B7 (Official Form 7) (12/07)
UNITED STATES BANKRUPTCY COURT
Northern District of California
In re: Tvia, Inc. Case No. 08-55860
Debtor (If known)
STATEMENT OF FINANCIAL AFFAIRS
1. Income from employment or operation of business
None State the gross amount of income the debtor has received from employment,
o
trade, or profession, or from operation of the debtor’s business, including
part-time activities either as an employee or in independent trade or
business, from the beginning of this calendar year to the date this case was
commenced. State also the gross amounts received during the two years
immediately preceding this calendar year. (A debtor that maintains, or has
maintained, financial records on the basis of a fiscal rather than a
calendar year may report fiscal year income. Identify the beginning and
ending dates of the debtor’s fiscal year.) If a joint petition is filed,
state income for each spouse separately. (Married debtors filing under
chapter 12 or chapter 13 must state income of both spouses whether or not a
joint petition is filed, unless the spouses are separated and a joint
petition is not filed.)
AMOUNT SOURCE FISCAL YEAR PERIOD
4,006,265.00 Business Operations 2007 (April 1, 2006 — March 31, 2007)
10,183,298.00 Business Operations 2008 (April 1, 2007 — March 31, 2008)
1,431,757.00 Business Operations 2009 (April 1, 2008 — October 15, 2008) 2. Income other than from employment or operation of business
None State the amount of income received by the
þ
debtor other than from employment, trade,
profession, operation of the debtor’s
business during the two years immediately
preceding the commencement of this case.
Give particulars. If a joint petition is
filed, state income for each spouse
separately. (Married debtors filing under
chapter 12 or chapter 13 must state income
for each spouse whether or not a joint
petition is filed, unless the spouses are
separated and a joint petition is not
filed.)
AMOUNT SOURCE FISCAL YEAR PERIOD
3. Payments to creditors
Complete a. or b., as appropriate, and c.
None a. Individual or joint debtor(s) with primarily consumer debts: List all payments
þ
on loans, installment purchases of goods or services, and other debts to any
creditor made within 90 days immediately preceding the commencement of this case
unless the aggregate value of all property that constitutes or is affected by such
transfer is less than $600. Indicate with an asterisk (*) any payments that were
made to a creditor on account of a domestic support obligation or as part of an
alternative repayment schedule under a plan by an approved nonprofit budgeting and
credit counseling agency. (Married debtors filing under chapter 12 or chapter 13
must include payments by either or both spouses whether or not a joint petition is
filed, unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS OF DATES OF AMOUNT AMOUNT
CREDITOR PAYMENTS PAID STILL OWING
None b. Debtor whose debts are not primarily consumer debts: List each payment or other
o
transfer to any creditor made within 90 days immediately preceding the
commencement of the case unless the aggregate value of all property that
constitutes or is affected by such transfer is less than $5,475. If the debtor is
an individual, indicate with an asterisk (*) any payments that were made to a
creditor on account of a domestic support obligation or as part of an alternative
repayment schedule under a plan by an approved nonprofit budgeting and credit
counseling agency. (Married debtors filing under chapter 12 or chapter 13 must
include payments and other transfers by either or both spouses whether or not a
joint petition is filed, unless the spouses are separated and a joint petition is
not filed.)
AMOUNT
DATES OF PAID OR AMOUNT
PAYMENTS/ VALUE OF STILL
NAME AND ADDRESS OF
CREDITOR TRANSFERS TRANSFERS OWING
See Attachment 3.b.
None c. All debtors: List all payments made within one year
o
immediately preceding the commencement of this case to
or for the benefit of creditors who are or were
insiders. (Married debtors filing under chapter 12 or
chapter 13 must include payments by either or both
spouses whether or not a joint petition is filed,
unless the spouses are separated and a joint petition
is not filed.)
NAME AND ADDRESS OF CREDITOR DATE OF AMOUNT AMOUNT
AND RELATIONSHIP TO DEBTOR PAYMENT PAID STILL OWING
See Attachment 3.c.
4. Suits and administrative proceedings, executions, garnishments and attachments
None a. List all suits and administrative proceedings to which the debtor is
o
or was a party within one year immediately preceding the filing of this
bankruptcy case. (Married debtors filing under chapter 12 or chapter 13
must include information concerning either or both spouses whether or
not a joint petition is filed, unless the spouses are separated and a
joint petition is not filed.)
CAPTION OF SUIT COURT OR AGENCY STATUS OR
AND CASE NUMBER NATURE OF PROCEEDING AND LOCATION DISPOSITION
See Attachment 4.a.
None b. Describe all property that has been
þ
attached, garnished or seized under any
legal or equitable process within one year
immediately preceding the commencement of
this case. (Married debtors filing under
chapter 12 or chapter 13 must include
information concerning property of either or
both spouses whether or not a joint petition
is filed, unless the spouses are separated
and a joint petition is not filed.)
NAME AND ADDRESS DESCRIPTION
OF PERSON FOR WHOSE DATE OF AND VALUE OF
BENEFIT PROPERTY WAS SEIZED SEIZURE PROPERTY
5. Repossessions, foreclosures and returns
None List all property that has been repossessed by a creditor,
þ
sold at a foreclosure sale, transferred through a deed in lieu
of foreclosure or returned to the seller, within one year
immediately preceding the commencement of this case. (Married
debtors filing under chapter 12 or chapter 13 must include
information concerning property of either or both spouses
whether or not a joint petition is filed, unless the spouses
are separated and a joint petition is not filed.)
DATE OF REPOSSESSION, DESCRIPTION
NAME AND ADDRESS FORECLOSURE SALE, AND VALUE OF
OF CREDITOR OR SELLER TRANSFER OR RETURN PROPERTY
6. Assignments and receiverships
None a. Describe any assignment of property for the benefit of creditors made within 120 days
þ
immediately preceding the 21 commencement of this case. (Married debtors filing under chapter
12 or chapter 13 must include any assignment by either or both spouses whether or not a joint
petition is filed, unless the spouses are separated and a joint petition is not filed.)
