-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, TD3RWou39Iuls0Xgj3y5P6gosppAugWh9HE3u69HTe3k7e5TNQfIIjm31pi38b6+ DGm4Sr31DyaXVUFi0Iu6Jg== 0000950005-00-000206.txt : 20000214 0000950005-00-000206.hdr.sgml : 20000214 ACCESSION NUMBER: 0000950005-00-000206 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000211 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NETWORK APPLIANCE INC CENTRAL INDEX KEY: 0001002047 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 770307520 STATE OF INCORPORATION: CA FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48933 FILM NUMBER: 536245 BUSINESS ADDRESS: STREET 1: 495 EAST JAVA DR CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4088226000 MAIL ADDRESS: STREET 1: 495 EAST JAVA DR CITY: SUNNYVALE STATE: CA ZIP: 94089 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: VANGUARD IV L P CENTRAL INDEX KEY: 0001016735 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 600 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 4153212900 MAIL ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 600 CITY: PALO ALTO STATE: CA ZIP: 94301 SC 13G 1 SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No._______)* Network Appliance, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 64120L104 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 1999 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following pages) Page 1 of 12 Pages Exhibit Index on page 11
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 641 20L 104 13 G Page 2 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON See Item 2 for identification of General Partner I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Vanguard IV, L.P. ("Vanguard IV") Tax ID Number: 77-0316839 - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------ -------- ------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 75,144 shares, except that Vanguard Venture Partners, L.P. ("VVP"), BENEFICIALLY the general partner of Vanguard IV, may be deemed to have sole power OWNED BY EACH to vote these shares, and Gill, Myers and Higgerson, the general REPORTING partners of VVP, may be deemed to have shared power to vote these PERSON shares. WITH -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER See response to row 5. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 75,144 shares, except that Vanguard Venture Partners, L.P. ("VVP"), the general partner of Vanguard IV, may be deemed to have sole power to dispose of these shares, and Gill, Myers and Higgerson, the general partners of VVP, may be deemed to have shared power to dispose of these shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 75,144 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ --------------------------------------------------------------------------------------------------------- - ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 641 20L 104 13 G Page 3 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON See Item 2 for list of Managing General Partners I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Vanguard Venture Partners, L.P. ("VVP") Tax ID Number: 77-0316838 - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------ --------------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 75,144 shares, all of which are directly owned by Vanguard IV. VVP, the BENEFICIALLY general partner of Vanguard IV, may be deemed to have sole power to vote OWNED BY EACH these shares. Gill, Myers, and Higgerson, the members of VVP, may be REPORTING deemed to have shared power to vote these shares. PERSON -------- ------------------------------------------------------------------------ WITH 6 SHARED VOTING POWER See response to row 5. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 75,144 shares, all of which are directly owned by Vanguard IV. VVP, the general partner of Vanguard IV, may be deemed to have sole power to dispose of these shares. Gill, Myers, and Higgerson, the members of VVP, may be deemed to have shared power to dispose of these shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 75,144 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.1% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 641 20L 104 13 G Page 4 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Jack M. Gill ("Gill") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------ --------------------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 62,920 shares BENEFICIALLY -------- ------------------------------------------------------------------------ OWNED BY EACH 6 SHARED VOTING POWER REPORTING 75,144 shares, all of which are directly owned by Vanguard IV. Gill is a PERSON general partner of VVP, the general partner of Vanguard IV, and may be WITH deemed to have shared power to vote these shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 62,920 shares -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 75,144 shares, all of which are directly owned by Vanguard IV. Gill is a general partner of VVP, the general partner of Vanguard IV, and may be deemed to have shared power to dispose of these shares. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 137,064 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.2% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 641 20L 104 13 G Page 5 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Curtis K. Myers ("Myers") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------ -------- ------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 12,496 BENEFICIALLY -------- ------------------------------------------------------------------------ OWNED BY EACH 6 SHARED VOTING POWER REPORTING 75,144 shares, all of which are directly owned by Vanguard IV. Myers is PERSON a general partner of VVP, the general partner of Vanguard IV, and may be WITH deemed to have shared power to vote these shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 12,496 -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 75,144 shares, all of which are directly owned by Vanguard IV. Myers is a general partner of VVP, the general partner of Vanguard IV, and may be deemed to have shared power to dispose of these shares. - ------------ --------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 87,640 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.1% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 641 20L 104 13 G Page 6 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Clifford H. Higgerson ("Higgerson") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------ -------- ------------------------------------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES 268,818 BENEFICIALLY -------- ------------------------------------------------------------------------ OWNED