-----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, N2hKxdOxhSyyCUZ/fEgCu9Q4ebwMeNsWlot7eew4xNwBKc1txg8NCu19hNuCXl0y PVq/hhg5hezrKNWy64HaZA== 0001104659-02-000396.txt : 20020414 0001104659-02-000396.hdr.sgml : 20020414 ACCESSION NUMBER: 0001104659-02-000396 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60749 FILM NUMBER: 02544168 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: ACCEL IV ASSOCIATES LP CENTRAL INDEX KEY: 0001105681 IRS NUMBER: 223223411 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE PALMER SQUARE CITY: PRINCETON STATE: NJ ZIP: 08542 BUSINESS PHONE: 6096834500 MAIL ADDRESS: STREET 1: ONE PALMER SQUARE CITY: PRINCETON STATE: NJ ZIP: 08542 SC 13G/A 1 j2809_sc13ga.htm SC 13G/A Hybrid 13G

 

UNITED STATES

 

 

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. 1)*

Sonic Innovations, Inc.

(Name of Issuer)

Common Stock

(Title of Class of Securities)

83545M 10 9

(CUSIP Number)

December 31, 2001

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

o

Rule 13d-1(b)

o

Rule 13d-1(c)

ý

Rule 13d-1(d)

 

*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).

 


 


 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Accel IV L.P. (“A4”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
88,394 shares, except that Accel IV Associates L.P. (“A4A”), the general partner of A4, may be deemed to have sole power to vote these shares and Swartz Family Partnership L.P. (“SFP”), James W. Breyer (“Breyer”), Luke B. Evnin (“Evnin”), Eugene D. Hill, III (“Hill”), Paul H. Klingenstein (“Klingenstein”), Arthur C. Patterson (“Patterson”), G. Carter Sednaoui (“Sednaoui”) and James R. Swartz (“Swartz”), the general partners of A4A, may be deemed to have shared power to vote these shares.

 

6.

Shared Voting Power
See response to row 5

 

7.

Sole Dispositive Power
88,394 shares, except that 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.

 

8.

Shared Dispositive Power
See response to row 7

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
88,394

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.4%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

2



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Accel Keiretsu L.P. (“AK”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
1,833 shares, except that Accel Partners & Co. Inc. (“AP&C”), the general partner of AK, may be deemed to have sole power to vote these shares and Breyer, Patterson, Sednaoui and Swartz, the officers of AP&C, may be deemed to have shared power to vote these shares.

 

6.

Shared Voting Power
See response to row 5

 

7.

Sole Dispositive Power
1,833 shares, except that AP&C, the general partner of AK, may be deemed to have sole power to dispose of these shares and Breyer, Patterson, Sednaoui and Swartz, the officers of AP&C, may be deemed to have shared power to dispose of these shares.

 

8.

Shared Dispositive Power
See response to row 7

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,833

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

3



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Accel Partners & Co. Inc. (“AP&C”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
2,251 shares, 1,833 of which are shares directly owned by AK.  AP&C, the general partner of AK, may be deemed to have sole power to vote these shares, and Breyer, Patterson, Sednaoui and Swartz, the officers of AP&C, may be deemed to have shared power to vote these shares.

 

6.

Shared Voting Power
See response to row 5

 

7.

Sole Dispositive Power
2,251 shares, 1,833 of which are shares directly owned by AK.  AP&C, the general partner of AK, may be deemed to have sole power to dispose of these shares, and Breyer, Patterson, Sednaoui and Swartz, the officers of AP&C, may be deemed to have shared power to dispose of these shares.

 

8.

Shared Dispositive Power
See response to row 7

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
2,251

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
CO

 

4



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Accel Investors ‘95 L.P. (“AI95”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
4,149 shares, except that Breyer, Evnin, Hill, Klingenstein, Patterson, Sednaoui and Swartz, the general partners of AI95, may be deemed to have shared power to vote these shares.

 

6.

Shared Voting Power
See response to row 5

 

7.

Sole Dispositive Power
4,149 shares, except that Breyer, Evnin, Hill, Klingenstein, Patterson, Sednaoui and Swartz, the general partners of AI95, may be deemed to have shared power to dispose of these shares.

 

8.