TERMS OF
NAME AND ADDRESS DATE OF ASSIGNMENT
OF ASSIGNEE ASSIGNMENT OR SETTLEMENT
None b. List all property which has been in the hands of a custodian, receiver, or
þ
court-appointed official within one year immediately preceding the commencement
of this case. (Married debtors filing under chapter 12 or chapter 13 must include
information concerning property of either or both spouses whether or not a joint
petition is filed, unless the spouses are separated and a joint petition is not
filed.)
NAME AND ADDRESS DESCRIPTION
NAME AND ADDRESS OF COURT DATE OF AND VALUE OF
OF CUSTODIAN CASE TITLE & NUMBER ORDER PROPERTY
7. Gifts
None List all gifts or charitable contributions made within one
þ
year immediately preceding the commencement of this case
except ordinary and usual gifts to family members
aggregating less than $200 in value per individual family
member and charitable contributions aggregating less than
$100 per recipient. (Married debtors filing under chapter
12 or chapter 13 must include gifts or contributions by
either or both spouses whether or not a joint petition is
filed, unless the spouses are separated and a joint
petition is not filed.)
NAME AND ADDRESS RELATIONSHIP TO DESCRIPTION
OF PERSON DEBTOR, DATE AND VALUE OF
OR ORGANIZATION IF ANY OF GIFT GIFT
8. Losses
None all losses from fire, theft, other casualty or gambling within
þ
one year immediately preceding the commencement of this case or
since the commencement of this case. (Married debtors filing
under chapter 12 or chapter 13 must include losses by either or
both spouses whether or not a joint petition is filed, unless the
spouses are separated and a joint petition is not filed.)
DESCRIPTION DESCRIPTION OF CIRCUMSTANCES AND, IF
AND VALUE OF LOSS WAS COVERED IN WHOLE OR IN PART DATE OF
PROPERTY BY INSURANCE, GIVE PARTICULARS LOSS
9. Payments related to debt counseling or bankruptcy
None List all payments made or property transferred by or on behalf of
o
the debtor to any persons, including attorneys, for d
consultation concerning debt consolidation, relief under the
bankruptcy law or preparation of a petition in bankruptcy within
one year immediately preceding the commencement of this case.
DATE OF PAYMENT, AMOUNT OF MONEY OR
NAME AND ADDRESS NAME OF PAYOR IF DESCRIPTION AND VALUE
OF PAYEE OTHER THAN DEBTOR OF PROPERTY
See Attachment 9.
10. Other transfers
None a. List all other property, other than property transferred in the ordinary
þ
course of the business or financial affairs of the debtor, transferred either
absolutely or as security within two years immediately preceding the
commencement of this case. (Married debtors filing under chapter 12 or chapter
13 must include transfers by either or both spouses whether or not a joint
petition is filed, unless the spouses are separated and a joint petition is
not filed.)
DESCRIBE PROPERTY
NAME AND ADDRESS OF TRANSFEREE. TRANSFERRED
RELATIONSHIP TO DEBTOR DATE AND VALUE RECEIVED
None b. List all property transferred by the debtor within ten years immediately preceding the
þ
commencement of this case to a self-settled trust or similar device of which the
debtor is a beneficiary.
AMOUNT OF MONEY OR DESCRIPTION
NAME OF TRUST OR OTHER DATE(S) OF AND VALUE OF PROPERTY OR DEBTOR’
DEVICE TRANSFER(S) INTEREST IN PROPERTY
11. Closed financial accounts
None List all financial accounts and instruments held in the name of
þ
the debtor or for the benefit of the debtor which were closed,
sold, or otherwise transferred within one year immediately
preceding the commencement of this case. Include checking,
savings, or other financial accounts, certificates of deposit, or
other instruments; shares and share accounts held in banks,
credit unions, pension funds, cooperatives, associations,
brokerage houses and other financial institutions. (Married
debtors filing under chapter 12 or chapter 13 must include
information concerning accounts or instruments held by or for
either or both spouses whether or not a joint petition is filed,
unless the spouses are separated and a joint petition is not
filed.)
TYPE OF ACCOUNT, LAST FOUR AMOUNT AND
NAME AND ADDRESS DIGITS OF ACCOUNT NUMBER, DATE OF SALE
OF INSTITUTION AND AMOUNT OF FINAL BALANCE OR CLOSING
12. Safe deposit boxes
None List each safe deposit or other box or depository in which the debtor
þ
has or had securities, cash, or other valuables within one year
immediately preceding the commencement of this case. (Married debtors
filing under chapter 12 or chapter 13 must include boxes or depositories
of either or both spouses whether or not a joint petition is filed,
unless the spouses are separated and a joint petition is not filed.)
NAME AND ADDRESS NAMES AND ADDRESSES DESCRIPTION DATE OF TRANSFER
OF BANK OR OF THOSE WITH ACCESS OF OR SURRENDER,
OTHER DEPOSITORY TO BOX OR DEPOSITORY CONTENTS IF ANY
13. Setoffs
None List all setoffs made by any creditor,
þ
including a bank, against a debt or
deposit of the debtor within 90 days
preceding the commencement of this case.
(Married debtors filing under chapter 12
or chapter 13 must include information
concerning either or both spouses whether
or not a joint petition is filed, unless
the spouses are separated and a joint
petition is not filed.)
