-----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, VtYr3RRedpNCNtYjacT0PzE4EpFveir4PexuhbKNW29uiHJyl7y9CEXl/3atLVy3 VMM8590eYHnQvJg8osMfpw== 0001047469-98-005401.txt : 19980217 0001047469-98-005401.hdr.sgml : 19980217 ACCESSION NUMBER: 0001047469-98-005401 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 19980212 SROS: NASD GROUP MEMBERS: ANN H. LAMONT GROUP MEMBERS: BANDEL L. CARANO GROUP MEMBERS: EDWARD F. GLASSMEYER GROUP MEMBERS: EILEEN M. MORE GROUP MEMBERS: FREDRIC W. HARMAN GROUP MEMBERS: GERALD R. GALLAGHER GROUP MEMBERS: OAK ASSOCIATES V, LLC GROUP MEMBERS: OAK INVESTMENT PARTNERS V, LIMITED PARTNERSHIP GROUP MEMBERS: OAK MANAGEMENT CORP GROUP MEMBERS: OAK V AFFILIATES GROUP MEMBERS: OAK V AFFILIATES FUND, LIMITED PARTNERSHIP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NETOPIA 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/A SEC ACT: SEC FILE NUMBER: 005-49573 FILM NUMBER: 98534351 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 FORMER COMPANY: FORMER CONFORMED NAME: FARALLON COMMUNICATIONS INC DATE OF NAME CHANGE: 19960422 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OAK MANAGEMENT CORP CENTRAL INDEX KEY: 0001030818 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 SC 13G/A 1 SC 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Netopia, Inc. (Name of Issuer) Common Stock Par Value $.001 (Title of Class of Securities) 307394106 (CUSIP Number) *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). Cusip No. 307394106 13G Page 2 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak Investment Partners V, Limited Partnership 06-1332464 - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power 693,789 shares of Shares common stock Beneficially (6) Shared Voting Power Not applicable Owned by Each (7) Sole Dispositive Power 693,789 shares of Reporting common stock Person (8) Shared Dispositive Power Not applicable With - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 693,789 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 6.0% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) PN Cusip No. 307394106 13G Page 3 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak Associates V, LLC 06-1462391 - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Beneficially (6) Shared Voting Power 693,789 shares of Owned by common stock Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 693,789 shares of With common stock - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 693,789 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 6.0% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) 00-LLC Cusip No. 307394106 13G Page 4 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak V Affiliates Fund, Limited Partnership 06-1334685 - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power 23,067 shares of Shares common stock Beneficially (6) Shared Voting Power Not applicable Owned by Each (7) Sole Dispositive Power 23,067 shares of Reporting common stock Person (8) Shared Dispositive Power Not applicable With - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 23,067 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 0.2% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) PN Cusip No. 307394106 13G Page 5 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak V Affiliates 06-1334686 - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Connecticut - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Beneficially (6) Shared Voting Power 23,067 shares of Owned by common stock Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 23,067 shares of With common stock - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 23,067 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 0.2% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) PN Cusip No. 307394106 13G Page 6 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oak Management Corporation 06-0990851 - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization Delaware - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Beneficially (6) Shared Voting Power 716,856 shares of Owned by common stock Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 716,856 shares of With common stock - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 716,856 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 6.2% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) CO Cusip No. 307394106 13G Page 7 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Bandel L. Carano - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------ 4 Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Beneficially (6) Shared Voting Power 716,856 shares of Owned by common stock Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 716,856 shares of With common stock - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 716,856 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 6.2% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 307394106 13G Page 8 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Gerald R. Gallagher - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Beneficially (6) Shared Voting Power 716,856 shares of Owned by common stock Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 716,856 shares of With common stock - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 716,856 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 6.2% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 307394106 13G Page 9 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Edward F. Glassmeyer - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------ 4 Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Beneficially (6) Shared Voting Power 716,856 shares of Owned by common stock Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 716,856 shares of With common stock - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 716,856 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 6.2% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 307394106 13G Page 10 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Fredric W. Harman - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Beneficially (6) Shared Voting Power 693,789 shares of Owned by common stock Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 693,789 