-----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, JcHSwcXKyrZMpebtHGRGm08SUgi7lKPdjQvz7p+z7Gwpm6Vptz03yozrFgdtz7w2 Gm264PVD2HptEdzPeqKsHQ== 0000950130-02-000919.txt : 20020414 0000950130-02-000919.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950130-02-000919 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 20020214 GROUP MEMBERS: ANTHONY B.EVNIN GROUP MEMBERS: ANTHONY SUN GROUP MEMBERS: BRYAN E. ROBERTS GROUP MEMBERS: DAVID R. HATHAWAY GROUP MEMBERS: ERIC S. COPELAND GROUP MEMBERS: JOSEPH E. CASEY GROUP MEMBERS: KIMBERLEY A. RUMMELSBURG GROUP MEMBERS: MICHAEL C. BROOKS GROUP MEMBERS: MICHAEL F. TYRRELL GROUP MEMBERS: PATRICK F. LATTERELL GROUP MEMBERS: RAY A. ROTHROCK GROUP MEMBERS: TERENCE J. GARNETT GROUP MEMBERS: THOMAS R. FREDERICK GROUP MEMBERS: VENROCK ASSOCIATES GROUP MEMBERS: VENROCK ASSOCIATES II, L.P. GROUP MEMBERS: VENROCK ENTREPRENEURS FUND, L.P. GROUP MEMBERS: VENROCK MANAGEMENT LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ILLUMINA INC CENTRAL INDEX KEY: 0001110803 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 330804655 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-60457 FILM NUMBER: 02547313 BUSINESS ADDRESS: STREET 1: 9390 TOWNE CENTRE DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 8585874290 MAIL ADDRESS: STREET 1: 9390 TOWN CENTRE DRIVE STREET 2: SUITE 200 CITY: SAN DIEGO STATE: CA ZIP: 92121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: VENROCK ASSOCIATES CENTRAL INDEX KEY: 0000937889 IRS NUMBER: 136300995 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ROOM 5508 STREET 2: 30 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 2126495600 MAIL ADDRESS: STREET 1: ROOM 5508 STREET 2: 30 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10112 SC 13G/A 1 dsc13ga.txt SCHEDULE 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)* Illumina, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 452327109 - ------------------------------------------------------------------------------- (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: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] 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 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). CUSIP No. 452327109 13G Page 2 of 27 Pages - ---------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Venrock Associates I.R.S. #13-6300995 - ---------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- -------------------------------------------------------------------- 3 SEC USE ONLY - ---------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York, U.S.A. - ---------------------------- ------- ------------------------------------------ NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ------- ------------------------------------------ EACH 6 SHARED VOTING POWER REPORTING 1,231,633 PERSON WITH ------- ------------------------------------------ 7 SOLE DISPOSITIVE POWER 0 ------- ------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,231,633 - ---------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,231,633 - ---------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.8% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13G Page 3 of 27 Pages - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Venrock Associates II, L.P. I.R.S. #13-3844754 - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York, U.S.A. - ----------------------------- ------ ------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ------ ------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 1,657,815 PERSON WITH ------ ------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ------ ------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,657,815 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,657,815 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.1% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13G Page 4 of 27 Pages - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Venrock Entrepreneurs Fund, L.P. I.R.S. #13-4078492 - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York, U.S.A. - ----------------------------- ------ ------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ------ ------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 0 PERSON WITH ------ ------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ------ ------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 5 of 27 Pages - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Venrock Management LLC IRS # 13-4078489 - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware, U.S.A. - ----------------------------- ------ ------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ------ ------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 0 PERSON WITH ------ ------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ------ ------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 6 of 27 Pages - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael C. Brooks ###-##-#### - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ----------------------------- ------ ------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 1,210 OWNED BY ------ ------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ------------------------------------------- 7 SOLE DISPOSITIVE POWER 1,210 ------ ------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,890,658 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 7 of 27 Pages - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Joseph E. Casey ###-##-#### - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ----------------------------- ------ ------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 473 OWNED BY ------ ------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ------------------------------------------- 7 SOLE DISPOSITIVE POWER 473 ------ ------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - -------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,889,921 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 8 of 27 Pages - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Eric S. Copeland ###-##-#### - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ----------------------------- ------ ------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 473 OWNED BY ------ ------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ------------------------------------------- 7 SOLE DISPOSITIVE POWER 473 ------ ------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,889,921 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 9 of 27 Pages - ----------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Anthony B. Evnin ###-##-#### - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ----------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 23,007 OWNED BY ------ ----------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ----------------------------------------- 7 SOLE DISPOSITIVE POWER 23,007 ------ ----------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - ----------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,912,455 - ----------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES - ----------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - ----------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 10 of 27 Pages - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Thomas R. Frederick ###-##-#### - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ----------------------------- ------ ------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ------ ------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,890,376 PERSON WITH ------ ------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ------ ------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,890,376 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,890,376 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 11 of 27 Pages - ----------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Terence J. Garnett ###-##-#### - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ----------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY ------ ----------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,768 PERSON WITH ------ ----------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ------ ----------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,768 - ----------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,889,768 - ----------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES - ----------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - ----------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 12 of 27 Pages - ----------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David R. Hathaway ###-##-#### - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ----------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 22,650 OWNED BY ------ ----------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ----------------------------------------- 7 SOLE DISPOSITIVE POWER 22,650 ------ ----------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - ----------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,912,098 - ----------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES - ----------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - ----------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13G Page 13 of 27 Pages - ----------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Patrick F. Latterell ###-##-#### - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ----------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 16,689 OWNED BY ------ ----------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ----------------------------------------- 7 SOLE DISPOSITIVE POWER 16,689 ------ ----------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - ----------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,906,137 - ----------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES - ----------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - ----------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 14 of 27 Pages - ----------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Bryan E. Roberts ###-##-#### - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ----------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 4,400 OWNED BY ------ ----------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ----------------------------------------- 7 SOLE DISPOSITIVE POWER 4,400 ------ ----------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - ----------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,893,848 - ----------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES - ----------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - ----------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 15 of 27 Pages - ----------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ray A. Rothrock ###-##-#### - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ----------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 20,254 OWNED BY ------ ----------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ----------------------------------------- 7 SOLE DISPOSITIVE POWER 20,254 ------ ----------------------------------------- 8 SHARED DISPOSITIVE POW 2,889,448 - ----------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,909,702 - ----------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES - ----------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - ----------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13G Page 16 of 27 Pages - ----------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Kimberley A. Rummelsburg ###-##-#### - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ----------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 3,286 OWNED BY ------ ----------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ----------------------------------------- 7 SOLE DISPOSITIVE POWER 3,286 ------ ----------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - ----------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,892,734 - ----------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES - ----------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - ----------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13 G Page 17 of 27 Pages - ----------- -------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Anthony Sun ###-##-#### - ----------- -------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- -------------------------------------------------------------------- 3 SEC USE ONLY - ----------- -------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ----------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 22,905 OWNED BY ------ ----------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ----------------------------------------- 7 SOLE DISPOSITIVE POWER 22,905 ------ ----------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - ----------- -------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,912,353 - ----------- -------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES - ----------- -------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - ----------- -------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- -------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13G Page 18 of 27 Pages - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael F. Tyrrell 019-52-28-58 - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ----------------------------- ------ ------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 4,043 OWNED BY ------ ------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING 2,889,448 PERSON WITH ------ ------------------------------------------- 7 SOLE DISPOSITIVE POWER 4,043 ------ ------------------------------------------- 8 SHARED DISPOSITIVE POWER 2,889,448 - --------- ---------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,893,491 - --------- ---------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - --------- ---------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - --------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - --------- ---------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 452327109 13G Page 19 of 27 Pages Introductory Note: This Statement on Schedule 13G is filed on behalf of Venrock Associates, a limited partnership organized under the laws of the State of New York, Venrock Associates II, L.P., a limited partnership organized under the laws of the State of New York, Venrock Entrepreneurs Fund, L.P., a limited partnership organized under the laws of the State of New York, Venrock Management LLC, a limited liability company formed under the laws of the State of Delaware, Michael C. Brooks, Joseph E. Casey, Eric S. Copeland, Anthony B. Evnin, Thomas R. Frederick, Terence J. Garnett, David R. Hathaway, Patrick F. Latterell, Bryan E. Roberts, Ray A. Rothrock, Kimberley A. Rummelsburg, Anthony Sun and Michael F. Tyrrell in respect of shares of Common Stock of Illumina, Inc. Item 1(a) Name of Issuer - -------------------------------- Illumina, Inc. Item 1(b) Address of Issuer's Principal Executive Offices - ----------------------------------------------------------------- 9390 Towne Centre Drive, Suite 200 San Diego, CA 92121 Item 2(a) Name of Person Filing - --------------------------------------- Venrock Associates ("Venrock") Venrock Associates II, L.P. ("Venrock II") Venrock Entrepreneurs Fund, L.P. ("Venrock Entrepreneurs") Venrock Management LLC ("Venrock Management") Michael C. Brooks Joseph E. Casey Eric S. Copeland Anthony B. Evnin Thomas R. Frederick Terence J. Garnett David R. Hathaway Patrick F. Latterell Bryan E. Roberts Ray A. Rothrock Kimberley A. Rummelsburg Anthony Sun Michael F. Tyrrell Item 2(b) Address of Principal Business Office or, if none, Residence - ----------------------------------------------------------------------------- New York Office: Menlo Park Office: 30 Rockefeller Plaza 2494 Sand Hill Road Room 5508 Suite 200 New York, NY 10112 Menlo Park, CA 94025 Item 2(c) Citizenship - ----------------------------- Venrock, Venrock II and Venrock Entrepreneurs are limited partnerships organized in the State of New York. Venrock Management is a limited liability company formed in the State of Delaware and is the General Partner of Venrock Entrepreneurs. Michael C. Brooks, Joseph E. Casey, Eric S. Copeland, Anthony B. Evnin, Thomas R. Frederick, Terence J. Garnett, David R. Hathaway, Patrick F. Latterell, Bryan E. Roberts, Ray A. Rothrock, Kimberley A. Rummelsburg, Anthony Sun and Michael F. Tyrrell are General Partners of Venrock and Venrock II, are Members of Venrock Management and are all citizens of the United States of America. CUSIP No. 452327109 13 G Page 20 of 27 Pages Item 2(d) Title of Class of Securities - ---------------------------------------------- Common Stock Item 2(e) CUSIP Number - ------------------------------ 452327109 Item 3 Not applicable. - --------------------------------- Item 