DATE OF AMOUNT OF
NAME AND ADDRESS OF CREDITOR SETOFF SETOFF
14. Property held for another person
None List all property owned by another person that the debtor holds or controls.
o
NAME AND ADDRESS DESCRIPTION AND VALUE
OF OWNER OF PROPERTY LOCATION OF PROPERTY
Konica Minolta Copy Machine Debtor’s Place of
Bane of America Leasing Admin Ctr Business
P.O. Box 7023 Troy, Ml 48007-7023
Pitney Bowes Postage Machine Debtor’s Place of
P.O. Box 856390 Business
Louisville, KY 47285
None 15. Prior address of debtor If debtor has moved within three years immediately preceding the commencement
þ
debtor occupied during that period and vacated prior to the commencement of this any separate address of
either spouse. of this case, list all premises which the case. If a joint petition is filed, report also
ADDRESS NAME USED DATES OF OCCUPANCY
16. Spouses and Former Spouses
None If the debtor resides or resided in a community property state,
þ
commonwealth, or territory (including Alaska, Arizona,
California, Idaho, Louisiana, Nevada, New Mexico, Puerto Rico,
Texas, Washington, or Wisconsin) within eight years immediately
preceding the commencement of the case, identify the name of the
debtor’s spouse and of any former spouse who resides or resided
with the debtor in the community property state. NAME
17. Environmental Information.
For the purpose of this question, the following definitions apply:
“Environmental Law” means any federal, state or local statute or regulation regulating pollution,
contamination, releases of hazardous or toxic substances, wastes or material into the air, land,
soil, surface water, groundwater, or other medium, including, but not limited to, statutes or
regulations regulating the cleanup of these substances, wastes, or material.
“Site” means any location, facility, or property as defined under any Environmental Law, whether or
not presently or formerly owned or operated by the debtor, including, but not limited to, disposal
sites.
“Hazardous Material” means anything defined as a hazardous waste, hazardous substance, toxic
substance, hazardous material, pollutant, or contaminant or similar term under an Environmental
Law.
None a. List the name and address of every site for which the debtor has
þ
received notice in writing by a governmental unit that it may be
liable or potentially liable under or in violation of an
Environmental Law. Indicate the governmental unit, the date of the
notice, and, if known, the Environmental Law.
SITE NAME AND NAME AND ADDRESS DATE OF ENVIRONMENTAL LAW
—
ADDRESS OF GOVERNMENTAL UNIT NOTICE
6
None b. List the name and address of every site for which the debtor provided notice to a governmental unit of a release of 0 Hazardous Material. Indicate the governmental unit to which the notice was sent and the date of the notice.
SITE NAME AND NAME AND ADDRESS DATE OF ENVIRONMENTAL
ADDRESS OF GOVERNMENTAL UNIT NOTICE LAW
None c. List all judicial or administrative proceedings, including settlements or orders, under any Environmental Law with 2J respect to which the debtor is or was
a
party. Indicate the name and address of the governmental unit that is or was a party to the proceeding, and the docket number.
NAME AND ADDRESS DOCKET NUMBER STATUS OR
OF GOVERNMENTAL UNIT DISPOSITION
18. Nature, location and name of business
None a.
If the debtor is an individual,
list the names, addresses, taxpayer identification
numbers, nature of the businesses, pi and beginning and ending dates of all businesses in
which the debtor was an officer, director, partner, or managing executive of a corporation, partner
in a partnership, sole proprietor, or was self-employed in a trade, profession, or other activity
either full- or part-time within the
six years
immediately preceding the commencement of this case,
or in which the debtor owned 5 percent or more of the voting or equity securities within the
six
years
immediately preceding the commencement of this case.
If the debtor is a partnership,
list the names, addresses, taxpayer identification numbers, nature
of the businesses, and beginning and ending dates of all businesses in which the debtor was a
partner or owned 5 percent or more of the voting or equity securities, within the
six years
immediately preceding the commencement of this case.
If the debtor is a corporation,
list the names, addresses, taxpayer identification numbers, nature
of the business, and beginning and ending dates of all businesses in which the debtor was a partner
or owned 5 percent or more of the voting or equity securities within the
six years
immediately
preceding the commencement of this case.
LAST FOUR DIGITS
NAME °£ EDMD^LADDRESS
KusSf
BEG
‘
NN
‘
NG
^ ^’^
TAXPAYER-I.D. NO. BUSINESS DATES
(ITIN)/COMPLETE EIN
Nxvue, Inc. 4001 Burton Drive No Business
Santa Clara, CA 95054
Tvia Inc. China Hefei New & High Tech Research and
Devel Area Software design,
Bldg #606 Semiconductors
669 Changjiang Road
West
Hefei, Anhui, 230088 P.R.
China
—
None b.Identify
any business listed in response to subdivision a., above, that is “single asset real estate” as defined in 11
a
U.S.C. §101.
NAME ADDRESS
7
19. Books, records and financial statements
None a. List all bookkeepers and accountants who within two years immediately
o
preceding the filing of this bankruptcy case kept or supervised the keeping
of books of account and records of the debtor.
NAME AND ADDRESS DATES SERVICES RENDERED
Accountemps 3/12/08 — 8/30/08
(Hai Yan Li)
File 73484
San Francisco, CA 94160-3484
Diane Bjorkstrom 9/7/04-10/16/06
707 Bryant Street
Palo Alto, CA 94301
Gerald Petak 2/1/06-11/16/06
16311 Camellia Terr
Los Gatos, CA 95032
Hong Ping Ding 8/30/2000 — Present
306 Escobar Street
Fremont, CA 94539
Keith Yee 10/18/06-8/10/07
3249 Morris Drive
Palo Alto, CA 94303
Lydia Tate 5/1/06-10/16/06
2732 Flory Drive
San Jose, CA 95054
Sylvia Shivley 9/10/2007 — Present
1105 Longshore Dr.
San Jose, CA 95128
Xiaodong Yang 10/23/06 — 8/17/07
5500 Drysdale Dr.
San Jose, CA 95124
Yafei Cheng 10/3/06 — 5/18/07
440 Oak Grove Dr., Apt 30
Santa Clara, CA 95054
Yu Yun Chu 11/16/05 — 3/9/07
1313 Niagara Dr.
San Jose, CA 95130 None b. List all firms or individuals who within two years immediately preceding
o
the filing of this bankruptcy case have audited the books of account and
records, or prepared a financial statement of the debtor.