shares of With common stock - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 693,789 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 6.0% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 307394106 13G Page 11 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Ann H. Lamont - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Beneficially (6) Shared Voting Power 716,856 shares of Owned by common stock Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 716,856 shares of With common stock - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 716,856 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 6.2% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Cusip No. 307394106 13G Page 12 of 19 Pages 1 Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Eileen M. More - ------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (See Instructions) (a) [ ] (b) [ ] - ------------------------------------------------------------------------------- 3 SEC Use Only - ------------------------------------------------------------------------------- 4 Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Not applicable Shares Beneficially (6) Shared Voting Power 716,856 shares of Owned by common stock Each (7) Sole Dispositive Power Not applicable Reporting Person (8) Shared Dispositive Power 716,856 shares of With common stock - ------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 716,856 shares of common stock - ------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - ------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 6.2% - ------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN Page 13 of 19 pages Schedule 13G Amendment No. 1 Common Stock, Par Value $.001 CUSIP No. 307394106 Item 1(a) Name of Issuer: Netopia, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 2470 Mariner Square Loop Alameda, CA 94501 Item 2(a) Name of Person filing: Oak Investment Partners V, Limited Partnership Oak Associates V, LLC Oak V Affiliates Fund, Limited Partnership Oak V Affiliates Oak Management Corporation Bandel L. Carano Gerald R. Gallagher Edward F. Glassmeyer Fredric W. Harman Ann H. Lamont Eileen M. More Item 2(b) Address of Principal Business Office or, if none, Residence: c/o Oak Management Corporation One Gorham Island Westport, CT 06880 Item 2(c) Citizenship: Please refer to Item 4 on each cover sheet for each filing person Item 2(d) Title of Class of Securities: Common stock, $.001 par value Item 2(e) CUSIP Number: 307394106 Item 3 Not Applicable. Item 4 Ownership. The approximate percentages of shares of Common Stock reported as beneficially owned by the Reporting Entities is based upon 11,514,819 shares outstanding as of December 1, 1997, as reported in the Issuer's Form 10-K/A, dated January 8, 1998, plus the shares issuable upon exercise of the options described in the following sentence. Amounts shown as beneficially owned include currently exercisable options to purchase 24,450 shares of Common Stock and 550 shares of Common Stock which may be deemed to be held by Bandel L. Carano on behalf of Oak Investment Partners V, Limited Partnership, and Oak V Affiliates Fund, Limited Partnership, respectively. Please see Items 5, 6, 7, 8, 9 and 11 for each cover sheet for each filing entity. 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 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 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 12, 1998 Oak Investment Partners V, Limited Partnership By: Oak Associates V, LLC, As General Partner By: /s/ Edward F. Glassmeyer ------------------------------------------ Managing Member Oak Associates V, LLC By: /s/ Edward F. Glassmeyer ------------------------------------------ Managing Member Oak V Affiliates Fund, Limited Partnership By: Oak V Affiliates, As General Partner By: /s/ Edward F. Glassmeyer ------------------------------------------ General Partner Oak V Affiliates By: /s/ Edward F. Glassmeyer ------------------------------------------ General Partner OAK MANAGEMENT CORPORATION By: /s/ Edward F. Glassmeyer ------------------------------------------ Name: Edward F. Glassmeyer Title: President /s/ Bandel L. Carano ------------------------------------------ Bandel L. Carano /s/ Fredric W. Harman ------------------------------------------ Fredric W. Harman /s/ Gerald R. Gallagher ------------------------------------------ Gerald R. Gallagher /s/ Edward F. Glassmeyer ------------------------------------------ Edward F. Glassmeyer /s/ Ann H. Lamont ------------------------------------------ Ann H. Lamont /s/ Eileen M. More ------------------------------------------ Eileen M. More INDEX TO EXHIBITS ----------------- Page ---- EXHIBIT A Agreement of Reporting Persons 18 EX-99.1 2 EXHIBIT A Exhibit A Each of the undersigned hereby agrees that Amendment No. 1 to the Schedule 13G filed on the date hereof with respect to the shares of Common Stock of Netopia, Inc. has been filed on behalf of the undersigned. Signature: Dated February 12, 1998 Oak Investment Partners V, Limited Partnership By: Oak Associates V, LLC, As General Partner By: /s/ Edward F. Glassmeyer ------------------------------------------ Managing Member Oak Associates V, LLC By: /s/ Edward F. Glassmeyer ------------------------------------------ Managing Member Oak V Affiliates Fund, Limited Partnership By: Oak V Affiliates, As General Partner By: /s/ Edward F. Glassmeyer ------------------------------------------ General Partner Oak V Affiliates By: /s/ Edward F. Glassmeyer ------------------------------------------ General Partner OAK MANAGEMENT CORPORATION By: /s/ Edward F. Glassmeyer ------------------------------------------ Name: Edward F. Glassmeyer Title: President /s/ Bandel L. Carano ------------------------------------------ Bandel L. Carano /s/ Fredric W. Harman ------------------------------------------ Fredric W. Harman /s/ Gerald R. Gallagher ------------------------------------------ Gerald R. Gallagher /s/ Edward F. Glassmeyer ------------------------------------------ Edward F. Glassmeyer /s/ Ann H. Lamont ------------------------------------------ Ann H. Lamont /s/ Eileen M. More ------------------------------------------ Eileen M. More -----END PRIVACY-ENHANCED MESSAGE-----