4 Ownership - --------------------------- (a) and (b) Venrock owns 1,231,633 shares or 3.8% of the outstanding shares of common stock. Venrock II owns 1,657,815 shares or 5.1% of the outstanding shares of common stock. Venrock Entrepreneurs owns no shares or 0.0% of the outstanding shares of common stock. Venrock Management beneficially owns no shares or 0.0% of the outstanding shares of common stock. Michael C. Brooks beneficially owns 2,890,658 shares or 9.0% of the outstanding shares of common stock. Joseph E. Casey beneficially owns 2,889,921 shares or 9.0% of the outstanding shares of common stock. Eric S. Copeland beneficially owns 2,889,921 shares or 9.0% of the outstanding shares of common stock. Anthony B. Evnin beneficially owns 2,912,455 shares or 9.0% of the outstanding shares of common stock. Thomas R. Frederick beneficially owns 2,890,376 shares or 9.0% of the outstanding shares of common stock. Terence J. Garnett beneficially owns 2,889,768 shares or 9.0% of the outstanding shares of common stock. David R. Hathaway beneficially owns 2,912,098 shares or 9.0% of the outstanding shares of common stock. Patrick F. Latterell beneficially owns 2,906,137 shares or 9.0% of the outstanding shares of common stock. Bryan E. Roberts beneficially owns 2,893,848 shares or 9.0% of the outstanding shares of common stock. Ray A. Rothrock beneficially owns 2,909,702 shares or 9.0% of the outstanding shares of common stock. Kimberly A. Rummelsberg beneficially owns 2,892,734 shares or 9.0% of the outstanding shares of common stock. Anthony Sun beneficially owns 2,912,353 shares or 9.0% of the outstanding shares of common stock. Michael F. Tyrrell beneficially owns 2,893,491 shares or 9.0% of the outstanding shares of common stock. (c) Venrock has sole voting and dispositive power over no shares of common stock and shared voting and dispositive power over 1,231,633 shares. Venrock II has sole voting and dispositive power over no shares and shared voting and dispositive power over 1,657,815 shares. Venrock Entrepreneurs has sole voting and dispositive power over no shares of common stock and shared voting and dispositive power over no shares of common stock Venrock Management has sole voting and dispositive power over no shares of common stock and shared voting and dispositive power over no shares of common stock. Michael C. Brooks has sole voting and dispositive power over 1,210 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Joseph E. Casey has sole voting and dispositive power over 473 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Eric S. Copeland has sole voting and dispositive power over 473 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Anthony B. Evnin has sole voting and dispositive power over 23,007 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Thomas R. Frederick has sole voting and dispositive power over no shares of common stock and shared voting and dispositive power over 2,890,376 shares of common stock. Terence J. Garnett has sole voting and dispositive power over no shares of common stock and shared voting and dispositive power over 2,889,768 shares of common stock. David R. Hathaway has sole voting and dispositive power over 22,650 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Patrick F. Latterell has sole voting and dispositive power over 16,689 shares of common stock and shared voting and dispositive power over CUSIP No. 452327109 13G Page 21 of 27 Pages 2,889,448 shares of common stock. Bryan E. Roberts has sole voting and dispositive power over 4,400 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Ray A. Rothrock has sole voting and dispositive power over 20,254 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Kimberly A. Rummelsberg has sole voting and dispositive power over 3,286 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Anthony Sun has sole voting and dispositive power over 22,905 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Michael F. Tyrrell has sole voting and dispositive power over 4,043 shares of common stock and shared voting and dispositive power over 2,889,448 shares of common stock. Item 5 Ownership of Five Percent or Less of a Class - -------------------------------------------------------------- If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6 Ownership of More than Five Percent of Behalf of Another - --------------------------------------------------------------------------- Person ------ No person, other than the General Partner(s) of Venrock, Venrock II and Venrock Entrepreneurs and the Members of Venrock Management has 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 Venrock, Venrock II, Venrock Entrepreneurs and Venrock Management. 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 - --------------------------------------------------------------------------- This schedule is being filed pursuant to Rule 13d-1(d). The identities of the thirteen General Partners of Venrock and Venrock II, the one General Partner of Venrock Entrepreneurs and the thirteen Members of Venrock Management are stated in Item 2. Item 9 Notice of Dissolution of Group - ------------------------------------------------ Not applicable. Item 10 Certification - ------------------------------- Not applicable. CUSIP No. 452327109 13G Page 22 of 27 Pages 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. February 14, 2002 VENROCK ASSOCIATES By: /s/ Anthony B. Evnin -------------------------- Anthony B. Evnin General Partner February 14, 2002 VENROCK ASSOCIATES II, L.P. By: /s/ Anthony B. Evnin -------------------------- Anthony B. Evnin General Partner February 14, 2002 VENROCK