-----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, D1zESkAOhmFdcXJ1dddORwTJg05Ms/6AKgeHSEwjyuQHTLEMz4q/U6CzagrrkEHr vYSsrFxjN/3VDMsjCoG2rw== 0000892569-98-000325.txt : 19980217 0000892569-98-000325.hdr.sgml : 19980217 ACCESSION NUMBER: 0000892569-98-000325 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 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 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-46237 FILM NUMBER: 98535003 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/A 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/A 1 SCHEDULE 13G AMENDMENT 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G/A (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (AMENDMENT)(1) Aradigm Corporation - -------------------------------------------------------------------------------- (NAME OF ISSUER) Common Stock - -------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 038505103 - -------------------------------------------------------------------------------- (CUSIP NUMBER) - -------- (1) 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 CUSIP NO. 038505103 13G PAGE 2 OF 5 PAGES - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 N/A BENEFICIALLY ------------------------------------------------------ OWNED BY 6. SHARED VOTING POWER EACH N/A REPORTING ------------------------------------------------------ PERSON 7. SOLE DISPOSITIVE POWER WITH N/A ------------------------------------------------------ 8. SHARED DISPOSITIVE POWER N/A - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON N/A - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES(1) [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 N/A - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- - -------- (1) SEE INSTRUCTIONS BEFORE FILLING OUT! 2 3 Page 3 of 5 Pages ITEM 1(A) NAME OF ISSUER: Aradigm Corporation 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: 1150 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: (a) [ ] Broker or dealer registered under Section 15 of the Act, (b) [ ] Bank as defined in Section 3(a)(6) of the Act, (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act, (d) [ ] Investment Company registered under Section 8 of the Investment Company Act, (e) [ ] Investment Adviser registered under Section 203 of the Investment Advisers Act of 1940, (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see 13d- 1(b)(1)(ii)(F), (g) [ ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G); see Item 7, (h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). 3 4 Page 4 of 5 Pages ITEM 4 OWNERSHIP: If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount Beneficially Owned: N/A ----------------------------------------------- (b) Percent of Class: ----------------------------------------------- (c) Number of Shares as to which such person has: (i) sole power to vote or to direct the vote: _________________________________________ (ii) shared power to vote or direct the vote: _________________________________________ (iii) sole power to dispose or to direct the disposition of:__________________________ (iv) shared power to dispose or to direct the disposition of:__________________________ 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] 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: If a group has filed this schedule pursuant to Rule 13d-1(b)(ii)(H), so indicate under Item 3(h) and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group has filed this schedule pursuant to Rule 13d-1(c), attach an exhibit stating the identify of each member of the group. 4 5 Page 5 of 5 Pages ITEM 9 NOTICE OF DISSOLUTION OF GROUP: Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5. 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 purpose or effect. 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, 1998 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-----