-----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, RJXL8QcyeGKmugFo+Rzhwh08+apHuKqkZWhQ9KJROyiYdiMflhZIAXOozve8YVrE +vgyty2cg79nnKew1bfScw== 0000950123-97-001046.txt : 19970222 0000950123-97-001046.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950123-97-001046 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970212 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NITINOL MEDICAL TECHNOLOGIES INC CENTRAL INDEX KEY: 0001017259 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 954090463 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48983 FILM NUMBER: 97526054 BUSINESS ADDRESS: STREET 1: 263 SUMMER STREET CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6177370930 MAIL ADDRESS: STREET 1: 263 SUMMER STREET CITY: BOSTON STATE: MA ZIP: 02210 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WHITNEY EQUITY PARTNERS LP CENTRAL INDEX KEY: 0001031538 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 177 BROAD STREET CITY: STAMFORD STATE: CT ZIP: 06901 BUSINESS PHONE: 2039731400 SC 13G 1 SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* NITINOL MEDICAL TECHNOLOGIES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 65476T104 ------------------------- (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 disclosures provided in a prior cover page. The information required on 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 Page 2 of 5 Pages SCHEDULE 13G CUSIP NO. 65476T104 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON WHITNEY EQUITY PARTNERS, L.P., A DELAWARE LIMITED PARTNERSHIP (IRS IDENTIFICATION NO. 06-1445444), THE SOLE GENERAL PARTNER OF WHICH IS J.H. WHITNEY EQUITY PARTNERS, L.L.C. (THE MEMBERS OF J.H. WHITNEY EQUITY PARTNERS, L.L.C. ARE MICHAEL C. BROOKS, PETER M. CASTLEMAN, JEFFREY R. JAY, WILLIAM LAVERACK, JR., RAY E. NEWTON, III, DANIEL J. O'BRIEN, BENNO C. SCHMIDT AND MICHAEL R. STONE). - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION A DELAWARE LIMITED PARTNERSHIP. THE SOLE GENERAL PARTNER, J.H. WHITNEY EQUITY PARTNERS, L.L.C., IS A DELAWARE LIMITED LIABILITY COMPANY. ALL OF THE MEMBERS OF J.H. WHITNEY EQUITY PARTNERS, L.L.C. ARE UNITED STATES CITIZENS. - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 1,829,066 SHARES OF COMMON STOCK SHARES ----------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 SHARES OF COMMON STOCK EACH ----------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 1,829,066 SHARES OF COMMON STOCK WITH ----------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 SHARES OF COMMON STOCK - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,829,066 SHARES OF COMMON STOCK - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.70% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 Page 3 of 5 Pages Item 1(a). Name of Issuer: Nitinol Medical Technologies, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 27 Wormwood Street Boston, MA 02210 Item 2(a). Name of Person Filing: Whitney Equity Partners, L.P., a Delaware limited partnership. The name and business address of the sole general partner of Whitney Equity Partners, L.P. is J.H. Whitney Equity Partners, L.L.C., 177 Broad Street, Stamford, CT 06901. The names and business addresses of the members of J.H. Whitney Equity Partners, L.L.C. are as follows: Michael C. Brooks, Peter M. Castleman, Jeffrey R. Jay, William Laverack, Jr., Ray E. Newton, III, Daniel J. O'Brien and Michael R. Stone, the business address of each of whom is 177 Broad Street, Stamford, CT 06901; and Benno C. Schmidt whose business address is 630 Fifth Avenue, New York, NY 10111. Item 2(b). Address of Principal Business Office or, if none, Residence: Whitney Equity Partners, L.P. 177 Broad Street Stamford, CT 06901 Item 2(c). Citizenship: Whitney Equity Partners, L.P. is a Delaware limited partnership. Its sole general partner, J.H. Whitney Equity Partners, L.L.C., is a Delaware limited liability company. All of the members of J.H. Whitney Equity Partners, L.L.C., are citizens of the United States. Item 2(d). Title of Class of Securities: Common Stock. Item 2(e). CUSIP Number: 65476T104 Item 3. Inapplicable. 4 Page 4 of 5 Pages Item 4. Ownership: The following information is provided as of December 31, 1996: (a) Amount Beneficially Owned: Whitney Equity Partners, L.P. is the beneficial owner of 1,829,066 shares.1/ (b) Percent of Class: 19.70 (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 1,829,066 shares (ii) shared power to vote or to direct the vote: 0 shares (iii) sole power to dispose or to direct the disposition of: 1,829,066 shares (iv) shared power to dispose or to direct the disposition of: 0 shares Item 5. Ownership of Five Percent or Less of a Class: Inapplicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person: - -------- 1/ The figure for the amount beneficially owned by Whitney Equity Partners, L.P. does not include the following shares, with respect to which Whitney Equity Partners, L.P. and J.H. Whitney Equity Partners, L.L.C. disclaim beneficial ownership: (i) 10,000 shares of Common Stock issuable upon the exercise of options held by Michael C. Brooks, a member of J.H. Whitney Equity Partners, L.L.C., and (ii) 10,000 shares of Common Stock issuable upon the exercise of options held by Jeffery R. Jay, a member of J.H. Whitney Equity Partners, L.L.C. 5 Page 5 of 5 Pages No other person has the right to receive or the power to direct the receipt of dividends from, or proceeds from the sale of, the securities owned by Whitney Equity Partners, L.P. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: Inapplicable. Item 8. Identification and Classification of Members of the Group: Inapplicable. Item 9. Notice of Dissolution of Group: Inapplicable. Item l0. Certification: Inapplicable. Signature: After reasonable inquiry and to the best of its knowledge and belief, Whitney Equity Partners, L.P. certifies that the information set forth in this statement is true, complete and correct. Dated: February 10, 1997 WHITNEY EQUITY PARTNERS, L.P. By: J.H. Whitney Equity Partners, L.L.C. General Partner By: /s/ Daniel J. O'Brien __________________________ Daniel J. O'Brien Managing Member -----END PRIVACY-ENHANCED MESSAGE-----