-----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, GsahQED5otOAlOYL2edGvqOg5Ve7w4Z9CAr4pEgLQLjAAtnB6YJCY2bidJ9N2wqt gAfNnbQ2jtKFajDlskgyAw== 0001012870-01-000834.txt : 20010223 0001012870-01-000834.hdr.sgml : 20010223 ACCESSION NUMBER: 0001012870-01-000834 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20010214 GROUP MEMBERS: ACCEL INVESTORS '95 LP GROUP MEMBERS: ACCEL IV ASSOCIATES L.P. GROUP MEMBERS: ACCEL KEIRETSU LP GROUP MEMBERS: ACCEL PARTNERS & CO, INC. GROUP MEMBERS: ARTHUR C. PATTERSON GROUP MEMBERS: AV PARTNERS IV LP GROUP MEMBERS: ELLMORE C. PATTERSON PARTNERS GROUP MEMBERS: EUGENE D. HILL III GROUP MEMBERS: G. CARTER SEDNAOUI GROUP MEMBERS: JAMES R. SWARTZ GROUP MEMBERS: JAMES W. BREYER GROUP MEMBERS: LUKE B. EVNIN GROUP MEMBERS: PAUL H. KLINGENSTEIN GROUP MEMBERS: SWARTZ FAMILY PARTNERSHIP LP SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SONIC INNOVATIONS INC CENTRAL INDEX KEY: 0001105982 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 870494518 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60749 FILM NUMBER: 1545782 BUSINESS ADDRESS: STREET 1: 2795 EAST COTTONWOOD PARKWAY, SUITE 660 STREET 2: SUITE 660 CITY: SALT LAKE CITY STATE: UT ZIP: 84117-7261 BUSINESS PHONE: 8013652800 MAIL ADDRESS: STREET 1: 2795 EAST COTTOMOOD PARKWAY STREET 2: SUITE 660 CITY: SALT LAKE CITY STATE: UT ZIP: 84117-7261 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AV PARTNERS IV LP CENTRAL INDEX KEY: 0001106076 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 742897874 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O AUSTIN VENTURES STREET 2: 114 W. 7TH ST. #1300 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 5124851900 MAIL ADDRESS: STREET 1: C/O AUSTIN VENTURES STREET 2: 114 W. 7TH ST. #1300 CITY: AUSTIN STATE: TX ZIP: 78701 SC 13G 1 0001.txt SCHEDULE 13-G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No._______)* Sonic Innovations, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 83545M 10 9 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) *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). (Continued on following pages) Page 1 of 23 Exhibit Index Contained on Page 21 =============================================================================== CUSIP NO. 83545M 10 9 13G Page 2 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Accel IV L.P. ("A4") Tax ID Number: - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 2,167,154 shares, except that Accel IV Associates L.P. ("A4A"), the general partner of A4, may be deemed to have sole voting power with respect to such shares and NUMBER OF Swartz Family Partnership L.P. ("SFP"), James W. Breyer ("Breyer"), Luke B. Evnin ("Evnin"), Eugene D. Hill, III SHARES ("Hill"), Paul H. Klingenstein ("Klingenstein"), Arthur C. Patterson ("Patterson"), G. Carter Sednaoui BENEFICIALLY ("Sednaoui") and James R. Swartz ("Swartz"), the general partners of A4A, may be deemed to have shared voting OWNED BY power with respect to such shares. ----------------------------------------------------------- EACH SHARED VOTING POWER 6 REPORTING See response to row 5 PERSON ----------------------------------------------------------- SOLE DISPOSITIVE POWER WITH 7 2,167,154 shares, except that A4A, the general partner of A4, may be deemed to have sole dispositive power with respect to such shares and Breyer, Evnin, Hill, Klingenstein, Patterson, Sednaoui, Swartz, and SFP, the general partners of A4A, may be deemed to have shared dispositive power with respect to such shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See response to row 7 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,167,154 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 PN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 3 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Accel Keiretsu L.P. ("AK") Tax ID Number - ------------------------------------------------------------------------------ CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 44,953 shares, except that Accel Partners & Co., Inc. ("AP&C"), the general partner of AK, may be deemed to have sole voting powers with respect to such shares and James W. Breyer ("Breyer"), Arthur C. Patterson NUMBER OF ("Patterson"), G. Carter Sednaoui ("Sednaoui ") and James R. Swartz ("Swartz"), the officers of AP&C, may SHARES be deemed to have shared voting powers with respect to such shares. BENEFICIALLY ----------------------------------------------------------- SHARED VOTING POWER OWNED BY 6 See response to row 5 EACH ----------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER 7 44,953 