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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1 )*
Xionics Document Technologies, Inc.
------------------------------------------------
(Name of Issuer)
Common Stock
------------------------------------------------
(Title of Class of Securities)
000984-12-X1
----------------------------
(CUSIP Number)
*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 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).
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13G Page 2 of 18 pages
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Hambro International Venture Fund II L.P.
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- -------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY OWNED 0 shares
BY ---------------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING 781,977 shares
PERSON ---------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
0 shares
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
781,977 shares
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
781,977 shares
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.6%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- -------------------------------------------------------------------------------
Page 2 of 18 pages
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13G Page 3 of 18 pages
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
HIV-GEN Incorporated
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
New York
- -------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY OWNED 0 shares
BY ---------------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING 781,977 shares
PERSON ---------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
0 shares
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
781,977 shares
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
781,977 shares
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.6%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- -------------------------------------------------------------------------------
Page 3 of 18 pages
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13G Page 4 of 18 pages
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Charles L. Dimmler, III
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY OWNED 0 shares
BY ---------------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING 781,977 shares
PERSON ---------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
0 shares
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
781,977 shares
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
781,977 shares
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.6%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
Page 4 of 18 pages
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13G Page 5 of 18 pages
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Edwin A. Goodman
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY OWNED 0 shares
BY ---------------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING 781,977 shares
PERSON ---------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
0 shares
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
781,977 shares
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
781,977 shares
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.6%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
Page 5 of 18 pages
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13G Page 6 of 18 pages
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Arthur C. Spinner
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY OWNED 0 shares
BY ---------------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING 781,977 shares
PERSON ---------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
0 shares
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
781,977 shares
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
781,977 shares
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.6%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
Page 6 of 18 pages
<PAGE>
13G Page 7 of 18 pages
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
William J. Geary
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY OWNED 0 shares
BY ---------------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING 781,977 shares
PERSON ---------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
0 shares
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
781,977 shares
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
781,977 shares
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.6%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
Page 7 of 18 pages
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13G Page 8 of 18 pages
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Alexander R. Hambro
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY OWNED 0 shares
BY ---------------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING 781,977 shares
PERSON ---------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
0 shares
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
781,977 shares
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
781,977 shares
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.6%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
Page 8 of 18 pages
<PAGE>
13G Page 9 of 18 pages
- -------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Richard A. D'Amore
- -------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) / /
- -------------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- -------------------------------------------------------------------------------
NUMBER OF
SHARES 5 SOLE VOTING POWER
BENEFICIALLY OWNED 32,449 shares
BY ---------------------------------------------------------
EACH 6 SHARED VOTING POWER
REPORTING 781,977 shares
PERSON ---------------------------------------------------------
WITH 7 SOLE DISPOSITIVE POWER
32,449 shares
---------------------------------------------------------
8 SHARED DISPOSITIVE POWER
781,977 shares
- -------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
814,426 shares
- -------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
- -------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.9%
- -------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------------
Page 9 of 18 pages
<PAGE>
NOTE: This Statement on Schedule 13G is being filed on behalf of (i)
Hambro International Venture Fund II, L.P., a Delaware limited partnership;
(ii) Hiv-Gen Incorporated, a New York corporation; (iii) Richard A. D'Amore;
(iv) Edwin A. Goodman; (v) Arthur C. Spinner; (vi) Charles L. Dimmler, III;
(vii) William J. Geary; and (viii) Alexander R. Hambro.
Item 1(a). Name of Issuer: Xionics Document Technologies, Inc.
Item 1(b). Address of Issuer's Principal Executive Offices:
510 East 73rd Street, New York, NY 10021.
<TABLE>
Item 2(a) Item 2(b) Item 2(c)
<S> <C> <C>
Name of Person Filing Address Citizenship or Place
of Organization
Hambro International Venture Hambro International Equity Delaware
Fund II, L.P., a Delaware Partners
Limited Partnership 650 Madison Avenue
("HIVF") New York, NY 10022
Hiv-Gen Incorporated, a general Hambro International Equity New York
partner of HIVF and ("Hiv- Partners
Gen") 650 Madison Avenue
New York, NY 10022
Edwin A. Goodman, a general Hambro International Equity United States
partner of HIVF and Partners
650 Madison Avenue
New York, NY 10022
Arthur C. Spinner, a general Hambro International Equity United States
partner of HIVF and Partners
650 Madison Avenue
New York, NY 10022
Richard A. D'Amore, a general Hambro International Equity United States
partner of HIVF and Partners
650 Madison Avenue
New York, NY 10022
Charles L. Dimmler, III, a generalal Hambro International Equity United States
partner of HIVF Partners
650 Madison Avenue
New York, NY 10022
William J. Geary, a general Hambro International Equity United States
partner of HIVF Partners
650 Madison Avenue
New York, NY 10022
Alexander R. Hambro, a general Hambro International Equity United States
partner of HIVF Partners
650 Madison Avenue
New York, NY 10022
</TABLE>
Page 10 of 15 pages
<PAGE>
Item 2(d). Title of Class of Securities: Common Stock, $.01 par value.
Item 2(e). CUSIP Number: 000984-12-X1
Item 3. If this statement is filed pursuant to Rules 13d-1(b), or
13d-2(b), check whether the person filing is a:
(a) Broker or Dealer registered under Section 15 of the
Securities Exchange Act of 1934 (the "Act").
(b) Bank as defined in Section 3(a)(6) of the Act.
(c) Insurance Company as defined in Section 3(a)(19) of the
Act.
(d) Investment Company registered under Section 8 of the
Investment Company Act of 1940.
(e) Investment Adviser registered under Section 203 of the
Investment Advisers Act of 1940.
