-----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, FhavtKq+PUlGLnz5gTOM7UaqTu1RePzn/esLSxbCo65ENXur2o+qJr9T6BH4CqPz HdSGTVMEKASdsEnm5puL2A== 0000892569-97-000394.txt : 19970222 0000892569-97-000394.hdr.sgml : 19970222 ACCESSION NUMBER: 0000892569-97-000394 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ARADIGM CORP CENTRAL INDEX KEY: 0001013238 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 943133088 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-46237 FILM NUMBER: 97531729 BUSINESS ADDRESS: STREET 1: 26219 EDEN LANDING RD CITY: HAYWARD STATE: CA ZIP: 94545 BUSINESS PHONE: 5107830100 MAIL ADDRESS: STREET 1: 26219 EDEN LANDING RD CITY: HAYWARD STATE: CA ZIP: 94545 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BRENTWOOD ASSOCIATES VI LP CENTRAL INDEX KEY: 0001032494 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 954414032 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 11150 SANTA MONICA BLVD SUITE 1200 CITY: LOS ANGELES STATE: CA ZIP: 90025 BUSINESS PHONE: 3104777678 MAIL ADDRESS: STREET 1: 11150 SANTA MONICA BLVD SUITE 1200 CITY: LOS ANGELES STATE: CA ZIP: 90025 SC 13G 1 SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934* ARADIGM, INC. - -------------------------------------------------------------------------------- (NAME OF ISSUER) COMMON STOCK - -------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 038505103 - -------------------------------------------------------------------------------- (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). 2 ================================================================================ 1. NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Brentwood Associates VI, L.P. - -------------------------------------------------------------------------------- 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 604,863 shares common stock BENEFICIALLY ------------------------------------------------------ OWNED BY 6. SHARED VOTING POWER EACH N/A REPORTING ------------------------------------------------------ PERSON 7. SOLE DISPOSITIVE POWER WITH 604,863 shares common stock ------------------------------------------------------ 8. SHARED DISPOSITIVE POWER N/A - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 604,863 shares common stock - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.74% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON PN ================================================================================ - -------- * SEE INSTRUCTIONS BEFORE FILLING OUT! 2 3 Page 3 of 5 Pages ITEM 1(a) NAME OF ISSUER: Aradigm, Inc. ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 26219 Eden Landing Road, Hayward, CA 94545 ITEM 2(a) NAME OF PERSON FILING: Brentwood Associates VI, L.P. ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 11150 Santa Monica Blvd., Suite 1200, Los Angeles, CA 90025 ITEM 2(c) CITIZENSHIP: Delaware ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e) CUSIP NUMBER: 038505103 ITEM 3 IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS a: N/A ITEM 4 OWNERSHIP: (a) Amount Beneficially Owned: 604,863 shares common stock (b) Percent of Class: 5.74% of common stock (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: 604,863 (ii) shared power to vote or direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 604,863 (iv) shared power to dispose or to direct the disposition of: 0 3 4 Page 4 of 5 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 [ ]. ITEM 6 OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: The general partner of Brentwood Associates VI, L.P. is Brentwood VI Ventures, L.P., a Delaware limited partnership ("Brentwood VI Ventures"). The general partners of Brentwood VI Ventures are David Chonette, Ross Jaffe, G. Bradford Jones, and John Walecka, each of whom may be deemed to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of Common Stock owned by Brentwood Associates VI, L.P. Brentwood Associates VI, L.P., Brentwood VI Ventures, and the above named general partners of Brentwood VI Ventures each disclaim beneficial ownership of the common stock owned by any other person or entity described in this Schedule. ITEM 7 IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY: N/A ITEM 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP: N/A ITEM 9 NOTICE OF DISSOLUTION OF GROUP: N/A ITEM 10 CERTIFICATION: By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 4 5 Page 5 of 5 Pages SIGNATURE: After reasonable inquiry and to the best of the undersigned's knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete, and correct. DATE: February 7, 1997 BRENTWOOD ASSOCIATES VI, L.P. By: Brentwood VI Ventures, L.P. It's General Partner By: /s/ G. Bradford Jones ------------------------------------------- G. Bradford Jones General Partner David W. Chonette* Ross A. Jaffe* John L. Walecka* General Partners /s/ G. Bradford Jones ------------------------------------- G. Bradford Jones /s/ G. Bradford Jones ------------------------------------- G. Bradford Jones *By G. Bradford Jones, attorney in fact 5 -----END PRIVACY-ENHANCED MESSAGE-----