-----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, AckHZtHr2eDK2eiLrWx9B351a5VK9Qjr3i+TooXF2DNlFNd9Gqzxak6lWhXdPuf3 TKiQeaUggvxqmsO0t4uHLw== 0001104659-10-005950.txt : 20100210 0001104659-10-005950.hdr.sgml : 20100210 20100210120512 ACCESSION NUMBER: 0001104659-10-005950 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100210 DATE AS OF CHANGE: 20100210 GROUP MEMBERS: BATTERY INVESTMENT PARTNERS VI, LLC ("BIP6") GROUP MEMBERS: BATTERY PARTNERS VI, LLC GROUP MEMBERS: KENNETH P. LAWLER GROUP MEMBERS: MORGAN M. JONES GROUP MEMBERS: OLIVER D. CURME GROUP MEMBERS: R. DAVID TABORS GROUP MEMBERS: RICHARD D. FRISBIE GROUP MEMBERS: SCOTT R. TOBIN GROUP MEMBERS: THOMAS J. CROTTY FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BATTERY VENTURES VI LP CENTRAL INDEX KEY: 0001117938 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 20 WILLIAM STREET STREET 2: C/O BATTERY VENTURES CITY: WELLESLEY STATE: MA ZIP: 02481 MAIL ADDRESS: STREET 1: C/O BATTERY VENTURES STREET 2: 20 WILLIAM ST STE 200 CITY: WELLESLEY STATE: MA ZIP: 02481 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FINISAR CORP CENTRAL INDEX KEY: 0001094739 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 943038428 STATE OF INCORPORATION: DE FISCAL YEAR END: 0430 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-58463 FILM NUMBER: 10586878 BUSINESS ADDRESS: STREET 1: 1389 MOFFETT PARK DR CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4085481000 MAIL ADDRESS: STREET 1: 1389 MOFFETT PARK DR CITY: SUNNYVALE STATE: CA ZIP: 94089 SC 13G/A 1 a10-3447_3sc13ga.htm SC 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 13d-2 (b)
(Amendment No. 1)*

 

Finisar Corporation

(Name of Issuer)

Common Stock, $0.001 par value

(Title of Class of Securities)

31787A101

(CUSIP Number)

December 31, 2009

(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)

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 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)

 



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

Battery Ventures VI, L.P. (“BV6”)

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

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
0

 

6

Shared Voting Power
0

 

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*   o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
PN

 

2



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

Battery Partners VI, LLC

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

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
0

 

6

Shared Voting Power
0

 

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*  o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
OO

 

3



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

Battery Investment Partners VI, LLC (“BIP6”)

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

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
0

 

6

Shared Voting Power
0

 

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*  o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
OO

 

4



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

Richard D. Frisbie

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5

Sole Voting Power
0

 

6

Shared Voting Power
0

 

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*  o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
IN

 

5



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

Oliver D. Curme

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5

Sole Voting Power
0

 

6

Shared Voting Power
0

 

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*  o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
IN

 

6



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

Thomas J. Crotty

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5

Sole Voting Power
0

 

6

Shared Voting Power
0

 

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*  o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
IN

 

7



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

Kenneth P. Lawler

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5

Sole Voting Power
0

 

6

Shared Voting Power
0

 

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*  o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
IN

 

8



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

Morgan M. Jones

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5

Sole Voting Power
0

 

6

Shared Voting Power
0

 

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*  o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
IN

 

9



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

Scott R. Tobin

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5

Sole Voting Power
0

 

6

Shared Voting Power
0

 

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*  o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
IN

 

10



 

CUSIP No. 31787A101

 

 

1

Name of Reporting
SS OR I.R.S. Identification No. of Above Person

R. David Tabors

 

 

2

Check the Appropriate Box if a Member of a Group*

 

 

(a)

o

 

 

(b)

x

 

 

3

SEC Use Only

 

 

4

Citizenship or Place of Organization
USA

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5

Sole Voting Power
0

 

6

Shared Voting Power
0

 

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*  o

 

 

11

Percent of Class Represented by Amount in Row 9
0.00%

 

 

12

Type of Reporting Person*
IN

 

11



 

CUSIP No. 31787A101

 

Item 1(a).

 

Name of Issuer

Finisar Corporation

Item 1(b).

 

Address of Issuer’s Principal Executive Offices

1389 Moffett Park Drive
Sunnyvale, California 94089

 

Item 2(a).

 

Name of Persons Filing

Battery Ventures VI, L.P. (“BV6”), Battery Partners VI, LLC (“BPVI LLC”), Battery Investment Partners VI, LLC (“BIP6”),  Richard D. Frisbie (“Frisbie”), Oliver D. Curme (“Curme”), Thomas J. Crotty (“Crotty”), Kenneth P. Lawler (“Lawler”), Morgan M. Jones (“Jones”), Scott R. Tobin (“Tobin”) and R. David Tabors (“Tabors”).  The foregoing entities and individuals are collectively referred to as the “Reporting Persons.”

 

Frisbie, Curme, Crotty, Lawler, Jones, Tobin and Tabors are the sole managing members of BPVI LLC, the sole general partner of BV6.  BIP6 invests alongside BV6 in all investments made by BV6.  Curme and Crotty are the sole managing members of BIP6.

