephens Global Natural Resources Fund, A Massachusetts
Business Trust. The Registered Investment Manager of The Robertson
Stephens Global Natural Resources Fund is: Robertson, Stephens & Co.
Investment Management, L.P. The General Partner of Robertson,
Stephens & Co. Investment Management, L.P. is Robertson, Stephens &
Company, Incorporated.
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) Limited Partnership
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
IV. (a) Bayview Investors LTD., is a California limited partnership.
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) Limited Partnership
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
V. (a) Robertson, Stephens & Company, Incorporated, is a California
Corporation. Robertson, Stephens & Company, Incorporated is the
General Partner of Robertson, Stephens & Company Investment
Management, L.P.
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) Corporation, Investment Banking.
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
VI. (a) Paul H. Stephens.
<PAGE>
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) Paul H. Stephens is Managing Director and Chief Investment Officer,
and a shareholder, of Robertson, Stephens & Company, Incorporated.
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
VII. (a) Sanford R. Robertson.
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) Sanford R. Robertson is the Chairman of and a shareholder of
Robertson, Stephens & Company, Incorporated.
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
VIII.(a) Michael G. McCaffery.
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) Michael G. McCaffery is the President and Chief Executive Officer,
and a shareholder, of Robertson, Stephens & Company, Incorporated.
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) Limited Partnership
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
IX (a) G. Randy Hecht.
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) G. Randy Hecht is the Executive Vice President, Chief Operating
Officer, and shareholder of Robertson, Stephens & Company,
Incorporated.
<PAGE>
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
X. (a) Kenneth R. Fitzsimmons.
(b) 555 California Street, Suite 2600
San Francisco, CA 94104
(c) Kenneth R. Fitzsimmons is the Managing Director, Director of Capital
Markets, and shareholder of Robertson, Stephens & Company,
Incorporated.
(d) No convictions in criminal proceedings.
(e) No civil or administrative proceedings.
ITEM 3: SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION:
The securities with respect to which this Schedule 13D is filed were
purchased by the Funds using working capital contributed by their respective
partners and shareholders.
ITEM 4: PURPOSE OF TRANSACTION:
The securities with respect to which this Schedule 13D is filed were
purchased by the Funds in the ordinary course of investment and not with the
intention nor effect of changing or influencing control of the Issuer. The
reporting persons may sell all or part or acquire additional securities of the
Issuer depending on market conditions and other economic factors.
ITEM 5: INTEREST IN SECURITIES OF THE ISSUER.
(a) (b) The aggregate number and percentage of the class of
securities identified pursuant to Item 1 of this Schedule 13D that are
beneficially owned by the persons listed in Item 2 are as follows:
No. of Shares
Name of Beneficially Percentage of
Beneficial Owner Owned Class(1)
-----------------------------------------------------------------------------
The Robertson Stephens Orphan Fund 301,000(2) 4.17%
The Robertson Stephens Orphan Offshore Fund 63,900(3) .89%
The Robertson Stephens Global Natural Resources Fund 301,000(4) 4.17%
Robertson Stephens & Co Investment Mngmnt L.P. 665,900(5) 9.23%
Bayview Investors LTD 301,000(6) 4.17%
Robertson Stephens & Co. Incorporated 665,900(7) 9.23%
Paul H. Stephens 665,900(8) 9.23%
Sanford R. Robertson 665,900(9) 9.23%
Michael G. McCaffery 665,900(10) 9.23%
G. Randy Hecht 665,900(11) 9.23%
Kenneth R. Fitzsimmons 665,900(12) 9.23%
<PAGE>
(1) All percentages in this table are based, pursuant to Rule 13D-1(e) of
the Securities Exchange Act of 1934, as amended, on 7,218,177 shares
of Common Stock of the Issuer outstanding as of August 19, 1997.
(2) The Robertson Stephens Orphan Fund is a California limited
partnership.
(3) The Orphan Offshore Fund is a Cayman Islands limited partnership.
(4) The Robertson Stephens Global Natural Resources Fund is a registered
investment company. Robertson, Stephens & Co. Investment Management
L.P. is the registered investment manager for the Global Natural
Resources Fund. RS&Co., Inc. is the General Partner of Robertson
Stephens & Co. Investment Management L.P.
(5) Robertson, Stephens & Co.Investment Management L.P., a California
Limited Partnership, as General Partner of The Robertson Stephens
Orphan Fund and the Orphan Offshore Fund, and is deemed to have shared
dispositive power over 665,900 shares of the Company.
(6) Bayview Investors, Ltd. is a California Limited Partnership, and as
General Partner of The Robertson Stephens Orphan Fund and is deemed to
have shared dispositive power over 301,000 shares of the Company.
(7) Robertson, Stephens & Company, Inc., a California Corporation, is the
General Partner of Robertson, Stephens & Company Investment Management
L.P., and as such is deemed to have shared dispositive power over
665,900 shares of the Company.
(8) Paul H. Stephens is the Chief Investment Officer of RS&Co., Inc. and
as such may be deemed to have shared voting power over 665,900 shares
of the Company. He is also a shareholder of Robertson, Stephens &
Company Inc.
(9) Sanford R. Robertson is Chairman and a shareholder of Robertson,
Stephens & Company Inc. and as such may be deemed to have shared
voting power over 665,900 shares of the Company held by the Funds.
