-----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, UOJt+suf8xrmAMCnoVgYMCwIWMzICaVyepS9xvo2q83iaPy/GomPc+uo8nFfUKV/ 4wJ84IKIPY7EQkgfmTRkKA== 0000950123-97-001183.txt : 19970222 0000950123-97-001183.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950123-97-001183 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19970213 SROS: NONE GROUP MEMBERS: ACCEL III ASSOCIATES L.P. GROUP MEMBERS: ACCEL III LP GROUP MEMBERS: ACCEL INVESTORS '92 L.P. GROUP MEMBERS: ACCEL JAPAN L.P. GROUP MEMBERS: ARTHUR C. PATTERSON GROUP MEMBERS: G. CARTER SEDNAOUI GROUP MEMBERS: JAMES R. SWARTZ GROUP MEMBERS: JAMES W. BREYER GROUP MEMBERS: PAUL H. KLINGENSTEIN GROUP MEMBERS: SWARTZ FAMILY PARTNERSHIP L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FARALLON COMMUNICATIONS INC CENTRAL INDEX KEY: 0001012482 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER INTEGRATED SYSTEMS DESIGN [7373] IRS NUMBER: 943033136 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49573 FILM NUMBER: 97531101 BUSINESS ADDRESS: STREET 1: 2470 MARINER SQUARE LOOP CITY: ALAMEDA STATE: CA ZIP: 94501 BUSINESS PHONE: 5108145100 MAIL ADDRESS: STREET 1: 2470 MARINER SQUARE LOOP CITY: ALAMEDA STATE: CA ZIP: 94501 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ACCEL III LP CENTRAL INDEX KEY: 0001032710 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 94303655 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ONE PALMER SQUARE CITY: PRINCETON STATE: NJ ZIP: 08542 BUSINESS PHONE: 6096834500 MAIL ADDRESS: STREET 2: ONE PALMER SQUARE CITY: PRINCTON STATE: NJ ZIP: 08542 SC 13G 1 SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Farallon Communications, Inc. ----------------------------------------- (Name of Issuer) Common Stock ----------------------------------------- (Title of Class of Securities) 307394 10 6 ----------------------------------------- (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 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 11 Pages 2 CUSIP NO. 307394 10 6 13G PAGE 2 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Accel III L.P. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware 5 SOLE VOTING POWER 882,812 NUMBER OF 6 SHARED VOTING POWER 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 882,812 PERSON WITH 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 882,812 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.9% 12 TYPE OF REPORTING PERSON* PN *SEE INSTRUCTION BEFORE FILLING OUT! 3 CUSIP NO. 307394106 13G PAGE 3 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Accel Japan L.P. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware 5 SOLE VOTING POWER 82,122 NUMBER OF 6 SHARED VOTING POWER 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 82,122 PERSON WITH 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 82,122 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.7% 12 TYPE OF REPORTING PERSON* PN *SEE INSTRUCTION BEFORE FILLING OUT! 4 CUSIP NO. 307394106 13G PAGE 4 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Accel Investors '92 L.P. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware 5 SOLE VOTING POWER 61,591 NUMBER OF 6 SHARED VOTING POWER 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 61,591 PERSON WITH 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 61,591 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.6% 12 TYPE OF REPORTING PERSON* PN *SEE INSTRUCTION BEFORE FILLING OUT! 5 CUSIP NO. 307 394 106 13G PAGE 5 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Accel III Associates L.P. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware 5 SOLE VOTING POWER 882,812 NUMBER OF 6 SHARED VOTING POWER 0 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 882,812 PERSON WITH 8 SHARED DISPOSITIVE POWER 0 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 882,812 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.9% 12 TYPE OF REPORTING PERSON* PN *SEE INSTRUCTION BEFORE FILLING OUT! 6 CUSIP NO. 307 394 106 13G PAGE 6 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Swartz Family Partnership L.P. 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware 5 SOLE VOTING POWER 0 NUMBER OF 6 SHARED VOTING POWER 882,812 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 0 PERSON WITH 8 SHARED DISPOSITIVE POWER 882,812 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 882,812 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.9% 12 TYPE OF REPORTING PERSON* PN *SEE INSTRUCTION BEFORE FILLING OUT! 7 CUSIP NO. 307 394 106 13G PAGE 7 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON James W. Breyer 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER 0 NUMBER OF 6 SHARED VOTING POWER 1,026,525 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 0 PERSON WITH 8 SHARED DISPOSITIVE POWER 1,026,525 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,026,525 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.2% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTION BEFORE FILLING OUT! 8 CUSIP NO. 307 394 106 13G PAGE 8 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Paul H. Klingenstein 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER 0 NUMBER OF 6 SHARED VOTING POWER 1,026,525 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 0 PERSON WITH 8 SHARED DISPOSITIVE POWER 1,026,525 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,026,525 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.2% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTION BEFORE FILLING OUT! 9 CUSIP NO. 307 394 106 13G PAGE 9 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Arthur C. Patterson 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER 0 NUMBER OF 6 SHARED VOTING POWER 