Item 2(b).

 

Address of Principal Office

The address for each of the Reporting Persons is:

 

Battery Ventures

930 Winter Street, Suite 2500

Waltham, MA 02451

Item 2(c).

 

Citizenship

Frisbie, Curme, Crotty, Lawler, Jones, Tobin and Tabors are United States citizens.  BV6 is a limited partnership organized under the laws of the State of Delaware.  BPVI LLC and BIP6 are limited liability companies organized under the laws of the State of Delaware.

Item 2(d).

 

Title of Class of Securities and Cusip Number

Common Stock, $0.001 par value per share

Item 2(e).

 

CUSIP Number

31787A101

 

Item 3.

Not Applicable

 

12



 

CUSIP No. 31787A101

 

Item 4.

Ownership

The following information with respect to the ownership of the ordinary shares of the issuer by the Reporting Persons filing this Statement is provided as of December 31, 2009:

 

(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.

 

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 each Reporting Person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following:   x Yes.

 

Item 6.

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

Not applicable.

 

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.

 

 

13



 

CUSIP No. 31787A101

 

Item 10.

Certification.

Not applicable.

 

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.

 

Date: February 10, 2010

 

 

 

 

BATTERY VENTURES VI, L.P.

 

 

 

By:

Battery Partners VI, LLC

 

 

 

 

 

 

 

By:

*

 

 

Managing Member

 

 

 

 

BATTERY PARTNERS VI, LLC

 

 

 

 

By:

*

 

 

Managing Member

 

 

 

 

BATTERY INVESTMENT PARTNERS VI, LLC

 

 

 

 

By:

*

 

 

Managing Member

 

 

 

 

RICHARD D. FRISBIE

 

 

 

 

By:

*

 

 

Richard D. Frisbie

 

 

 

 

 

 

 

OLIVER D. CURME

 

 

 

 

By:

*

 

 

Oliver D. Curme

 

 

 

 

 

 

 

THOMAS J. CROTTY

 

 

 

 

By:

*

 

 

Thomas J. Crotty

 

14



 

CUSIP No. 31787A101

 

 

KENNETH P. LAWLER

 

 

 

 

By:

*

 

 

Kenneth P. Lawler

 

 

 

 

 

 

 

MORGAN M. JONES

 

 

 

 

By:

*

 

 

Morgan M. Jones

 

 

 

 

SCOTT R. TOBIN

 

 

 

 

By:

*

 

 

Scott R. Tobin

 

 

 

 

R. DAVID TABORS

 

 

 

 

By:

*

 

 

R. David Tabors

 

 

 

*By:

  /s/ Christopher Hanson

 

 

 

Name:

   Christopher Hanson

 

 

 

 

Attorney-in-Fact

 

 

 

 

This Schedule 13G was executed pursuant to a Power of Attorney.   Note that copies of the applicable Powers of Attorney are already on file with the appropriate agencies.

 

15



 

EXHIBIT I

 

Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required on Schedule 13G need be filed with respect to ownership by each of the undersigned of shares of Common Stock of Finisar Corporation.

 

This Agreement may be executed in any number of counterparts, each of which shall be deemed an original.

 

 

Dated: February 10, 2010

 

 

 

 

 

 

 

BATTERY VENTURES VI, L.P.

 

 

 

 

 

By:

Battery Partners VI, LLC

 

 

 

 

 

 

 

 

By:

*

 

 

 

Managing Member

 

 

 

 

 

 

BATTERY PARTNERS VI, LLC

 

 

 

 

 

 

By:

*

 

 

 

Managing Member

 

 

 

 

 

 

BATTERY INVESTMENT PARTNERS VI, LLC

 

 

 

 

 

 

By:

*

 

 

 

Managing Member

 

 

 

 

 

 

RICHARD D. FRISBIE

 

 

 

 

 

 

By:

*

 

 

 

Richard D. Frisbie

 

 

 

 

 

 

 

 

 

 

OLIVER D. CURME

 

 

 

 

 

 

By:

*

 

 

 

Oliver D. Curme

 

16



 

 

 

THOMAS J. CROTTY

 

 

 

 

 

 

By:

*

 

 

 

Thomas J. Crotty

 

 

 

 

 

 

 

 

 

 

KENNETH P. LAWLER

 

 

 

 

 

 

By:

*

 

 

 

Kenneth P. Lawler

 

 

 

 

 

 

MORGAN M. JONES

 

 

 

 

 

 

By:

*

 

 

 

Morgan M. Jones

 

 

 

 

 

 

SCOTT R. TOBIN

 

 

 

 

 

 

By:

*

 

 

 

Scott R. Tobin

 

 

 

 

 

 

R. DAVID TABORS

 

 

 

 

 

 

By:

*

 

 

 

R. David Tabors

 

 

 

 

*By:

  /s/ Christopher Hanson

 

 

 

 

Name:

    Christopher Hanson

 

 

 

 

 

Attorney-in-Fact

 

 

 

 

 

This Schedule 13G was executed pursuant to a Power of Attorney.   Note that copies of the applicable Powers of Attorney are already on file with the appropriate agencies.

 

17


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