(10) Michael G. McCaffery is President and Chief Executive Officer and a
shareholder of Robertson, Stephens & Company Inc. and as such may be
deemed to have shared voting power over 665,900 shares of the Company
held by the Funds.
(11) G. Randy Hecht is Executive Vice President, Chief Operating Officer
and a shareholder of Robertson, Stephens & Company Inc. and as such
may be deemed to have shared voting power over 665,900 shares of the
Company held by the Funds.
(12) Kenneth R. Fitzsimmons is the Managing Director, Director of Capital
Markets and a shareholder of Robertson, Stephens & Company Inc. and as
such may be deemed to have shared voting power over 665,900 shares of
the Company held by the Funds.
<PAGE>
(c) The following is a list of transactions by the filing parties in the
last 60 days.
Entity Date Shares Price Transaction
------ ---- ------ ----- -----------
Global Natural Resources 8/19/97 100,000 8.06 open mkt purchase
Orphan Fund 8/19/97 123,700 8.06 open mkt purchase
Orphan Fund Offshore 8/19/97 26,300 8.06 open mkt purchase
Orphan Fund Offshore 7/10/97 -2,400 11.0 open mkt purchase
Orphan Fund 6/23/97 -3,000 9.79 open mkt purchasw
Orphan Fund 6/20/97 -6,900 9.75 open mkt purchase
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER.
Please refer to Item 5.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
The following exhibits are filed herewith:
Exhibit A - Agreement of Joint Filing
<PAGE>
ITEM 8. SIGNATURE PAGE.
After reasonable inquiry and to the best of my knowledge and belief,
the undersigned certify that the information set forth in this statement is
true, complete and correct.
Dated: August 28, 1997
THE ROBERTSON STEPHENS ORPHAN FUND, A CALIFORNIA LIMITED
PARTNERSHIP.
By Robertson, Stephens & Company, L.P.
By Robertson, Stephens & Company, Incorporated
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
THE ROBERTSON STEPHENS GLOBAL NATURAL RESOURCES FUND, A REGISTERED
INVESTMENT COMPANY
By Robertson, Stephens & Company, L.P.
By Robertson, Stephens & Company, Incorporated
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
BAYVIEW INVESTORS, LTD., A CALIFORNIA LIMITED PARTNERSHIP.
By Robertson, Stephens & Company, L.P.
By Robertson, Stephens & Company, Incorporated
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
ROBERTSON, STEPHENS & COMPANY, L.P., A CALIFORNIA LIMITED
PARTNERSHIP.
By Robertson, Stephens & Company, Incorporated
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
ROBERTSON, STEPHENS & COMPANY, INCORPORATED
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
<PAGE>
Paul H. Stephens*
-----------------
Paul H. Stephens
Sanford R. Robertson*
---------------------
Sanford R. Robertson
Michael G. McCaffery*
---------------------
Michael G. McCaffery
G. Randy Hecht*
---------------
G. Randy Hecht
Kenneth R. Fitzsimmons*
-----------------------
Kenneth R. Fitzsimmons
*By: _____________________________
Robert C. Greenwood
Pursuant to Power of Attorney
Previously Filed
<PAGE>
EXHIBIT A
AGREEMENT OF JOINT FILING
The undersigned hereby agree that they are filing jointly pursuant to
Rule 13d-1(f)(1) of the Act of the Statement dated January 31, 1997 containing
the information required by Schedule 13D, for the Common Stock of CD Radio, Inc.
held by The Robertson Stephens Orphan Fund, Bayview Investors, Ltd., Robertson,
Stephens & Company, Investment Management L.P., and Robertson, Stephens &
Company, Incorporated.
Dated: August 28, 1997
THE ROBERTSON STEPHENS ORPHAN FUND, A CALIFORNIA LIMITED
PARTNERSHIP.
By Robertson, Stephens & Company, L.P.
By Robertson, Stephens & Company, Incorporated
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
THE ROBERTSON STEPHENS ORPHAN OFFSHORE FUND, A CAYMAN ISLANDS
LIMITED PARTNERSHIP.
By Robertson, Stephens & Company, L.P.
By Robertson, Stephens & Company, Incorporated
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
BAYVIEW INVESTORS, LTD., A CALIFORNIA LIMITED PARTNERSHIP.
By Robertson, Stephens & Company, L.P.
By Robertson, Stephens & Company, Incorporated
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
ROBERTSON, STEPHENS & COMPANY INVESTMENT MANAGEMENT, L.P., A
CALIFORNIA LIMITED PARTNERSHIP.
By Robertson, Stephens & Company, Incorporated
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
<PAGE>
ROBERTSON, STEPHENS & COMPANY, INCORPORATED
By: Paul H. Stephens*
-----------------
Paul H. Stephens
Managing Director and Chief Investment Officer
Paul H. Stephens*
-----------------
Paul H. Stephens
Sanford R. Robertson*
---------------------
Sanford R. Robertson
Michael G. McCaffery*
---------------------
Michael G. McCaffery
G. Randy Hecht*
---------------
G. Randy Hecht
Kenneth R. Fitzsimmons*
-----------------------
Kenneth R. Fitzsimmons
*By _____________________________
Robert C. Greenwood
Pursuant to Power of Attorney
Previously Filed