shares, except that AP&C, the general partner PERSON of AK may be deemed to have sole dispositive powers with respect to such shares and Breyer, Patterson, WITH Sednaoui and Swartz, the officers of AP&C, may be deemed to have shared dispositive powers with respect to such shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See response to row 7 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 44,953 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 PN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 4 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Accel Partners & Co. Inc. ("AP&C") Tax ID Number: - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 44,953 shares, all of which are directly owned by Accel Keiretsu L.P. ("AK"). AP&C, the general partner of AK, may be deemed to have sole power to vote these shares, and James W. Breyer ("Breyer"), Arthur C. Patterson NUMBER OF ("Patterson"), G. Carter Sednaoui ("Sednaoui ") and James R. Swartz ("Swartz"), the officers of AP&C, may SHARES be deemed to have shared power to vote these shares. BENEFICIALLY ----------------------------------------------------------- SHARED VOTING POWER OWNED BY 6 See response to row 5 EACH ----------------------------------------------------------- REPORTING SOLE DISPOSITIVE POWER 7 44,953 shares, all of which are directly owned by AK. AP&C, the general partner of AK, may be deemed to have PERSON sole power to dispose of these shares, and Breyer, Patterson, Sednaoui and Swartz, the officers of AP&C, WITH may be deemed to have shared power to dispose of these shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See response to row 7 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 44,953 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.2% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 CO - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 5 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Accel Investors '95 L.P. ("AI95") Tax ID Number: - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 101,735 shares, except that James W. Breyer ("Breyer"), NUMBER OF Luke B. Evnin ("Evnin"), Eugene D. Hill, III ("Hill"), Paul H. Klingenstein ("Klingenstein"), Arthur C. SHARES Patterson ("Patterson"), G. Carter Sednaoui ("Sednaoui") and James R. Swartz ("Swartz"), the BENEFICIALLY general partners of AI95, may be deemed to have shared voting power with respect to such shares. OWNED BY ----------------------------------------------------------- EACH 6 See response to row 5 REPORTING ----------------------------------------------------------- PERSON SOLE DISPOSITIVE POWER 7 101,735 shares, except that Breyer, Evnin, Hill, WITH Klingenstein, Patterson, Sednaoui and Swartz, the general partners of AI95, may be deemed to have shared dispositive power with respect to such shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See response to row 7 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 101,735 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 PN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 6 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Accel IV Associates L.P. ("A4A") Tax ID Number: - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 2,167,154 shares, all of which are directly owned by NUMBER OF Accel IV L.P. ("A4"). A4A, the general partner of A4, may be deemed to have sole power to vote these shares, SHARES and Swartz Family Partnership L.P. ("SFP"), James W. Breyer ("Breyer"), Luke B. Evnin ("Evnin"), Eugene D. BENEFICIALLY Hill, III ("Hill"), Paul H. Klingenstein ("Klingenstein"), Arthur C. Patterson ("Patterson"), G. OWNED BY Carter Sednaoui ("Sednaoui") and James R. Swartz ("Swartz"), the general partners of A4A, may be deemed EACH to have shared power to vote these shares. ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 See response to row 5. WITH ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 2,167,154 shares, all of which are directly owned by A4. A4A, the general partner of A4, may be deemed to have sole power to dispose of these shares and SFP, Breyer, Evnin, Hill, Klingenstein, Patterson, Sednaoui and Swartz, the general partners of A4A, may be deemed to have shared power to dispose of these shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 See response to row 7 - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,167,154 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 PN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 7 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Swartz Family Partnership L.P. ("SFP") - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 0 shares NUMBER OF SHARES BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 2,167,154 shares, all of which are directly owned by Accel IV L.P. ("A4"). SFP is a general partner of Accel WITH IV Associates L.P. ("A4A"), the general partner of A4, and may be deemed to have shared voting power with respect to such shares. ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 shares ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 2,167,154 shares, all of which are directly owned by A4. SFP is a general partner of A4A, the general partner of A4, and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,167,154 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 PN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 8 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Ellmore C. Patterson Partners ("ECPP") - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 Delaware - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 52,049 shares. Arthur C. Patterson ("Patterson") is the NUMBER OF general partner of ECPP and may be deemed to have sole voting power with respect to such shares. SHARES BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 0 shares. WITH ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 52,049 shares. Patterson is the general partner of ECPP and may be deemed to have sole dispositive power with respect to such shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 0 shares. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 52,049 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 0.3% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 PN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 9 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). James W. Breyer ("Breyer") Tax ID Number - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 0 shares. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 2,313,842 shares, of which 2,167,154 are shares directly owned by Accel IV L.P. ("A4") and 44,953 are WITH shares directly owned by Accel Keiretsu L.P. ("AK") and 101,735 are shares directly owned by Accel Investors '95 L.P. ("AI95"). Breyer is a general partner of Accel IV Associates L.P. ("A4A"), the general partner of A4, an officer of Accel Partners & Co., Inc. ("AP&C"), the general partner of AK, and a general partner of AI95 and may be deemed to have shared voting power with respect to such shares. ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 2,313,842 shares, of which 2,167,154 are shares directly owned by A4, 44,953 are shares directly owned by AK and 101,735 are shares directly owned by AI95. Breyer is a general partner of A4A, the general partner of A4, an officer of AP&C, the general partner of AK, and a general partner of AI95 and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,313,842 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.7% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 10 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Luke B. Evnin ("Evnin") Tax ID Number - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 0 shares. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 2,268,889 shares, of which 2,167,154 are shares directly owned by Accel IV L.P. ("A4") and 101,735 are WITH shares directly owned by Accel Investors '95 L.P. ("AI95"). Evnin is a general partner of Accel IV Associates L.P. ("A4A"), the general partner of A4 and a general partner of AI95 and may be deemed to have shared voting power with respect to such shares. ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 2,268,889 shares, of which 2,167,154 are shares directly owned by A4 and 101,735 are shares directly owned by AI95. Evnin is a general partner of A4A, the general partner of A4 and a general partner of AI95 and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,268,889 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 11 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Eugene D. Hill, III ("Hill") Tax ID Number: - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 0 shares. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 2,268,889 shares, of which 2,167,154 are shares directly owned by Accel IV L.P. ("A4") and 101,735 are WITH shares directly owned by Accel Investors '95 L.P. ("AI95"). Hill is a general partner of Accel IV Associates L.P. ("A4A"), the general partner of A4 and a general partner of AI95 and may be deemed to have shared voting power with respect to such shares. ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 2,268,889 shares, of which 2,167,154 are shares directly owned by A4 and 101,735 are shares directly owned by AI95. Hill is a general partner of A4A, the general partner of A4 and a general partner of AI95 and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,268,889 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 12 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Paul H. Klingenstein ("Klingenstein") Tax ID Number: - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 0 shares. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 2,268,889 shares, of which 2,167,154 are shares directly owned by Accel IV L.P. ("A4") and 101,735 are WITH shares directly owned by Accel Investors '95 L.P. ("AI95"). Klingenstein is a general partner of Accel IV Associates L.P. ("A4A"), the general partner of A4 and a general partner of AI95 and may be deemed to have shared voting power with respect to such shares. ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 2,268,889 shares, of which 2,167,154 are shares directly owned by A4, and 101,735 are shares directly owned by AI95. Klingenstein is a general partner of A4A, the general partner of A4 and a general partner of AI95 and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,268,889 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.5% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 13 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Arthur C. Patterson ("Patterson") Tax ID Number: - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 52,049 shares, all of which are directly owned by NUMBER OF Ellmore C. Patterson Partners ("ECPP"). Patterson is the general partner of ECPP and may be deemed to have SHARES sole voting power with respect to such shares. BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 2,313,842 shares, of which 2,167,154 are shares directly owned by Accel IV L.P. ("A4"), 44,953 are WITH shares directly owned by Accel Keiretsu L.P. ("AK") and 101,735 are shares directly owned by Accel Investors '95 L.P. ("AI95"). Patterson is a general partner of Accel IV Associates L.P. ("A4A"), the general partner of A4, an officer of Accel Partners & Co., Inc. ("AP&C"), the general partner of AK, and a general partner of AI95 and may be deemed to have shared voting power with respect to such shares. ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 52,049 shares, all of which are directly owned by ECPP. Patterson is the general partner of ECPP and may be deemed to have sole dispositive power with respect to such shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 2,313,842 shares, of which 2,167,154 are shares directly owned by A4, 44,953 are shares directly owned by AK and 101,735 are shares directly owned by AI95. Patterson is a general partner of A4A, the general partner of A4, an officer of AP&C, the general partner of AK, and a general partner of AI95 and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,365,891 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 12.0% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 14 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). G. Carter Sednaoui ("Sednaoui") Tax ID Number: - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 0 shares. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 2,313,842 shares, of which 2,167,154 are shares directly owned by Accel IV L.P. ("A4"), 44,953 are WITH shares directly owned by Accel Keiretsu L.P. ("AK") and 101,735 are shares directly owned by Accel Investors '95 L.P. ("AI95"). Sednaoui is a general partner of Accel IV Associates L.P. ("A4A"), the general partner of A4, an officer of Accel Partners & Co., Inc. ("AP&C"), the general partner of AK, and a general partner of AI95 and may be deemed to have shared voting power with respect to such shares. ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 2,313,842 shares, of which 2,167,154 are shares directly owned by A4, 44,953 are shares directly owned by AK and 101,735 are shares directly owned by AI95. Sednaoui is a general partner of A4A, the general partner of A4, an officer of AP&C, the general partner of AK, and a general partner of AI95 and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,313,842 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.7% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ =============================================================================== CUSIP NO. 83545M 10 9 13G Page 15 of 22 Pages - ------------------------------------------------------------------------------- NAMES OF REPORTING PERSONS. 