-----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, JVZ/bPZIU6oVx8CNx9kOANFCHFiU/TVZbIftKn3hV3WguvtNqqtSNTCTfqly940I pNV5UHQ0qCbbdbG7Sk2QLg== 0000950135-97-000544.txt : 19970222 0000950135-97-000544.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950135-97-000544 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NASD GROUP MEMBERS: ADVENT ATLANTIC AND PACIFIC II L.P. GROUP MEMBERS: ADVENT INDUSTRIAL II L.P. GROUP MEMBERS: ADVENT NEW YORK GROUP MEMBERS: ADVENT VII L P GROUP MEMBERS: TA VENTURE INVESTORS LIMITED PARTNERSHIP 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48933 FILM NUMBER: 97528813 BUSINESS ADDRESS: STREET 1: 319 NORTH BERNADO AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 4154285100 MAIL ADDRESS: STREET 1: 319 NORTH BERNARDO AVENUE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT VII L P CENTRAL INDEX KEY: 0000938846 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 043181563 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O TA ASSOCIATES STREET 2: 125 HIGH ST STE 2500 CITY: BOSTON STATE: MA ZIP: 02110 BUSINESS PHONE: 6175746700 MAIL ADDRESS: STREET 1: C/O TA ASSOCIATES STREET 2: 125 HIGH STREET SUITE 2500 CITY: BOSTON STATE: MA ZIP: 02110 SC 13G/A 1 ADVENT VII, L.P. AMENDMENT NO 1 TO SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Network Appliance, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, No Par Value - -------------------------------------------------------------------------------- (Title of Class of Securities) 64120L 10 4 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7.) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). (Continued on following page(s)) Page 1 of 4 Pages SEC 1745 (10-88) 2 CUSIP NO. 64120L 10 4 13G PAGE 2 OF 4 PAGES - -------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Advent VII L.P. 04-3181563 Advent Atlantic and Pacific II L.P. 04-3123521 Advent New York L.P. 04-3095408 Advent Industrial II L.P. 51-0314268 TA Venture Investors Limited Partnership 04-3068354 - -------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /X/ (b) / / - -------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Advent VII L.P. Delaware Advent Atlantic and Pacific II L.P. Delaware Advent New York L.P. Delaware Advent Industrial II L.P. Delaware TA Venture Investors Limited Partnership Massachusetts - -------------------------------------------------------------------------------------------------------------- 5 SOLE VOTING POWER Advent VII L.P. 0 Advent Atlantic and Pacific II L.P. 0 Advent New York L.P. 0 Advent Industrial II L.P. 0 TA Venture Investors Limited Partnership 0 ------------------------------------------------------------------------------------------ NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY N/A OWNED BY ------------------------------------------------------------------------------------------ EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON Advent VII L.P. 0 WITH Advent Atlantic and Pacific II L.P. 0 Advent New York L.P. 0 Advent Industrial II L.P. 0 TA Venture Investors Limited Partnership 0 ------------------------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER N/A - --------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Advent VII L.P. 0 Advent Atlantic and Pacific II L.P. 0 Advent New York L.P. 0 Advent Industrial II L.P. 0 TA Venture Investors Limited Partnership 0 - -------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Advent VII L.P. 00.0% Advent Atlantic and Pacific II L.P. 00.0% Advent New York L.P. 00.0% Advent Industrial II L.P. 00.0% TA Venture Investors Limited Partnership 00.0% - -------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON Each entity is a Limited Partnership - -------------------------------------------------------------------------------------------------------------- - --------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT! 3 SCHEDULE 13G Page 3 of 4 Pages Item 1(a) NAME OF ISSUER: Network Appliance, Inc. Item 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 295 North Bernardo Drive Mountain View, CA 94043 Item 2(a) NAME OF PERSON FILING: Advent VII L.P. Advent Atlantic and Pacific II L.P. Advent New York L.P. Advent Industrial II L.P. TA Venture Investors Limited Partnership Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: c/o TA Associates 125 High Street, Suite 2500 Boston, MA 02110 Item 2(c) CITIZENSHIP: Not Applicable Item 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, No Par Value Item 2(e) CUSIP NUMBER: 61420L 10 4 Item 3 IF THIS STATEMENT IS FILED PURSUANT TO RULES 13D-1(b) OR 13D-2(b), CHECK WHETHER THE PERSON FILING IS A: Not Applicable Item 4 OWNERSHIP Item 4:(a) AMOUNT BENEFICIALLY OWNED: COMMON STOCK ------------ Advent VII L.P. 0 Advent Atlantic and Pacific II L.P. 0 Advent New York L.P. 0 Advent Industrial II L.P. 0 TA Venture Investors Limited Partnership 0 Item 4(b) PERCENT OF CLASS: PERCENTAGE ---------- Advent VII L.P. 0% Advent Atlantic and Pacific II L.P. 0% Advent New York L.P. 0% Advent Industrial II L.P. 0% TA Venture Investors Limited Partnership 0% Item 4(c) NUMBER OF SHARES AS TO WHICH SUCH PERSON HAS: (i) SOLE POWER TO VOTE OR DIRECT THE VOTE: COMMON STOCK ------------ Advent VI L.P. 0 Advent Atlantic and Pacific II L.P. 0 Advent New York L.P. 0 Advent Industrial II L.P. 0 TA Venture Investors Limited Partnership 0 (ii) SHARED POWER TO VOTE OR DIRECT THE VOTE: N/A (iii) SOLE POWER TO DISPOSE OR DIRECT THE DISPOSITION: COMMON STOCK ------------ Advent VII L.P. 0 Advent Atlantic and Pacific II L.P. 0 Advent New York L.P. 0 Advent Industrial II L.P. 0 TA Venture Investors Limited Partnership 0 (iv) SHARED POWER TO DISPOSE OR DIRECT THE DISPOSITION N/A Item 5: OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS: Not Applicable Item 6: OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Not Applicable
4 SCHEDULE 13G Page 4 of 4 Pages 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: This schedule 13G is filed pursuant to Rule 13d-1(c). For the agreement of group members to a joint filing, see below. Item 9: NOTICE OF DISSOLUTION OF GROUP: Not Applicable Item 10: CERTIFICATION: Not Applicable
SIGNATURE 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. AGREEMENT FOR JOINT FILING Advent VII L.P., Advent Atlantic and Pacific II L.P., Advent New York L.P., Advent Industrial II L.P. and TA Venture Investors Limited Partnership hereby agree that TA Associates shall file with the Securities and Exchange Commission a joint schedule 13G on behalf of the above-named parties concerning their beneficial ownership of Network Appliance Inc. Dated: ADVENT VII L.P. By: TA Associates VII L.P., its General Partner By: TA Associates, Inc. its General Partner By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, Managing Director ADVENT ATLANTIC AND PACIFIC II L.P. By: TA Associates AAP II Partners L.P., its General Partner By: TA Associates, Inc. its General Partner By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, Managing Director ADVENT NEW YORK L.P. By: TA Associates VI L.P., its General Partner By: TA Associates, Inc. its General Partner By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, Managing Director ADVENT INDUSTRIAL II L.P. By: TA Associates VI L.P., its General Partner By: TA Associates, Inc. its General Partner By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, Managing Director TA VENTURE INVESTORS LIMITED PARTNERSHIP By: /s/ Katherine S. Cromwell ---------------------------------------------------- Katherine S. Cromwell, General Partner -----END PRIVACY-ENHANCED MESSAGE-----