NAME ADDRESS DATES SERVICES RENDERED
BDO Seidman, LLP 1/17/06 — 8/13/07
Dan Hunter
50 West San Fernando Street
San Jose, CA 95113
L.L. Bradford & Company, LLC 2/27/08 — Present
Dustin Lewis, Eric Bullinger,
Jordan Ray & Shane Harvey
3441 S. Eastern Avenue
Las Vegas, NV 89169
8
None c. List all firms or individuals who
o
at the time of the commencement of
this case were in possession of the
books of account and records of the
debtor. If any of the books of
account and records are not
available, explain.
NAME ADDRESS
Tvia, Inc. 4001 Burton Drive
Santa Clara, CA 95054
None d. List all financial institutions,
þ
creditors and other parties,
including mercantile and trade
agencies, to whom a financial
statement was issued by the debtor
within two years immediately
preceding the commencement of this
case.
NAME AND ADDRESS DATE ISSUED 20. Inventories
None a. List the dates of the last two inventories taken of your property,
þ
the name of the person who supervised the taking of each inventory,
and the dollar amount and basis of each inventory.
DOLLAR AMOUNT OF
INVENTORY
(Specify cost,
market or other
DATE OF INVENTORY INVENTORY SUPERVISOR basis)
None b. List the name and address of the person having possession of the
þ
records of each of the inventories reported in a., above.
NAME AND ADDRESSES OF CUSTODIAN
DATE OF INVENTORY OF INVENTORY RECORDS 21. Current Partners, Officers, Directors and Shareholders
None a. If the debtor is a partnership, list the nature and percentage of partnership
þ
interest of each member of the partnership.
NAME AND ADDRESS NATURE OF INTEREST PERCENTAGE OF
INTEREST
None b. If the debtor is a corporation, list all officers and directors of the
o
corporation, and each stockholder who directly or indirectly owns, controls, or
holds 5 percent or more of the voting or equity securities of the corporation.
NATURE AND PERCENTAGE OF
NAME AND ADDRESS TITLE STOCK OWNERSHIP
David Levi Director None
130 Mount Auburn St., Unit 208
Cambridge, MA 02138
Eli Porat COB, CEO None
400 Casselino Drive
San Jose, CA 951 36
William Walker Director None
15745 Peach Hill Rd.
Saratoga, CA 95070 22. Former partners, officers, directors and shareholders
None a. If the debtor is a partnership, list
þ
each member who withdrew from the
partnership within one year immediately
preceding the commencement of this case.
NAME ADDRESS DATE OF WITHDRAWAL
9
None b. If the debtor is a corporation, list all officers or directors
o
whose relationship with the corporation terminated within one
year immediately preceding the commencement of this case.
NAME AND ADDRESS
TITLE
DATE OF TERMINATION
Bathsheba Malsheen Director 10/14/2008
195 Duboce Avenue
San Francisco, CA 94103
Bruce Berkoff Director 10/14/2008
16055 SW Walker Rd., Suite 264
Beaverton, OR 97006
David Medin CTO & VP Engineering 12/12/2007
940 St. Joseph Avenue
Los Altos, CA 94024
Du Baichuan Director 10/14/2008
Room 1504, Bldg 7, No. 1504
No. 2 Guang An Men
BeiBingHe Rd
W. District Beijing 100045 23. Withdrawals from a partnership or distributions by a corporation
None If the debtor is a partnership or corporation, list
o
all withdrawals or distributions credited or given
to an insider, including compensation in
any form, bonuses, loans, stock redemptions,
options exercised and any other perquisite during
one year immediately preceding the commencement of
this case.
NAME & ADDRESS AMOUNT OF MONEY
OF RECIPIENT, DATE AND P URPOSE OR DESC RIPTION
RELATIONSHIP TO DEBTOR OF WAL AND VAL UE OF PROPERTY
WITHDRA
See Attachment 23 24. Tax Consolidation Group.
None If the debtor is a corporation, list the name
þ
and federal taxpayer identification number of
the parent corporation of any consolidated
group for tax purposes of which the debtor has
been a member at any time within six years
immediately preceding the commencement of the
case.
NAME OF PARENT CORPORATION TAXPAYER IDENTIFICATION
NUMBER (EIN) 25. Pension Funds.
None If the debtor is not an individual, list the
þ
name and federal taxpayer identification
number of any pension fund to which
the debtor, as an employer, has
been responsible for contributing at any time
within six years immediately preceding the
commencement of the case.
NAME OF PENSION FUND TAXPAYER ID ENTIFICATION NUMBER (EIN)
10
[If completed on behalf of a partnership or corporation]
I, declare under penalty of perjury that I have read the answers contained in the foregoing statement of financial affairs and any attachments thereto and that they are true and correct to the best of my knowledge, information and belief.
Date October 30, 2008 Signature /
s
/ Eli Porat
—— —
li Porat, Chief Executive Officer
Print Name and Title
An individual signing on behalf of a partnership or corporation must indicate position or
relationship to debtor.]
11
continuation sheets attached
Penalty for making a false statement: Fine of up to $500,000 or imprisonment for up to 5 years,
orboth. 18U.S.C. § 152and 3571.
Tvia, Inc.
Case
No. 08-55860
Attachment
3.b
To
Statement of Financial Affairs
TVIA INC.