Shared Dispositive Power
See response to row 7

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
4,149

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

5



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Accel IV Associates L.P. (“A4A”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
88,394 shares, all of which are directly owned by A4.  A4A, the general partner of A4, may be deemed to have sole power to vote 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 vote these shares.

 

6.

Shared Voting Power
See response to row 5

 

7.

Sole Dispositive Power
88,394 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.

 

8.

Shared Dispositive Power
See response to row 7

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
88,394

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.4%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

6



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Swartz Family Partnership L.P. (“SFP”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
23,793 shares.

 

6.

Shared Voting Power
88,394 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 power to vote these shares.

 

7.

Sole Dispositive Power
23,793 shares

 

8.

Shared Dispositive Power
88,394 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 power to dispose of these shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
112,187

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.6%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

7



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Ellmore C. Patterson Partners (“ECPP”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
52,049 shares. Patterson is the general partner of ECPP and may be deemed to have sole power to vote these shares.

 

6.

Shared Voting Power
0 shares.

 

7.

Sole Dispositive Power
52,049 shares.  Patterson is the general partner of ECPP and may be deemed to have sole power to dispose of these shares.

 

8.

Shared Dispositive Power
0 shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
52,049

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.3%

 

 

12.

Type of Reporting Person (See Instructions)
PN

 

8



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
James W. Breyer (“Breyer”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0 shares.

 

6.

Shared Voting Power
94,794 shares, of which 88,394 are shares directly owned by A4, 1,833 are shares directly owned by AK, 418 are shares directly owned by AP&C and 4,149 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 power to vote these shares.

 

7.

Sole Dispositive Power
0 shares.

 

8.

Shared Dispositive Power
94,794 shares, of which 88,394 are shares directly owned by A4, 1,833 are shares directly owned by AK, 418 are shares directly owned by AP&C and 4,149 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 power to dispose of these shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
94,794

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.5%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

9



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Luke B. Evnin (“Evnin”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
30,291 shares, of which 7,045 are shares issuable upon exercise of options held by Evnin exercisable within 60 days of December 31, 2001, and 914 shares are held in trust for the benefit of minor children of Evnin.

 

6.

Shared Voting Power
92,543 shares, of which 88,394 are shares directly owned by A4 and 4,149 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 power to vote these shares.

 

7.

Sole Dispositive Power
30,291 shares, of which 7,045 are shares issuable upon exercise of options held by Evnin exercisable within 60 days of December 31, 2001, and 914 shares are held in trust for the benefit of minor children of Evnin.

 

8.

Shared Dispositive Power
92,543 shares, of which 88,394 are shares directly owned by A4 and 4,149 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 power to dispose of these shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
122,834

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.6%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

10



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Eugene D. Hill, III (“Hill”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
9,074 shares.

 

6.

Shared Voting Power
92,543 shares, of which 88,394 are shares directly owned by A4 and 4,149 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 power to vote these shares.

 

7.

Sole Dispositive Power
9,074 shares.

 

8.

Shared Dispositive Power
92,543 shares, of which 88,394 are shares directly owned by A4 and 4,149 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 power to dispose of these shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
101,617

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.5%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

11



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Paul H. Klingenstein (“Klingenstein”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
44,666 shares.

 

6.

Shared Voting Power
92,543 shares, of which 88,394 are shares directly owned by A4, and 4,149 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 power to vote these shares.

 

7.

Sole Dispositive Power
44,666 shares.

 

8.

Shared Dispositive Power
92,543 shares, of which 88,394 are shares directly owned by A4, and 4,149 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 power to dispose of these shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
137,209

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.7%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

12



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Arthur C. Patterson (“Patterson”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
122,057 shares, of which 52,049 are shares directly owned by ECPP.  Patterson is the general partner of ECPP and may be deemed to have sole power to vote these shares.

 

6.

Shared Voting Power
94,794 shares, of which 88,394 are shares directly owned by A4, 1,833 are shares directly owned by AK, 418 are shares directly owned by AP&C and 4,149 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 power to vote these shares.

 

7.

Sole Dispositive Power
122,057 shares, of which 52,049 are shares directly owned by ECPP.  Patterson is the general partner of ECPP and may be deemed to have sole power to dispose of these shares.

 

8.