(f) Employee Benefit Plan, Pension Fund which is subject to
the provisions of the Employee Retirement Income
Security Act of 1974 or Endowment Fund; see
Rule 13d-1(b)(1)(ii)(F) of the Act.
(g) Parent Holding Company, in accordance with
Rule 13d-1(b)(ii)(G) of the Act.
(h) Group, in accordance with Rule 13d-1(b)(1)(ii)(H) of
the Act.
None of the above.
Item 4. Ownership.
(a) Amount Beneficially Owned: As of December 31, 1997, each
of the following is the owner of record of the number of
shares of Common Stock set forth next to his, her or its
name:
HIVF: 781,977 shares
HIV-Gen: 0 shares
Mr. Goodman: 0 shares
Mr. Spinner: 0 shares
Mr. D'Amore: 32,449 shares
Mr. Dimmler: 0 shares
Mr. Geary: 0 shares
Mr. Hambro: 0 shares
Additionally, in their capacities as individual general partners of HIVF
each of Hiv-Gen, Messrs. Goodman, Spinner, Dimmler, Geary and Hambro may be
deemed to own beneficially an aggregate of 781,977 shares of Common Stock
as of December 31, 1997. In addition to his beneficial ownership of the
shares of HIVF, Mr. D'Amore is the owner of record of 32,449 shares. As a
result, Mr. D'Amore may be deemed to beneficially own 814,426 shares of
Common Stock as of December 31, 1997.
Page 11 of 15 pages
<PAGE>
(b) Percent of Class:
HIVF: 6.6%
HIV-Gen: 6.6%
Mr. Goodman: 6.6%
Mr. Spinner: 6.6%
Mr. D'Amore: 6.9%
Mr. Dimmler: 6.6%
Mr. Geary: 6.6%
Mr. Hambro: 6.6%
The foregoing percentages are calculated based on the 11,782,467 shares of
Common Stock reported to be outstanding in the Quarterly Report on
Form 10-Q of Xionics Document Technologies, Inc. for the quarter ended
October 31, 1997.
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
HIVF: 0 shares
HIV-Gen: 0 shares
Mr. Goodman: 0 shares
Mr. Spinner: 0 shares
Mr. D'Amore: 32,449 shares
Mr. Dimmler: 0 shares
Mr. Geary: 0 shares
Mr. Hambro: 0 shares
Page 12 of 15 pages
<PAGE>
(ii) shared power to vote or to direct the vote:
HIVF: 781,977 shares
HIV-Gen: 781,977 shares
Mr. Goodman: 781,977 shares
Mr. Spinner: 781,977 shares
Mr. D'Amore: 781,977 shares
Mr. Dimmler: 781,977 shares
Mr. Geary: 781,977 shares
Mr. Hambro: 781,977 shares
(iii) sole power to dispose or to direct the disposition of:
HIVF : 0 shares
HIV-Gen: 0 shares
Mr. Goodman: 0 shares
Mr. Spinner: 0 shares
Mr. D'Amore: 32,449 shares
Mr. Dimmler: 0 shares
Mr. Geary: 0 shares
Mr. Hambro: 0 shares
(iv) shared power to dispose or to direct the disposition of:
HIVF: 781,977 shares
HIV-Gen: 781,977 shares
Mr. Goodman: 781,977 shares
Mr. Spinner: 781,977 shares
Mr. D'Amore: 781,977 shares
Mr. Dimmler: 781,977 shares
Mr. Geary: 781,977 shares
Mr. Hambro: 781,977 shares
Each of HIVF, Hiv-Gen, Messrs. Goodman, Spinner, D'Amore, Dimmler,
Geary and Hambro expressly disclaims beneficial ownership of any
shares of Common Stock of Xionics Document Technologies, Inc., except
any shares held directly of record.
Item 5. Ownership of Five Percent or Less of a Class.
If this statement is being filed to report the fact that as of the
date hereof the reporting person has ceased to be the beneficial owner
of more than five percent of the class of securities, check the
following: / /
Page 13 of 15 pages
<PAGE>
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. HIVF, Hiv-Gen, Messrs. Goodman, Spinner, D'Amore,
Dimmler, Geary and Hambro expressly disclaim membership in a "group"
as defined in Rule 13d-1(b)(ii)(H).
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
Not applicable. This statement on Schedule 13G is not filed pursuant
to Rule 13d-1(b).
Page 14 of 15 pages
<PAGE>
Signature
After reasonable inquiry and to the best of his, her or its knowledge and
belief, each of the undersigned certifies that the information set forth in this
statement is true, complete and correct. We also hereby agree to file this
statement jointly pursuant to the agreement set forth as Exhibit 1 to the
Schedule 13G filed on February 13, 1997 for Xionics Document Technologies, Inc.
Dated: February 13, 1998
HAMBRO INTERNATIONAL VENTURE FUND II, L.P.
By: HIV-GEN INCORPORATED
Its General Partner
By: *
---------------------------
David Barnett
President
HIV-GEN INCORPORATED
By: *
---------------------------
David Barnett
President
*
----------------------------
Edwin A. Goodman
*
----------------------------
Arthur C. Spinner
*
----------------------------
Richard A. D'Amore
*
----------------------------
Charles L. Dimmler, III
*
----------------------------
William J. Geary
*
----------------------------
Alexander R. Hambro
*By: /s/ Lisa C. Torch
---------------------------------
Lisa C. Torch
Attorney-in-fact
* This Schedule 13G was executed by Lisa C. Torch pursuant to Powers of
Attorney as filed as Exhibit 2 to the Schedule 13G filed on February 13, 1997
for Xionics Document Technologies, Inc.
Page 15 of 15 pages