Payment to Creditors (90 days)
Jul 16 , 2008 to Oct 15, 2008
>S5,475 (Multiple items)
Years (All)
Type (Multiple Items)
Sum of Amount Date
Paid To/Rcvd From Jul Aug Sep Oct Grand Total Purpose
—— —— —— —— —— —— —
100K for capital injection , $73873.32
deposit (overpaid to China on 10/9/08)
TVIA — CHINA NEW & HIGH TECH 100,000.00 100,000.00 300,000.00 500,000.00 the remaining paid for invoices
Murray & Murray 25,000.00 250,000.00 275,000.00 Legal Expense
ADVANCED SEMICONDUCTOR ENGIN 1,220.00 89,639.40 153.091.80 243,951.20 Inventory and testing supplies
WILSON SONSINI GOODRICH & RO 13,033.00 23,112.95 43,166.15 133.249.01 212,561.11 Legal Expense
ABD Insurance and Financial 199,788.00 199,788.00 D & O Insurance
Resources Global Professiona 56,225.00 46,935.00 9,435.00 112.595.00 Accounting Expense
The Deckard Law Firm 18,357.50 9,684.45 40,953.99 19,482.30 88,478.24 Legal Expense
CAMPEAU GOODSELL SMITH LAW C 28,852.12 8,431.09 30,701.86 67,985.07 Legal Expense
O’MELVENY & MYERS LLP 41,520.27 5,752.18 47,272.45 Legal Expense
KOLL/INTER£AL BAY AREA 10,500.00 10,500.00 10,500.00 31,500.00 Office Rent
Bathsheba J. Malsheen 7,999.00 23,333.00 31,332.00 Director Fees
William R. Walker 7,999.00 23.333.00 31,332.00 Director Fees
Great-West Life & Annuity 7,733.34 6,608.34 15,398.23 29,739.91 Funding EE 401K
L.L.Bradford & Company. LLC 1,334.75 26,300.00 27,634.75 Accounting Expense
Du Baichuan 4,999.00 21,833.00 26,832.00 Director Fees
Bruce Berkoff 4,999.00 21,833.00 26,832.00 Director Fees
David Levi 21,833.00 21,533.00 Director Fees
TAX COLLECTOR. COUNTY OF SAN 18.858.56 18,858.56 Personal Properly Tax
BLUE CROSS OF CALIFORNIA 6.453.00 4,733.00 5.593.00 16,779.00 EE Medical
Sylvia Shivley 8.450.00 1,000.00 4,525.00 13,975.00 Accounting Expense
Compensia, Inc. 13,451.40 13,451.40 Compensation Consulting
Softbrands Manufacturing. In 12.300.00 12,300.00 Services for Fourth-shift in 2007
Pralt and Associates 11,190.00 11,190.00 Legal Expense
4800 GAP Associates, LLC 7,764.00 7,764.00 NEW office Rent
Legal Service Solutions 668.53 4.310.85 781.80 1.240.83 7,002.01 Legal Expense
PORAT ELI 1,994.70 4.350.66 633.71 6,979.07 EE Exp Reimbursement
OneBeacon 6.892.75 6,892.75 Insurance
Employee expense reimbursement {airfare
Margaret Baran 2,657.69 738.46 984.18 1,492.88 5,873.21 charges on her credit card)
Grand Total 65,563.54 545,794.13 424,565.44 1,059,808.62 2,095,731.73
SVB CHECKING 1855 9/22/20008 CHK 4800 GAP Associates, LLC No PMTRX0001727 7,764.00
tvia, inc.
case
No. 08-55860
attachment
3.c
To
statement of financial affairs
O:\Bill A (Resources)\Murray Workpapers\00_Schedules(200a,10.15\B7 3c. Payments to insiders (1
Year)_0cl 15 2008
TVIA,Ine
Director/Officer Salary and Other Compensation
For the Period beginning Oct, 1, 2007 through Oct 15, 2008
Bonus per Expense Salary & Bonus,
Checkbook ID Number Date Type Paid To/Rcvd From Reconciled Origin Payment Director Fees Retainer Componsla Relmbursement etc, Description
Bathsheba J.
SVB CHECKING CASH 10/14/2008 WDL Malsheen No P MTRX00001751 23,333.00 2,000.00 1,333.00 20,000.00
Bathsheba J.
SVB CHECKING 1849 9/22/2008 CHK Malsheen No P MCHK00000514 7,999.00 4,000.00 3,999.00
Bathsheeba J.