1,026,525 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 0 PERSON WITH 8 SHARED DISPOSITIVE POWER 1,026,525 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,026,525 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.2% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTION BEFORE FILLING OUT! 10 CUSIP NO. 307 394 106 13G PAGE 10 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON G. Carter Sednaoui 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER 0 NUMBER OF 6 SHARED VOTING POWER 964,934 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 0 PERSON WITH 8 SHARED DISPOSITIVE POWER 964,934 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 964,934 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.7% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTION BEFORE FILLING OUT! 11 CUSIP NO. 307 394 106 13G PAGE 11 OF 11 PAGES 1 NAME OF REPORTING PERSON S.S OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON James R. Swartz 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States 5 SOLE VOTING POWER 0 NUMBER OF 6 SHARED VOTING POWER 1,026,525 SHARES BENEFICIALLY OWNED BY EACH REPORTING 7 SOLE DISPOSITIVE POWER 0 PERSON WITH 8 SHARED DISPOSITIVE POWER 1,026,525 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,026,525 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.2% 12 TYPE OF REPORTING PERSON* IN *SEE INSTRUCTION BEFORE FILLING OUT! 12 ITEM 1. Issuer's Name and Address of Principal Executive Offices: (a) Farallon Communications, Inc. ("Issuer") (b) 2470 Mariner Square Loop Alameda, CA 94501 ITEM 2. Information Concerning Person Filing: (a) Filing Persons: Entities: Accel III L.P. ("A3") Accel Japan L.P. ("AJ") Accel Investors '92 L.P. ("AI92") Accel III Associates L.P. ("A3A") Swartz Family Partnership L.P. ("SFP") Individuals: James W. Breyer ("JWB") Paul H. Klingenstein ("PHK") Arthur C. Patterson ("ACP") G. Carter Sednaoui ("GCS") James R. Swartz ("JRS") (b) Principal Business Address: One Embarcadero Center Suite 3820 San Francisco, CA 94111 (c) Citizenship/Place of Organization Entities: Accel III L.P. ("A3") Delaware Accel Japan L.P. ("AJ") Delaware Accel Investors '92 L.P. ("AI92") Delaware Accel III Associates L.P. ("A3A") Delaware Swartz Family Partnership L.P. ("SFP") Delaware Individuals: James W. Breyer ("JWB") United States Paul H. Klingenstein ("PHK") United States Arthur C. Patterson ("ACP") United States G. Carter Sednaoui ("GCS") United States James R. Swartz ("JRS") United States 13 (d) Title of Class of Securities: Common Stock (e) CUSIP No.: 307394 10 6 ITEM 3. Status of Person Filing: Not Applicable ITEM 4. Ownership
ENTITIES: A3 AJ AI92 A3A SFP -- -- ---- --- --- (a) Beneficial Ownership: 882,812 82,122 61,591 882,812 882,812 (b) Percentage of Class: 7.9% 0.7% 0.6% 7.9% 7.9% (c) Sole Voting Power: 882,812 82,122 61,591 882,812 0 Shared Voting Power: 0 0 0 0 882,812 Sole Dispositive Power: 882,812 82,122 61,591 882,812 0 Shared Dispositive Power: 0 0 0 0 882,812 INDIVIDUALS: JWB PHK ACP GCS JRS (a) Beneficial Ownership: 1,026,525 1,026,525 1,026,525 964,934 1,026,525 (b) Percentage of Class: 9.2% 9.2% 9.2% 8.7% 9.2% (c) Sole Voting Power: 0 0 0 0 0 Shared Voting Power: 1,026,525 1,026,525 1,026,525 964,934 1,026,525 Sole Dispositive Power: 0 0 0 0 0 Shared Dispositive Power: 1,026,525 1,026,525 1,026,525 964,934 1,026,525
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: Under certain circumstances set forth in A3's, A3A's, AJ's, and AI92's respective partnership agreements, the general partners and/or limited partners of each of such funds have the right to receive dividends from, or the proceeds from the sale of the Common Stock of Issuer owned by each such fund. 14 ITEM 7. Identification and Classification of Subsidiary: Not Applicable ITEM 8. Identification and Classification of Group: Not Applicable ITEM 9. Notice of Dissolution of Group: Not Applicable ITEM 10. Certification: Not Applicable Exhibit A: Joint Filing Statement 15 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. Dated: February 13, 1997 Entities: Accel III L.P. Accel Japan L.P. Accel Investors '92 L.P. Accel III Associates L.P. Swartz Family Partnership L.P. By: /s/ G. Carter Sednaoui ----------------------------------- G. Carter Sednaoui, Attorney-in-fact for above-listed entities Individuals: James W. Breyer Paul H. Klingenstein Arthur C. Patterson G. Carter Sednaoui James R. Swartz By: /s/ G. Carter Sednaoui ------------------------------------------- G. Carter Sednaoui, Individually and as Attorney-in-fact for above-listed individuals 16 EXHIBIT INDEX Sequentially Exhibit Document Description Numbered Page - ------- -------------------- ------------- A Agreement of Joint Filing EX-99.A 2 AGREEMENT OF JOINT FILING 1 EXHIBIT A Agreement of Joint Filing Each of the undersigned hereby agrees that they are filing jointly pursuant to Rule 13d-1(f)(1) of the Securities Exchange Act of 1934, as amended, the Statement dated February 13, 1997, containing the information required by Schedule 13G, for the shares of Common Stock of Farallon Communications, Inc. which they each beneficially hold. Dated: February 13, 1997 Entities: Accel III L.P. Accel Japan L.P. Accel Investors '92 L.P. Accel III Associates L.P. Swartz Family Partnership L.P. By: /s/ G. Carter Sednaoui ------------------------------------ G. Carter Sednaoui, Attorney-in-fact for above-listed entities Individuals: James W. Breyer Paul H. Klingenstein Arthur C. Patterson G. Carter Sednaoui James R. Swartz By: /s/ G. Carter Sednaoui ------------------------------------------- G. Carter Sednaoui, Individually and as Attorney-in-fact for above-listed individuals -----END PRIVACY-ENHANCED MESSAGE-----