CUSIP No. 86789P 10 0 Page 1 of 23
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
--------------------------------------------------------------------------------
SUNTRON CORPORATION
(Name of Issuer)
Common Stock, par value $0.01 per share
--------------------------------------------------------------------------------
(Title of Class of Securities)
86789P 10 0
-----------
(CUSIP Number)
Jeffrey W. Goettman
Thayer-BLUM Funding III, L.L.C.
1455 Pennsylvania Avenue, N.W.
Washington, D.C. 20004
(202) 371-0150
with a copy to:
Eric A. Stern, Esq. Murray A. Indick, Esq.
Latham & Watkins Thayer-BLUM Funding III, L.L.C.
555 Eleventh Street, N.W. 909 Montgomery Street
Suite 1000 Suite 400
Washington, D.C. 20004 San Francisco, CA 94133
(202) 637-2200 (415) 434-1111
--------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications)
February 28, 2002
-----------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following
box [_].
Note: Schedules filed in paper format shall include a signed original and five
copies of this schedule, including all exhibits. See Rule 13d-7(b) for other
parties to whom copies are to be sent.
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
CUSIP No. 86789P 10 0 Page 2 of 23
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1 NAME OF REPORTING PERSON THAYER-BLUM FUNDING III, L.L.C.
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 46-0468415
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY)
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 3 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON TC KCO, L.L.C.
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY)
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 4 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON THAYER EQUITY INVESTORS IV, L.P.
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2128525
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* PN
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 5 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON TC EQUITY PARTNERS IV, L.L.C.
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2121904
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY)
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 6 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON TC MANUFACTURING HOLDINGS, L.L.C.
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY)
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 7 of 23
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1 NAME OF REPORTING PERSON TC CO-INVESTORS IV, LLC
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2139964
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_)]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY)
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 8 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON TC MANAGEMENT PARTNERS IV, L.L.C.
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 52-2121901
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY)
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 9 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON FREDERIC V. MALEK
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION USA
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* IN
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 10 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON CARL J. RICKERTSEN
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION USA
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* IN
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 11 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON JEFFREY W. GOETTMAN
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION USA
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* IN
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 12 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON DANIEL M. DICKINSON
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION USA
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
37,636,077
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* IN
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 13 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON BLUM STRATEGIC PARTNERS, L.P.
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 94-3303833
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* PN
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 14 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON BLUM STRATEGIC GP, L.L.C.
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 94-3303831
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* OO (LIMITED LIABILITY COMPANY)
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 15 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON BLUM (K*TEC) CO-INVESTMENT
PARTNERS, L.P.
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION DELAWARE
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* PN
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 16 of 23
----------------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON RICHARD C. BLUM
SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
----------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [X] (b)
----------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
----------------------------------------------------------------------------------------------------------------------
4 SOURCE OF FUNDS N/A
----------------------------------------------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS
IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [_]
----------------------------------------------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION USA
----------------------------------------------------------------------------------------------------------------------
7 SOLE VOTING POWER
-----------------------------------------------------------------------------------
NUMBER OF SHARES 8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY EACH 24,582,191
REPORTING PERSON -----------------------------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
-----------------------------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
24,582,191
----------------------------------------------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
24,582,191
----------------------------------------------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES*
----------------------------------------------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
89.7%
----------------------------------------------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON* IN
----------------------------------------------------------------------------------------------------------------------
CUSIP No. 86789P 10 0 Page 17 of 23
Item 1. Security and Issuer.
Security: This Schedule 13D relates to 24,582,191 shares of common stock,
--------
$0.01 par value per share ("Common Stock"), of Suntron Corporation (the "Issuer"
or "Company").
Issuer: Suntron Corporation
------
2501 West Grandview Road
Phoenix, Arizona 85023
Item 2. Identity and Background.