SVB CHECKING 1700 6/23/2008 CHK Malsheen No P MCHK00000503 4,676.00 2,000.00 2,666.00 10.00
SVB CHECKING CASH 10/14/2008 WDL Bruce Berkoff No P MTRX00001751 21,833.00 500.00 1,333.00 20,000.00
SVB CHECKING 1850 9/22/2008 CHK Bruce Berkoff No P MCHK00000514 4,999.00 1,000.00 3,999.00
SVB CHECKING 1?07 6/23/2008 CHK Bruce Berkoff No P MCHK00000503 4,999.00 1,000.00 3,999.00
SVB CHECKING 1585 4/4/2008 CHK Bruce Berkoff No P MCHK00000493 4,999.00 1,000,00 3,999.00
SVB CHECKING 1462 1/11/2008 CHK Bruce Berkoff No P MCHK00000483 2,333.00 1,000.00 1,333.00
SVB CHECKING 1326 11/9/2007 CHK Bruce Borkoff Ha P MCHK00000475 5,166.00 3,000.00 2,666.00
SVS CHECKING 1561 10/29/2007 CHK Bruce Berkoff No P HCHK00000470 5,166,00 2,500.00 2,666.00
SVB CHECKING CASH 10/14/2008 WDL David Levl No P MTRX00001751 21,833.00 500.CO 1,333.00 20,000.00
SVB CHECKING 1710 6/23/2008 CHK David Levl No P MCHK00000503 4,999.00 1,000.00 3,999.00
SVB CHECKING 1549 3/13/2008 CHK David LevI No P MCHK00000491 7,332.00 2,000.00 5,332.00
SVB CHECKING [328 11/8/2007 CHK David Levl No P MCHK00000475 15,498.00 7,500.00 7,998.00
Cell phone
SVB CHECKING 1226 10/5 (2007 CHK David Medin No P MCHK00000466 120.00 120.OO reimbursement
SVB CHECKING CASH 10/14/2008 WDL Du Baichuan No P MTRX00001751 21,833.00 500.00 1,333.00 20.000.00
SVB CHECKING 15518 9/23/2008 WDL Du Balchuan No P MPAY00000216 4,999.00 1,000.00 3,999.00
SVB CHECKING 15310 6/24/2008 WDL Du Balchuan No P MPAY00000211 4,999.00 1,000.00 3,999.00
SVB CHECKING 15074 4/7/2008 WDL Du Balchuan No P MPAY00000209 6,499.00 2,500,00 3,999.00
Airfare
SVB CHECKING 14961 2/21/2008 WDL Du Baichuan No P MPAY00000205 5,773.78 5,773.78 reimbursement
SVB CHECKING 14823 1/14/2008 WDL Du Balchuan No P MPAY00000203 2,333.00 1,000.00 1,333.00
$5666 BOD lee,
$5535 airfare
SVB CHECKING 14617 11/20/2007 WDL Du Balchuan No P MPAY00000199 11,201.00 3.000.00 2,666,00 5,535.00 reimbursement
SVB CHECKING 14554 10/30/2007 WDL Du Balchuan No” P MPAY00000198 4,666.00 2,000.00 3,999.00
SVB CHECKING 1886 10/8/2008 CHK Jefferson Slamp No P MCHK00000516 188.00 188.00
SVB CHECKING 1868 10/1/2008 CHK Jefferson Slamp No P MCHK00000515 951.50 951.50
SVB CHECKING 1774 8/1/2008 CHK Jefferson Slamp No P WCHK00000508 287.50 287.50
SVB CHECKING 1743 7/11/2008 CHK Jefferson Slamp No P MCHK00000505 742.93 742.93
sva
checking
1686 6/6/2008 CHK Jefferson Slamp No P MCHK00000501 209.02 209.02
SVB CHECKING 1658 5/16/2008 CHK Jefferson Stamp No P MCHK00000498 468.27 468.27
SVB CHECKING 1590 4/4/2008 CHK Jefferson Stamp No P MCHK00000493 166.00 188.00
SVB CHECKING 1562 3/19/2008 CHK Jefferson Stamp No P MCKK00000492 1,956.36 1,956.36
SVB CHECKING 1507 2/11/2008 CHK Jefferson Stamp No P MCHK00000486 200.52 200.52
SVB CHECKING 1484 1/25/2008 CHK Jefferson Stamp No P MCHK00000485 376.00 376,00
SVB CHECKING 1452 1/4/2008 CHK Jefferson Stamp No P MCHK00000482 188.00 188.00
SVB CHECKING 1330 11/9/2007 CHK Jefferson Stamp No P MCHK00000475 1,245.50 1,245.50
SVB CHECKING 1231 10/5/2007 CHK Jefferson Stamp No P MCHK00000466 168.00 168.00
SVB CHECKING 1859 10/1/2008 CHK PORAT, ELI No P MCHK00000515 633.71 633,71
SVB CHECKING 1778 8/1/2008 CHK PORAT, ELI No P MCHK00000508 4,350.66 4,350.66
SVB
checking
1757 7/17/2008 CHK PORAT, ELI No P MCHK00000506 1,994.70 1,994.70
SVB CHECK
ING 1598 4/4/2008 CHK PORAT, ELI No P MCHK00000493 1,779.76 1,779.78
SVB CHECKING 1540 2/26/200B CHK PORAT, ELI No P MCHK00000489 1,302.35 1,302.35
svb “checking
1189 1/25/2008 CHK PORAT, ELI No P MCHK00000485 2,360.10 2,360.10
SVB CHECKING 1457 1/4/2008 CHK PORAT, ELI No P MCHK00000482 1,436.79 1,430.79
SV8 CHECKING 1335 11/9/2007 CHK PORAT, ELI No P MCHK00000475 1,907.52 1,907.52
SVB CHECKING 1254 10/19/2007 CHK PORAT, ELI No P MCHK00000468 1,288.60 1,288.50
svb checki’ng
CASH 10/14/2008 WDL William R.Walker No P MTRX00001751 23,333.00 2,000.00 1.333.00 20.000.00
SVB CHECKING 1854 9/22/2008 CHK William R. Walker No P MCHK00000514 7,999.00 4.000.00 3,009.00
SVB CHECKING 1713 6/23/2008 CHK William R. Walker No P MCHK00000503 4,666.00 2,000.00 1.333.00
Payroll 10/1/2007-10/15/08 PR PORAT, ELI ADP 250,395.75 250,395.75
Payroll 10/1/2007-10/15/08 PR Jefferson Stamp ADP 186,304.00 180,004.00
Payroll 10/1/2007-10/15/08 PR David Medin ADP 42,646.15 42,646.15
tvia, inc.
case
No. 08-55860
attachment
4.a
To
statement of financial affairs
4. Suits and administrative proceedings ... within one year
Caption of Suit and Case Nature of Court of Agency Status of
Number Proceeding and Location Disposition
Tvia,
idc.