Shared Dispositive Power
94,794 shares, of which 88,394 are shares directly owned by A4, 1,833 are shares directly owned by AK, 418 are shares directly owned by AP&C and 4,149 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 power to dispose of these shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
216,851

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
1.1%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

13



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
G. Carter Sednaoui (“Sednaoui”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
12,142 shares.

 

6.

Shared Voting Power
94,794 shares, of which 88,394 are shares directly owned by A4, 1,833 are shares directly owned by AK, 418 are shares directly owned by AP&C and 4,149 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 power to vote these shares.

 

7.

Sole Dispositive Power
12,142 shares.

 

8.

Shared Dispositive Power
94,794 shares, of which 88,394 are shares directly owned by A4, 1,833 are shares directly owned by AK, 418 are shares directly owned by AP&C and 4,149 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 power to dispose of these shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
106,936

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.5%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

14



 

CUSIP No.  83545M 10 9

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
James R. Swartz (“Swartz”)

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

ý

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
U.S. Citizen

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
100,357 shares, of which 23,793 are shares directly owned by SFP.  Swartz is the general partner of SFP and may be deemed to have sole power to vote these shares.

 

6.

Shared Voting Power
94,794 shares, of which 88,394 are shares directly owned by A4, 1,833 are shares directly owned by AK, 418 are shares directly owned by AP&C and 4,149 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 power to vote these shares.

 

7.

Sole Dispositive Power
100,357 shares, of which 23,793 are shares directly owned by SFP.  Swartz is the general partner of SFP and may be deemed to have sole power to dispose of these shares.

 

8.

Shared Dispositive Power
94,794 shares, of which 88,394 are shares directly owned by A4, 1,833 are shares directly owned by AK, 418 are shares directly owned by AP&C and 4,149 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 power to dispose of these shares.

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
195,151

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
o

 

 

11.

Percent of Class Represented by Amount in Row (9)
1.0%

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

15



 

Item 1.

 

(a)

Name of Issuer
Sonic Innovations, Inc.

 

(b)

Address of Issuer's Principal Executive Offices
2795 East Cottonwood Parkway, Suite 660
Salt Lake City, Utah 84121

 

Item 2.

 

(a)

Name of Person 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 and AI95 and an officer of AP&C, 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, AI95 and ECPP and an officer of AP&C, G. Carter Sednaoui (“Sednaoui”), a general partner of A4A and AI95 and an officer of AP&C, and James R. Swartz (“Swartz”), a general partner of A4A, AI95 and SFP and an officer of AP&C.  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.

 

(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

 

(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.

 

(d)

Title of Class of Securities
Common Stock

 

(e)

CUSIP Number
CUSIP # 83545M 10 9

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

 

Not Applicable

 

16



 

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, 2001:

 

(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 the 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

 

Item 5.

Ownership of Five Percent or Less of a Class

This amended statement is being filed to report the fact that each Reporting Person has ceased to be the beneficial owner of more than five percent of Common Stock of Sonic Innovations, Inc.

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person.

Please see Item 5.

 

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.

 

17



 

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, 2002

 

 

 

Entities:   

 

Accel IV L.P.

Accel Keiretsu L.P.

Accel Investors ‘95 L.P.

Accel IV Associates L.P.

Accel Partners & Co. Inc.

Ellmore C. Patterson Partners

Swartz Family Partnership L.P.







By:   

/s/ Alan K. Austin

 

Alan K. Austin, 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

James R. Swartz







By:   

/s/ Alan K. Austin

 

Alan K. Austin,  Attorney-in-fact for above-listed individuals

 

 

18



 

EXHIBIT INDEX

 

Exhibit

 

Found on
Sequentially
Numbered Page

 

 

Exhibit A:  Agreement of Joint Filing

20

 

 

Exhibit B:  Reference to Alan K. Austin as Attorney-in-Fact

21

 

 

19



 

EXHIBIT A

 

Agreement of Joint Filing

The Reporting Persons have agreed 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 Reporting Persons.  Note that a copy of the applicable Agreement of Joint Filing is already on file with the appropriate agencies.

 

 

20



 

EXHIBIT B

 

REFERENCE TO ALAN K. AUSTIN AS ATTORNEY-IN-FACT

Alan K. Austin has signed the enclosed documents as Attorney-In-Fact.  Note that a copy of the applicable Power of Attorney is already on file with the appropriate agencies.

 

 

21


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