BY EACH 6 SHARED VOTING POWER REPORTING 75,144 shares, all of which are directly owned by Vanguard IV. Higgerson PERSON is a general partner of VVP, the general partner of Vanguard IV, and may WITH be deemed to have shared power to vote these shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 268,818 -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 75,144 shares, all of which are directly owned by Vanguard IV. Higgerson is a general partner of VVP, the general partner of Vanguard IV, and may be deemed to have shared power to dispose of these shares. - ------------ --------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 343,962 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.5% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------- ------------------------------- CUSIP NO. 641 20L 104 13 G Page 7 of 12 Pages - ---------------------------- ------------------------------- ITEM 1(a). NAME OF ISSUER: --------------- Network Appliance, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: ------------------------------------------------ 495 East Java Drive Sunnyvale, CA 94089 ITEM 2(a). NAME OF PERSON FILING: ---------------------- This statement is filed by Vanguard Associates IV, L.P., a Delaware limited partnership, ("Vanguard IV"), Vanguard Venture Partners, L.P., a Delaware limited partnership, ("VVP"), and Jack M. Gill ("Gill"), Curtis K. Myers ("Myers"), and Clifford H. Higgerson ("Higgerson"), the general partners of VVP. The foregoing entities and individuals are collectively referred to as the "Reporting Persons". VVP is the general partner of Vanguard IV, and may be deemed to have sole power to vote and sole power to dispose of shares of the issuer directly owned by Vanguard IV. Gill, Myers and Higgerson are the general partners of VVP, and may be deemed to have shared power to vote and shared power to dispose of the shares of issuer directly owned by VVP. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE: ------------------------------------------------------------- The address of the principal business office for each of the Reporting Persons is: Vanguard Venture Partners 525 University Avenue, Suite 600 Palo Alto, California 94301 ITEM 2(c) CITIZENSHIP: ------------ Vanguard IV and VVP are Delaware limited partnerships. Gill, Myers and Higgerson are United States citizens ITEM 2(d). TITLE OF CLASS OF SECURITIES: ----------------------------- Common Stock ITEM 2(e). CUSIP NUMBER: ------------- 64120L104 ITEM 3. Not Applicable - ---------------------------- ------------------------------- CUSIP NO. 641 20L 104 13 G Page 8 of 12 Pages - ---------------------------- ------------------------------- ITEM 4. OWNERSHIP: ---------- The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of December 31, 1999: ITEM 1. (a) Amount beneficially owned: ------------------------- See Row 9 of cover page for each Reporting Person. ITEM 2. (b) Percent of Class: ---------------- See Row 11 of cover page for each Reporting Person. ITEM 3. (c) Number of shares as to which such person has: -------------------------------------------- (i) Sole power to vote or to direct the vote: ---------------------------------------- See Row 5 of cover page for each Reporting Person. (ii) Shared power to vote or to direct the vote: ------------------------------------------ See Row 6 of cover page for each Reporting Person. (iii) Sole power to dispose or to direct the disposition of: See Row 7 of cover page for each Reporting Person. (iv) Shared power to dispose or to direct the disposition of: ------------------------------------------ See Row 8 of cover page for each Reporting Person. - ---------------------------- ------------------------------- CUSIP NO. 641 20L 104 13 G Page 9 of 12 Pages - ---------------------------- ------------------------------- 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: [x] Yes ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: --------------------------------------------------------------- Under certain circumstances set forth in the limited partnership agreements of Vanguard IV and VVP, the general and limited partners, as the case may be, of each of such entities may be deemed to have the right to receive dividends from, or the proceeds from, the sale of shares of the issuer owned by each such entity of which they are a partner. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: ----------------------------------------------------------------- Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: --------------------------------------------------------- Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP: ------------------------------ Not applicable ITEM 10. CERTIFICATION: ------------- Not applicable - ---------------------------- ------------------------------- CUSIP NO. 641 20L 104 13 G Page 10 of 12 Pages - ---------------------------- ------------------------------- SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 10, 2000 VANGUARD IV, a Delaware Limited Partnership By: /s/ Clifford H. Higgerson ------------------------------ Clifford H. Higgerson Authorized Signatory VANGUARD VENTURE PARTNERS, a Delaware Limited Partnership By: /s/ Clifford H. Higgerson ------------------------------ Clifford H. Higgerson Authorized Signatory Jack M. Gill By: /s/ Jack M. Gill ------------------------------ Jack M. Gill Curtis K. Myers By: /s/ Curtis K Myers ------------------------------ Curtis K. Myers Clifford H. Higgerson By: /s/ Clifford H. Higgerson ------------------------------ Clifford H. Higgerson - ---------------------------- ------------------------------- CUSIP NO. 641 20L 104 13 G Page 11 of 12 Pages - ---------------------------- ------------------------------- EXHIBIT INDEX Found on Sequentially Exhibit Numbered Page - ------- ------------- Exhibit A: Agreement of Joint Filing 12 EXHIBIT A Agreement of Joint Filing The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of Network Appliances, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Dated: February 10, 2000 February 10, 2000 VANGUARD IV, a Delaware Limited Partnership By: /s/ Clifford H. Higgerson ------------------------------ Clifford H. Higgerson Authorized Signatory February 10, 2000 VANGUARD VENTURE PARTNERS, a Delaware Limited Partnership By: /s/ Clifford H. Higgerson ------------------------------ Clifford H. Higgerson Authorized Signatory February 10, 2000 Jack M. Gill By: /s/ Jack M. Gill ------------------------------ Jack M. Gill February 10, 2000 Curtis K. Myers By: /s/ Curtis K Myers ------------------------------ Curtis K. Myers February 10, 2000 Clifford H. Higgerson By: /s/ Clifford H. Higgerson ------------------------------ Clifford H. Higgerson -----END PRIVACY-ENHANCED MESSAGE-----