Civil Lawsuit Alameda County Pending
v. Lin, el Superior Court
al. HG08410637
Tvia, Inc. v. NBG, Civil Lawsuit Santa Clara County Pending
et al. Superior Court
1-07-CV-084211
Tvia. Inc. v. Civil Lawsuit Santa Clara County Pending
Silva, et al. Superior Court
1-08-CV-104728
Medin v. Tvia, Civil Lawsuit Santa Clara County Pending
Inc., et al. Superior Court
l-08-CV-113084
McKee v. Tvia, Civil Lawsuit Santa. Clara Comity Pending
Inc., et al. 1- Superior Court
08-CV-118444
McKse v. Tvia, Wage claim Labor Commissioner Dismissed without
Inc.. at at. San Jose Office prejudice
12-69514
In the Matter of Federal Securities and Pending
Tvia, Inc. investigation Exchange Commission
(SF-3245)
Astro Systems. Inc. Small Claims Los Angeles County Pending
v. Tvia, Inc. Superior Court
08-S-00364 (Burbank)
Tvia, Inc. v. Civil Lawsuit Santa Clara County Dismissed 12-06-07
Hannspree Superior Court
I-07-CV-089862
Tvia, Inc. v. Zoran Civil Lawsuit Santa Clara County Dismissed 11-16-07
Corp. Superior Court
1-06-CV-073991
Richardson v. Tvia, Civil Lawsuit U.S. District Dismissed 02-06-08
Inc. 06-CV-06304 (Class Action) Court, Northern
RMW District of
California
De Sola v. Tvia, Civil Lawsuit U.S. District Dismissed 02-06-08
Inc. 06-CV-07307 (Class Action) Court, Northern
RMW District of
California
Tvia, Inc.
Case No.
08-55860
Attachment 9
To
Statement of Financial Affairs
O:\Bill A (Resources)\Murray Workpapers\00_Schedules\2Q08.10.15\87 9. — Pmts related to debt
counseling or bankruptcy
Tvia, Inc
Payments related to debt counseling or bankruptcy
SOFA item 9
10/15/2008
Checkbook ID Number Date Type Paid To/Rcvd From Reconciled Description Origin Amount
—— —— —— —— —— —— —— —— ——
Bankruptcy
SVB CHECKING 1262 10/29/2007 CHK CAMPEAU GOODSELL SMITH LAW C No Counseling PMCHK00000470 13,822.50
Bankruptcy
SVB CHECKING 1397 12/21/2007 CHK CAMPGAU GOODSELL SMITH LAW C No Counseling PMCHK00000480 2.295.0D
Bankruptcy
SVB CHECKING 1397 12/21/2007 CHK CAMPEAU GOODSELL SMITH LAW C No Counseling PMCHK00000480 1,9412.50
SVB CHECKING CASH 6/15/2008 WDL Murray & Murray No Legal (retainer) PMTRX00001725 25.000.00
SVB CHECKING CASH 10/10/2008 WDL Murray & Murray No Legal (retainer) PMTRX00001749 250.000.00
Accounting and
Documentation
Preparation
SVB CHECKING 1796 8/8/2008 CHK Resources Global Professiona No (Retainer/deposil) PMCHK00000509 55.000.00
Accounting and
Documentation
SVB CHECKING 1808 8/22/2008 CHK Resources Global Professiona No Preparation PMCHK00000510 1.225.00
Accounting and
Documentation
SVB CHECKING 1831 9/5/2008 CHK Resources Global Professiona No Preparation PMCHK00000512 24,540.00
Accounting and
Documentation
SVB CHECKING 1846 9/12/2008 CHK Resources Global Professiona No Preparation PMCHK00000513 12,062.50
Accounting and
Documentation
SVB CHECKING 1853 9/22/2008 CHK Resources Global Professiona No Preparation PMCHK00000514 10,332.50
Accounting and
Documentation
SVB CHECKING 1870 10/1/2008 CHK Resources Global Professiona No Preparation PMCHK00000515 1,800.00
Accounting and
Documentation
SVB CHECKING 1896 10/9/2008 CHK Resources Global Professiona No Preparation PMTRX00001745 7.635,00
Total Payments related to debt counseling or bankruptcy 405,655.00
Tvia, Inc.
Case No. 08-55860
Attachment 23
To
Statement of Financial Affairs
O:\Bill A (Rasources)\Murray WorXpapers\00_Schedules\2008.10.15\B7 23 Withdrawals to Insiders (1
Year)
TVIA, Inc
Director/Officer Salary and Other Compensation
For the Period beginning Oct 1. 2007 through Oct 15. 2008
Bonus per Expense Salary & Bonus,
Checkbook ID Number Date Type Paid To/Rcvd From Reconclled Origin Payment Director Fees Retainer Compensta Reimbursement etc. Description
—— —— —— —— —— —— —— —— —— —— —— —— —— —— SVB CHECKING CASH 10/14/2006 WDL Balhsheba J, No PMTRX00001751 23,333.00 2,000.00 1,333.00 20,000.00
Malsheen
SVB CHECKING 1849 9/22/2008 CHK Balhsheba J, No PMCHK00000514 7,999.00 4,000.00 3,999.00
Malsheen
SVB CHECKING 1706 6/23/2008 CHK Balhsheba J, No PMCHK00000503 4,676.00 2,000.00 2,666.00 10.00
Malsheen
SVB CHECKING CASH 10/14/2008 WDL Bruce Berkoff No PMTRX00001751 21,833.00 600.00 1,333.00 20,000.00