(a), (b), (c) and (f): This Schedule 13D is being filed jointly by
---------------------
Thayer-BLUM Funding III, L.L.C. ("TBF III"), Thayer Equity Investors IV, L.P., a
Delaware limited partnership, TC Equity Partners IV, L.L.C., a Delaware limited
liability company, TC Manufacturing Holdings, L.L.C., a Delaware limited
liability company, TC Co-Investors IV, LLC, a Delaware limited liability
company, TC Management Partners IV, L.L.C., a Delaware limited liability
company, TC KCo, L.L.C., a Delaware limited liability company (together each of
Thayer Equity Investors IV, L.P., TC Equity Partners IV, L.L.C., TC
Manufacturing Holdings, L.L.C., TC Co-Investors IV, LLC, TC Management Partners
IV, L.L.C. and TC KCo, L.L.C., the "Thayer Entities"), Blum Strategic Partners,
L.P., a Delaware limited partnership, Blum Strategic GP, L.L.C., a Delaware
limited liability company, Blum (K*TEC) Co-Investment Partners, L.P., a Delaware
limited partnership (together each of Blum Strategic Partners, L.P., Blum
Strategic GP, L.L.C. and Blum (K*TEC) Co-Investment Partners, L.P., the "Blum
Entities") and Frederic V. Malek, Carl J. Rickertsen, Jeffrey W. Goettman, Susan
Gallagher and Richard C. Blum as individuals (the "Individuals") (each of TBF
III, the Thayer Entities, the Blum Entities, and the Individuals a "Reporting
Person" and taken together the "Reporting Persons").
The principal business offices of each of TBF III, the Thayer Entities, and
Frederic V. Malek, Carl J. Rickertsen, Jeffrey W. Goettman and Susan Gallagher
is 1455 Pennsylvania Avenue, N.W., Suite 350, Washington D.C. 20004. The
business address of each of the Blum Entities and Richard C. Blum is 909
Montgomery Street, Suite 400, San Francisco, Ca. 94133.
Thayer-BLUM Funding III, L.L.C. is in the business of holding shares of the
Company for investment purposes. Thayer Equity Investors IV, L.P., TC
Manufacturing Holdings, L.L.C. and TC KCo, L.L.C. are members of Thayer-BLUM
Funding III, L.L.C. TC Equity Partners IV, L.L.C. is the general partner of
Thayer Equity Investors IV, L.P. TC Co-Investors IV, LLC is the managing member
of TC Manufacturing Holdings, L.L.C. TC Management Partners IV, L.L.C. is the
managing member of TC Co-Investors IV, LLC. The principal business of each of TC
Equity Partners IV, LLC and TC Co-Investors IV, LLC. is making investments in
various industries and providing management services to portfolio companies.
Blum Strategic Partners, L.P. and Blum (K*TEC) Co-Investment Partners, L.P.
are members of Thayer-BLUM Funding III, L.L.C. Blum Strategic GP, L.L.C. is the
general partner of Blum Strategic Partners, L.P. and of Blum (K*TEC)
Co-Investment Partners, L.P. The principal business of Blum Strategic GP, L.L.C.
is to act as general partner to several investment partnerships.
CUSIP No. 86789P 10 0 Page 18 of 23
Each of Frederic V. Malek, Carl J. Rickertsen, Jeffrey W. Goettman and
Susan Gallagher are private investment managers and citizens of the United
States, and members of TC Management Partners IV, L.L.C. and TC Equity Partners
IV, L.L.C. Richard C. Blum is a private investment manager and a citizen of the
United States. John C. Walker is a citizen of the United States and a member of
Blum Strategic GP, L.L.C. Jose S. Medeiros is a citizen of Brazil and a member
of Blum Strategic GP, L.L.C. John C. Walker, Jose S. Medeiros and Jeffrey W.
Goettman have been appointed Directors of the Issuer.
(d) and (e): During the last five years, no Reporting Person (i) has been
-----------
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) nor (ii) has been a party to any civil proceeding of a judicial or
administrative body of competent jurisdiction, and is or was, as a result of
such proceeding, subject to a judgment, decree or final order enjoining future
violations of, or prohibiting or mandating activities subject to, federal or
state securities laws, or finding any violation with respect to such laws.