ENTREPRENEURS FUND, L.P. By: Venrock Management LLC, its General Partner By: /s/ Anthony B. Evnin -------------------------- Anthony B. Evnin Member February 14, 2002 VENROCK MANAGEMENT LLC By: /s/ Anthony B. Evnin -------------------------- Anthony B. Evnin Member February 14, 2002 GENERAL PARTNERS / MEMBERS * ------------------------------------ Michael C. Brooks * ------------------------------------ Joseph E. Casey * ------------------------------------ Eric S. Copeland * ------------------------------------ Anthony B. Evnin * ------------------------------------ Thomas R. Frederick /s/ Terence J. Garnett ------------------------------------ Terence J. Garnett CUSIP No. 452327109 13G Page 23 of 27 Pages * ------------------------------------ David R. Hathaway * ------------------------------------ Patrick F. Latterell /s/ Bryan E. Roberts ------------------------------------ Bryan E. Roberts * ------------------------------------ Ray A. Rothrock * ------------------------------------ Kimberley A. Rummelsburg * ------------------------------------ Anthony Sun * ------------------------------------ Michael F. Tyrrell * By: /s/ Anthony B. Evnin ----------------------------- Anthony B. Evnin Attorney-in-Fact CUSIP No. 452327109 13G Page 24 of 27 Pages Exhibit Index
Exhibit No. Page No. - ----------- -------- 24.1 Power of Attorney dated as of February 14, 2001 granted by 25 certain of the General Partners/Members in favor of Anthony B. Evnin and Anthony Sun 99.1 Agreement pursuant to 13d-1(k)(1) among Venrock Associates, 26 Venrock Associates II, L.P., Venrock Entrepreneurs Fund, L.P., Venrock Management LLC and the General Partners and Members thereof
EX-24.1 3 dex241.txt POWER OF ATTORNEY CUSIP No. 452327109 13G Page 25 of 27 Pages Exhibit 24.1 POWER OF ATTORNEY KNOWN ALL MEN BY THESE PRESENTS that each person whose signature appears below constitutes and appoints Anthony B. Evnin and Anthony Sun, or either of them, his or her true and lawful attorneys-in-fact and agents, each acting alone, with full power of substitution and resubstitution, for him or her and in his or her name, place and stead, in any and all capacities, to sign the Schedule 13G, and all amendments thereto, with all exhibits thereto, and all documents in connection therewith, with respect to the beneficial ownership by the undersigned of the equity securities of Illumina, Inc., and to file the same, with the Securities and Exchange Commission and any other person, granting unto the attorneys-in-fact and agents, and each of them, full power and authority to do and perform each and every act and thing requisite and necessary to be done in and about the premises, as fully to all intents and purposes as he or she might or could do in person, and hereby ratifies and confirms all that said attorneys-in-fact and agents, each acting alone, or their substitute or substitutes, may lawfully do or cause to be done. February 14, 2001 /s/Michael C. Brooks -------------------------------------- Michael C. Brooks /s/Joseph E. Casey -------------------------------------- Joseph E. Casey /s/Eric S. Copeland -------------------------------------- Eric S. Copeland /s/Anthony B. Evnin -------------------------------------- Anthony B. Evnin /s/Thomas R. Frederick -------------------------------------- Thomas R. Frederick /s/David R. Hathaway -------------------------------------- David R. Hathaway /s/Patrick F. Latterell -------------------------------------- Patrick F. Latterell /s/Ray A. Rothrock -------------------------------------- Ray A. Rothrock /s/Kimberley A. Rummelsburg -------------------------------------- Kimberley A. Rummelsburg /s/Anthony Sun -------------------------------------- Anthony Sun /s/Michael F. Tyrrell -------------------------------------- Michael F. Tyrrell EX-99.1 4 dex991.txt AGREEMENT CUSIP No. 452327109 13G Page 26 of 27 Pages Exhibit 99.1 AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated pursuant to the Securities Exchange Act of 1934, as amended, the undersigned agree that the attached Schedule 13G is being filed on behalf of each of the undersigned. February 14, 2002 VENROCK ASSOCIATES By: /s/ Anthony B. Evnin --------------------------- Anthony B. Evnin General Partner February 14, 2002 VENROCK ASSOCIATES II, L.P. By: /s/ Anthony B. Evnin --------------------------- Anthony B. Evnin General Partner February 14, 2002 VENROCK ENTREPRENEURS FUND, L.P. By: Venrock Management LLC, its General Partner By: /s/ Anthony B. Evnin --------------------------- Anthony B. Evnin Member February 14, 2002 VENROCK MANAGEMENT LLC By: /s/ Anthony B. Evnin --------------------------- Anthony B. Evnin Member February 14, 2002 GENERAL PARTNERS / MEMBERS * ------------------------------------ Michael C. Brooks * ------------------------------------ Joseph E. Casey * ------------------------------------ Eric S. Copeland * ------------------------------------ Anthony B. Evnin * ------------------------------------ Thomas R. Frederick /s/ Terence J. Garnett ------------------------------------ Terence J. Garnett CUSIP No. 452327109 13G Page 27 of 27 Pages * ------------------------------------ David R. Hathaway * ------------------------------------ Patrick F. Latterell /s/ Bryan E. Roberts ------------------------------------ Bryan E. Roberts * ------------------------------------ Ray A. Rothrock * ------------------------------------ Kimberley A. Rummelsburg * ------------------------------------ Anthony Sun * ------------------------------------ Michael F. Tyrrell * By: /s/ Anthony B. Evnin ----------------------------- Anthony B. Evnin Attorney-in-Fact -----END PRIVACY-ENHANCED MESSAGE-----