1 I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). James R. Swartz ("Swartz") Tax ID Number: - ----------------------------------------------------------------------------- CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) 2 (a) [_] (b) [X] - ------------------------------------------------------------------------------ SEC USE ONLY 3 - ------------------------------------------------------------------------------ CITIZENSHIP OR PLACE OF ORGANIZATION 4 U.S. Citizen - ------------------------------------------------------------------------------ SOLE VOTING POWER 5 0 shares. NUMBER OF SHARES BENEFICIALLY OWNED BY EACH ----------------------------------------------------------- REPORTING SHARED VOTING POWER PERSON 6 2,313,842 shares, of which 2,167,154 are shares directly owned by Accel IV L.P. ("A4"), 44,953 are WITH shares directly owned by Accel Keiretsu L.P. ("AK") and 101,735 are shares directly owned by Accel Investors '95 L.P. ("AI95"). Swartz is a general partner of Accel IV Associates L.P. ("A4A"), the general partner of A4, an officer of Accel Partners & Co., Inc. ("AP&C"), the general partner of AK, and a general partner of AI95 and may be deemed to have shared voting power with respect to such shares. ----------------------------------------------------------- SOLE DISPOSITIVE POWER 7 0 shares. ----------------------------------------------------------- SHARED DISPOSITIVE POWER 8 2,313,842 shares, of which 2,167,154 are shares directly owned by A4, 44,953 are shares directly owned by AK and 101,735 are shares directly owned by AI95. Swartz is a general partner of A4A, the general partner of A4, an officer of AP&C, the general partner of AK, and a general partner of AI95 and may be deemed to have shared dispositive power with respect to such shares. - ------------------------------------------------------------------------------ AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 9 2,313,842 - ------------------------------------------------------------------------------ CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 10 (SEE INSTRUCTIONS) [_] - ------------------------------------------------------------------------------ PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11 11.7% - ------------------------------------------------------------------------------ TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) 12 IN - ------------------------------------------------------------------------------ Page 16 of 22 ITEM 1(a). NAME OF ISSUER: ---------------- Sonic Innovations, Inc. ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: ------------------------------------------------ 2795 East Cottonwood Parkway, Suite 660 Salt Lake City, Utah 84121 ITEM 2(a). NAME OF PERSONS FILING: ----------------------- This Statement is filed by Accel IV L.P., a Delaware limited partnership ("A4"), Accel IV Associates L.P., a Delaware limited partnership and the general partner of A4 ("A4A"), Accel Keiretsu L.P., a Delaware limited partnership ("AK"), Accel Partners & Co. Inc., a Delaware corporation and the general partner of AK ("AP&C"), Accel Investors '95 L.P., a Delaware limited partnership ("AI95"), Ellmore C. Patterson Partners ("ECPP"), a Delaware limited partnership, the Swartz Family Partnership L.P. ("SFP"), a Delaware limited partnership and a general partner of A4A, James W. Breyer ("Breyer"), a general partner of A4A, an officer of AP&C and a general partner of AI95, Luke B. Evnin ("Evnin"), a general partner of A4A and AI95, Eugene D. Hill, III ("Hill"), a general partner of A4A and AI95, Paul H. Klingenstein ("Klingenstein"), a general partner of A4A and AI95, Arthur C. Patterson ("Patterson"), a general partner of A4A and ECPP, an officer of AP&C and a general partner of AI95, G. Carter Sednaoui ("Sednaoui"), a general partner of A4A, an officer of AP&C and a general partner of AI95, and James R. Swartz ("Swartz"), a general partner of A4A and SFP, an officer of AP&C and a general partner of AI95. The foregoing entities and individuals are collectively referred to as the "Reporting Persons." A4A, the general partner of A4, may be deemed to have sole power to vote and sole power to dispose of shares of the issuer directly owned by A4. AP&C, the general partner of AK, may be deemed to have sole power to vote and sole power to dispose of shares of the issuer directly owned by AK. SFP, Breyer, Evnin, Hill, Klingenstein, Patterson, Sednaoui and Swartz are general partners of A4A and may be deemed to have shared power to vote and shared power to dispose of shares of the issuer directly owned by A4. Breyer, Patterson, Sednaoui and Swartz are officers of AP&C and may be deemed to have shared power to vote and shared power to dispose of shares of the issuer directly owned by AK. Breyer, Evnin, Hill, Klingenstein, Patterson, Sednaoui and Swartz are general partners of AI95 and may be deemed to have shared power to vote and shared power to dispose of shares of the issuer directly owned by AI95. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE: ------------------------------------------------------------- The address of the principal business office for each of the Reporting Persons is: 428 University Avenue Palo Alto, CA 94301 ITEM 2(c) CITIZENSHIP: ------------ A4, AK, AI95, A4A, SFP and ECPP are Delaware limited partnerships. AP&C is a Delaware corporation. Breyer, Evnin, Hill, Klingenstein, Patterson, Sednaoui and Swartz are United States citizens. Page 17 of 22 ITEM 2(d). TITLE OF CLASS OF SECURITIES: ----------------------------- Common Stock ITEM 2(e). CUSIP NUMBER: ------------- CUSIP # 83545M 10 9 ITEM 3. Not Applicable -------------- ITEM 4. OWNERSHIP: ---------- The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of December 31, 2000: (a) Amount beneficially owned: --- ------------------------- See Row 9 of cover page for each Reporting Person. (b) Percent of Class: --- ---------------- See Row 11 of cover page for each Reporting Person. (c) Number of shares as to which such person has: --- -------------------------------------------- (i) Sole power to vote or to direct the vote: --- ---------------------------------------- See Row 5 of cover page for each Reporting Person. (ii) Shared power to vote or to direct the vote: ---- ------------------------------------------ See Row 6 of cover page for each Reporting Person. (iii) Sole power to dispose or to direct the ----- -------------------------------------- disposition of: --------------- See Row 7 of cover page for each Reporting Person. (iv) Shared power to dispose or to direct the ---- ---------------------------------------- disposition of: --------------- See Row 8 of cover page for each Reporting Person. Page 18 of 22 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 the partnership agreements of A4, AK, AI95, A4A, SFP and ECPP, and the operating agreement of AP&C, the general partners, limited partners, members or shareholders, as the case may be, of each of such entities may be deemed to have the right to receive dividends from, or the proceeds from, the sale of shares of the issuer owned by each such entity of which they are a partner or shareholder. 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 Page 19 of 22 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 14, 2001 Entities: Accel IV L.P. Accel Keiretsu L.P. Accel Investors '95 L.P. Accel IV Associates L.P. Accel Partners & Co. Inc. By: /s/ G. Carter Sednaoui Ellmore C. Patterson Partners ------------------------------------ Swartz Family Partnership L.P. G. Carter Sednaoui, Attorney-in-fact for above-listed entities Individuals: James W. Breyer Luke B. Evnin Eugene D. Hill, III Paul H. Klingenstein Arthur C. Patterson G. Carter Sednaoui By: /s/ G. Carter Sednaoui James R. Swartz ------------------------------------ G. Carter Sednaoui, Individually and as Attorney-in-fact for above-listed individuals Page 20 of 22 EXHIBIT INDEX ------------- Found on Sequentially Exhibit Numbered Page - ------- ------------- Exhibit A: Agreement of Joint Filing 22 Exhibit B: Reference to G. Carter Sednaoui as Attorney-in-Fact 23 EX-99.A 2 0002.txt AGREEMENT OF JOINT FILING Page 21 of 22 EXHIBIT A --------- Agreement of Joint Filing ------------------------- The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of Sonic Innovations, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Dated: February 14, 2001 Entities: Accel IV L.P. Accel Keiretsu L.P. Accel Investors '95 L.P. Accel IV Associates L.P. Accel Partners & Co. Inc. By: /s/ G. Carter Sednaoui Ellmore C. Patterson Partners ---------------------------------- Swartz Family Partnership L.P. G. Carter Sednaoui, Attorney-in-fact for above-listed entities Individuals: James W. Breyer Luke B. Evnin Eugene D. Hill, III Paul H. Klingenstein Arthur C. Patterson G. Carter Sednaoui By: /s/ G. Carter Sednaoui James R. Swartz ---------------------------------- G. Carter Sednaoui, Individually and as Attorney-in-fact for above-listed individuals EX-99.B 3 0003.txt REFERENCE TO G. CARTER SEDNAOUI AS ATTORNEY-IN-FAC Page 22 of 22 EXHIBIT B --------- REFERENCE TO G. CARTER SEDNAOUI AS ATTORNEY-IN-FACT G. Carter Sednaoui has signed the enclosed documents as Attorney-In- Fact. Note that copies of the applicable Power of Attorneys are already on file with the appropriate agencies. -----END PRIVACY-ENHANCED MESSAGE-----