Item 3. Source and Amount of Funds or Other Consideration.
On February 28, 2002, certain securities of EFTC Corporation ("EFTC") and
membership interests in Thayer-BLUM Funding II, L.L.C. ("TBF II") held by TBF
III were exchanged for common stock of the Company as follows:
1. 37,851,343 shares of common stock, par value $.01 per share, of EFTC
were exchanged for 9,462,835 shares of common stock of the Company.
2. all outstanding membership units of TBF II were exchanged for
15,119,356 shares of common stock of the Company.
Item 4. Purpose of Transaction
(a), (b) and (d): On February 28, 2002, the Company acquired EFTC and TBF
----------------
II pursuant to an Amended and Restated Agreement and Plan of Merger (the "Merger
Agreement"), dated May 3, 2001, between the Company (formerly known as Express
EMS Corporation), EFTC, K*TEC Electronics Holding Corporation ("K*TEC") and TBF
II, the terms of which are more fully described in Item 6 below. Under the
Merger Agreement, TBF II and EFTC merged with separate, wholly owned
subsidiaries of the Company, with TBF II and EFTC each continuing as the
surviving corporation and wholly owned subsidiary of the Company (the
"Mergers"). As a result of the Mergers, each share of EFTC common stock was
converted into 0.25 shares of the Company's common stock and all outstanding
units of TBF II were converted into 15,119,356 shares of the Company's common
stock. The board of directors of the Company consists of nine members, each of
whom previously served as a member of the board of directors of EFTC, and the
Company is led by EFTC's management team. The Reporting Persons have no other
specific plan or proposal to change the Board of Directors or management of the
Company.
(c), (e) and (f) though (j): None of the Reporting Persons has any plans or
---------------------------
proposals which relate to, or could result in, the matters referred to in
paragraphs (c), (e) and (f) through (j), inclusive, of the instructions to Item
4 of Schedule 13D.
Item 5. Interest and Securities of the Issuer.
CUSIP No. 86789P 10 0 Page 19 of 23
(a): The Reporting Persons listed in Item 2 above may be deemed to be
---
members in a group, in which case each Reporting Person would be deemed to have
beneficial ownership of 24,582,191 shares of Common Stock which accounts for
89.7% of the outstanding Common Stock.
(b): The Reporting Persons listed in Item 2 above share the power to vote,
---
direct the vote, dispose, or direct the disposition of all the shares of Common
Stock covered by this Schedule 13D. The participation in this filing by Frederic
V. Malek, Carl J. Rickertsen, Jeffrey W. Goettman, Susan Gallagher and Richard
C. Blum shall not be construed as an admission that they or any other member,
managing member, director, executive officer, limited partner, general partner
or shareholder of the Thayer Entities or the Blum Entities is, for any purpose,
a beneficial owner of any of the Common Stock of the Issuer except to the extent
of any pecuniary interest therein.
(c): The transactions described in Item 4 are the only transactions
---
effected during the last 60 days by the Reporting Persons.
(d): Not Applicable.
---
(e): Not Applicable.
---
Item 6. Contracts, Arrangements, Understandings or Relationships With Respect to
Securities of the Issuer.
Pursuant to the Merger Agreement, the Company entered into a
registration rights agreement (the "Registration Rights Agreement")
substantially similar to the Registration Rights Agreement filed as Exhibit 10.3
to the Company Amendment No. 1 to the Registration Statement on Form S-4/A filed
on December 18, 2001. Pursuant to the Registration Rights Agreement, the
Purchaser (and any of its permitted transferees) will have the right to require
the Company to register the shares of Common Stock held by such persons under
the Securities Act of 1933, as amended (the "Securities Act"), in certain
circumstances. If the Company proposes to register its securities under the
Securities Act, either for its own account or the account of others, the
Purchaser (and any of its permitted transferees) will be entitled to notice of
such registration and to include their shares in such registration; provided,
among other conditions, that the underwriters for any such offering will have
the right to limit the number of such shares included in such registration,
subject to certain conditions.