SVB CHECKING 1850 9/22/2008 CKK Bruce Berkoff No PMCHK0000514 4,999.00 1,000.00 3,999.00
SVB CHECKING 1707 6/23/2008 CHK Bruce Berkoff No PMCHK00000503 4,999.00 1,000,00 3,999.00
SVB CHECKING 1585 4/4/2008 CHK Bruce Berkoff No PMCHK00000493 4,999.00 1,000.00 3,999.00
SVB CHECKING 1462 1/11/2008 CHK Bruce Berkoff No PMCHK00000483 2,333.00 1,000.00 1,333,00
SVB CHECKING 1326 11/9/2007 CHK Bruce Barkoff No PMCHK00000475 5,666.00 3,000.00 2,656,00
SVB CHECKING 1261 10/29/2007 CHK Bruce Berkoff NP PMCHK00000470 5,166.00 2,500.00 2,666.00
SVB CHECKING CASH 10/14/2008 WDL David Levi No PMTRX00001751 21,833.00 500.00 1,333.00 20,000.00
SVB CHECKING 1710 6/23/2008 CHK David Levi No PMCHK00000503 4,999.00 1,000.00 3,999.00
SVB CHECKING 1549 3/13/2008 CHK David Levi No PMCHK00000491 7,332.00 2,000.00 5,332.00
SVB CHECKING 1328 11/9/2007 CHK David Levi No PMCHK00000475 15,498/00 7,500.00 7,998.00
SVB CHECKING 1226 10/5/2007 CHK David Medin No PMCHK00000466 120.00 120.00 Cell phone
reimbursement
SVB CHECKING CASH 10/14/2008 WDL Du Balchuan No PMTRX00001751 21,833.00 500.00 1,333.00 20,000,00
SVB CHECKING 15518 9/23/2008 WDL Du Balchuan No PMPAY00000216 4,999.00 1,000.00 3,999.00
SVB CHECKING 15310 6/24/2008 WDL Du Balchuan No PMPAY00000211 4,999.00 1,000.00 3,999,00
SVB CHECKING 15074 4/7/2008 WDL Du Balchuan No PMPAY00000209 6,499.00 2,50000 3,99900 5,773.78 Airfare
SVB CHECKING 14961 2/21/2008 WDL Du Balchuan No PMPAY00000205 5,773.78 reimbursement
SVB CHECKING 14823 1/14/2008 WDL Du Balchuan No PMPAY00000203 2,333.00 1,000.00 1,333.00
SVB CHECKING 14617 11/20/2007 WDL Du Balchuan No PMPAY00000199 11,201.00 3,000.00 2,666.00 5,535.00 S5666 BOD fee,
S5535 airfare
reimbursement
SVB CHECKING 14554 10/30/2007 WDL Du Balchuan No PMPAY00000198 4,666.00 2,000.00 3,999.00
SVB CHECKING 1886 10/8/2008 CHK Jefferson Stamp No PMCHK00000516 188.00 188.00
SVB CHECKING 1866 10/1/2008 CHK Jefferson Stamp No PMCHK00000515 951.50 951.50
SVB CHECKING 1774 6/1/2008 CHK Jefferson Stamp No PMCHK00000508 287.50 287.50
SVB CHECKING 1743 7/11/2008 CHK Jefferson Stamp No PMCHK00000505 742.93 742.93
SVB CHECKING 1686 6/6/2008 CHK Jefferson Stamp No PMCHK00000501 209.02 209.02
SVB CHECKING 1658 5/16/2008 CHK Jefferson Stamp No PMCHK00000498 468.27 468.27
SVB CHECKING 1590 4/4/2008 CHK Jefferson Stamp No PMCHK00000493 188.00 188.00
SVB CHECKING 1562 3/19/2008 CHK Jefferson Stamp No PMCHK00000492 1,956.36 1,956.36
SV8 CHECKING 1507 2/11/2008 CHK Jefferson Stamp No PMCHK00000486 200.52 200,52
SVB CHECKING 1484 1/25/2006 CHK Jefferson Stamp No PMCHK00000485 376.00 376.00
SVB CHECKING 1452 1/4/2668 CHK Jefferson Stamp No PMCHK00000482 188.00 188,00
SVB CHECKING 1330 11/9/2007 CHK Jefferson Stamp No PMCHK00000475 1,245.50 1,245.50
SVB CHECKING 1231 10/5/2007 CHK Jefferson Stamp No PMCHK00000466 168.00 168,00
SVB CHECKING 1859 10/1/2008 CHK PORAT, ELI No PMCHK00000515 633.71 633,71
SVB CHECKING 177B 8/1/2008 CHK PORAT, ELI No PMCHK00000508 4,350
.66 4,350,66
SVB CHECKING 1757 7/17/2008 CHK PORAT, ELI No PMCHK00000508 1,994.70 1,994.70
SVB CHECKING 1598 4/4/2008 CHK PORAT, ELI No PMCHK00000493 1,779.76 1,779.76
SVB CHECKING 1540 2/26/20DB CHK PORAT, ELI No PMCHK00000469 1,302.35 1,302.35
SVB CHECKING 1489 1/25/2008 CHK PORAT, ELI No PMCHK00000435 2,360.10 2,360.10
SVB CHECKING 1457 1/4/2OO8 CHK PORAT, ELI No PMCHK00000482 1,436.79 1,436.79
SVB CHECKING 1335 11/9/2007 CHK PORAT, ELI No PMCHK00000475 1,907.52 1,907.52
SVB CHECKING 1254 10/19/2007 CHK PORAT, ELI No PMCHK00000468 1,288.60 1,288.60
SVB CHECKING CASH 10/14/2008 WDL William R, Walker No PMTRX00001751 23,333.00 2,000.00 1,333.00 20,000.00
SVB CHECKING 1854 9/22/2008 CHK William R, Walker No PMCHK00000514 7,999.00 4,000.00 3,999.00
SVB CHECKING 1713 6/23/2008 CHK William R, Walkar No PMCHK00000503 4,666.00 2,000.00 1,333.00
Payroll 10/11/2007- 10/15/08 PR PORAT, ELI AdP 250,395.75 250,395.75
Payroll 10/1/2007-10/15/08 PR Jefferson Stamp ADP 186,304.00 186,304,00
Payroll 10/1/2007-10/15/03 PR David Medin ADP 42,646.15 42,646,15
737,656.47 48,000.00 74,648.00 100,000.00 35,662.57 479,345.90
True
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