Other than as described above, the Reporting Persons do not have any
contracts, arrangements, understandings or relationships with any person with
respect to any securities of the Company.
Item 7. Materials to be Filed as Exhibits.
Exhibit 99.1: Merger Agreement (filed as Exhibit 2.1 to the Company
Registration Statement on Form S-4 filed on November 8,
2001, File No. 333-72992, and incorporated by reference
herein)
Exhibit 99.2: Joint Filing Agreement (filed herewith)
Exhibit 99.3: Power of Attorney (filed herewith)
CUSIP No. 86789P 10 0 Page 20 of 23
Exhibit 99.4: Registration Rights Agreement (filed as Exhibit 10.3 to
the Company Amendment No. 1 to the Registration Statement
on Form S-4/A filed on December 18, 2001, File No.
333-72992, and incorporated by reference herein)
CUSIP No. 86789P 10 0 Page 21 of 23
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief, the
undersigned certify that the information set forth in this statement is true,
complete and correct.
Dated: March 7, 2002
THAYER-BLUM FUNDING III, L.L.C.
By: /s/ Jeffrey W. Goettman
------------------------------------
Name: Jeffrey W. Goettman
Title: Authorized Person
THAYER EQUITY INVESTORS IV, L.P.
By: TC Equity Partners IV, L.L.C.,
its General Partner
By: /s/ Barry E. Johnson
------------------------------------
Barry E. Johnson
Attorney-in-Fact
TC EQUITY PARTNERS IV, L.L.C.
By: /s/ Barry E. Johnson
------------------------------------
Barry E. Johnson
Attorney-in-Fact
TC MANUFACTURING HOLDINGS, L.L.C.
By: TC Co-Investors IV, LLC,
its Managing Member
By: TC Management IV, L.L.C.,
its Managing Member
By: /s/ Barry E. Johnson
------------------------------------
Barry E. Johnson
Attorney-in-Fact
CUSIP No. 86789P 10 0 Page 22 of 23
TC KCO, L.L.C.
By: /s/ Barry Johnson
------------------------------------
Barry Johnson
Attorney-in-Fact
TC CO-INVESTORS IV, LLC
By: TC Management Partners IV, L.L.C.,
its Managing Member
By: /s/ Barry E. Johnson
------------------------------------
Barry E. Johnson
Attorney-in-Fact
TC MANAGEMENT PARTNERS IV, L.L.C.
By: /s/ Barry E. Johnson
------------------------------------
Barry E. Johnson
Attorney-in-Fact
FREDERIC V. MALEK
By: /s/ Barry E. Johnson
------------------------------------
Barry E. Johnson
Attorney-in-Fact
CARL J. RICKERTSEN
By: /s/ Barry E. Johnson
------------------------------------
Barry E. Johnson
Attorney-in-Fact
JEFFREY W. GOETTMAN
By: /s/ Barry E. Johnson
------------------------------------
Barry E. Johnson
Attorney-in-Fact
CUSIP No. 86789P 10 0 Page 23 of 23
DANIEL M. DICKINSON
By: /s/ Barry E. Johnson
------------------------------------
Barry E. Johnson
Attorney-in-Fact
BLUM (K*TEC) CO-INVESTMENT PARTNERS, L.P.
By: BLUM STRATEGIC GP, L.L.C.,
its General Partner
By: /s/ Murray A. Indick
------------------------------------
Murray A. Indick
Member
BLUM STRATEGIC PARTNERS, L.P.
By: BLUM STRATEGIC GP, L.L.C.,
its General Partner
By: /s/ Murray A. Indick
------------------------------------
Murray A. Indick
Member
BLUM STRATEGIC GP, L.L.C.
By: /s/ Murray A. Indick
------------------------------------
Murray A. Indick
Member
RICHARD C. BLUM
By: /s/ Murray A. Indick
------------------------------------
Murray A. Indick
Attorney-in-Fact