-----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, O4O69ikkFTphMqlFr9bTv2w1a+yqwSuIi3aQyP73NB7HYsqvF63012K0zOMMdVG+ GR3fNIHjq/zia0+Xlr4BEQ== 0001072613-01-500220.txt : 20010223 0001072613-01-500220.hdr.sgml : 20010223 ACCESSION NUMBER: 0001072613-01-500220 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: ARTHUR J. MARKS GROUP MEMBERS: C. RICHARD KRAMLICH GROUP MEMBERS: CHARLES W. NEWHALL, III GROUP MEMBERS: JOHN M. NEHRA GROUP MEMBERS: MARK W. PERRY GROUP MEMBERS: NANCY L. DORMAN GROUP MEMBERS: NEA PARTNERS 9, LP GROUP MEMBERS: NEW ENTERPRISE ASSOCIATES 9 LIMITED PARTNERSHIP GROUP MEMBERS: PETER J. BARRIS GROUP MEMBERS: PETER T. MORRIS GROUP MEMBERS: RONALD H. KASE GROUP MEMBERS: STEWART ALSOP II GROUP MEMBERS: THOMAS C. MCCONNELL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ALLIANCE FIBER OPTIC PRODUCTS INC CENTRAL INDEX KEY: 0001122342 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 770417039 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-60751 FILM NUMBER: 1539449 BUSINESS ADDRESS: STREET 1: 735 NORTH PASTORIA AVE. CITY: SUNNYVALE STATE: CA ZIP: 94085 BUSINESS PHONE: 408-736-69 MAIL ADDRESS: STREET 1: 735 NORTH PASTORIA AVE. CITY: SUNNYVALE STATE: CA ZIP: 94085 FORMER COMPANY: FORMER CONFORMED NAME: ALLIANCE FIBER OPTICS PRODUCTS INC DATE OF NAME CHANGE: 20000822 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NEW ENTERPRISE ASSOCIATES 9 LIMITED PARTNERSHIP CENTRAL INDEX KEY: 0001102947 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 1119 ST PAUL STREET CITY: BALTIMORE STATE: MD ZIP: 21202 BUSINESS PHONE: 4102440115 SC 13G 1 sc13g_10554.txt SCHEDULE 13G - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 1 OF 25 PAGES - ------------------- ------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* Alliance Fiber Optic Products, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 01868O108 - -------------------------------------------------------------------------------- (CUSIP Number) November 19, 2000 - -------------------------------------------------------------------------------- (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). Page 1 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 1 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) New Enterprise Associates 9, Limited Partnership - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* PN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 3 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) NEA Partners 9, Limited Partnership - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* PN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 3 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 4 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Stewart Alsop II - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 4 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 5 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Peter J. Barris - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 5 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 6 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Nancy L. Dorman - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 6 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 7 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Ronald H. Kase - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 7 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 8 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) C. Richard Kramlich - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 8 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 9 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Arthur J. Marks - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 9 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 10 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Thomas C. McConnell - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 11 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 12 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Peter T. Morris - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 4,167 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 4,167 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,003,713 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 11 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 12 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) John M. Nehra - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 12 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 13 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Charles W. Newhall III - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 13 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 14 OF 25 PAGES - ------------------- ------------------- ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Mark W. Perry - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] (b) [ ] - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------- ------------------------------------------------------------------------ 5 SOLE VOTING POWER 0 NUMBER OF ----- ------------------------------------------------ SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY 1,999,546 EACH ----- ------------------------------------------------ REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH: 0 ----- ------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,999,546 - ------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,999,546 - ------- ------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------- ------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.7% - ------- ------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* IN ================================================================================ *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 14 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 15 OF 25 PAGES - ------------------- ------------------- ITEM 1(A). NAME OF ISSUER: -------------- Alliance Fiber Optic Products, Inc. ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: ----------------------------------------------- 735 North Pastoria Avenue, Sunnyvale, CA 94005. ITEM 2(A). NAMES OF PERSONS FILING: ----------------------- New Enterprise Associates 9, Limited Partnership ("NEA 9"); NEA Partners 9, Limited Partnership ("NEA Partners 9"), which is the sole general partner of NEA 9; and Stewart Alsop II ("Alsop"), Peter J. Barris ("Barris"), Nancy L. Dorman ("Dorman"), Ronald Kase ("Kase"), C. Richard Kramlich ("Kramlich"), Arthur J. Marks ("Marks") , Thomas C. McConnell ("McConnell"), Peter T. Morris ("Morris"), John M. Nehra ("Nehra") Charles W. Newhall III ("Newhall") and Mark W. Perry ("Perry") (the "General Partners"). The General Partners are individual general partners of NEA Partners 9. The persons named in this paragraph are referred to individually herein as a "Reporting Person" and collectively as the "Reporting Persons." ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: ----------------------------------------------------------- The address of the principal business office of NEA 9, NEA Partners 9, Dorman, Marks, Nehra and Newhall is New Enterprise Associates, 1119 St. Paul Street, Baltimore, Maryland 21202. The address of the principal business office of Alsop, Kase, Kramlich, McConnell, Morris and Perry is New Enterprise Associates, 2490 Sand Hill Road, Menlo Park, California 94025. The address of the principal business office of Barris is One Freedom Square, 11951 Freedom Drive, Suite 1240, Reston, Virginia 20190. ITEM 2(C). CITIZENSHIP: ----------- Each of NEA 9 and NEA Partners 9 is a limited partnership organized under the laws of the State of Delaware. Each of the General Partners is a United States citizen. ITEM 2(D). TITLE OF CLASS OF SECURITIES: ---------------------------- Common Stock, $.001 par value ("Common Stock"). ITEM 2(E). CUSIP NUMBER: ------------ 01868O108. ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SS.SS. 240.13D- 1(B) OR -------------------------------------------------------------- 240.13D-2(B) OR (C), CHECK WHETHER THE PERSON FILING IS A: ---------------------------------------------------------- (a) [ ] Broker or Dealer registered under Section 15 of the Securities Exchange Act of 1934 (the "Act"). (b) [ ] Bank as defined in Section 3(a)(6) of the Act. (c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act. (d) [ ] Investment Company registered under Section 8 of the Investment Company Act of 1940. (e) [ ] Investment Adviser in accordance with ss.240.13d-1(b)(1)(ii)(E). (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F). (g) [ ] A Parent Holding Company, in accordance with ss.240.13d-1(b)(1)(ii)(G). Page 15 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 16 OF 25 PAGES - ------------------- ------------------- (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940. (j) [ ] Group, in accordance withss.240.13d-1(b)(1)(ii)(J). None of the above. ITEM 4. OWNERSHIP. --------- (a) Amount Beneficially Owned: NEA 9 is the record owner of 1,999,546 shares of Common Stock (the "Record Shares") as of December 31, 2000. As the sole general partner of NEA 9, NEA Partners 9 may be deemed to own beneficially the Record Shares. As the general partners of NEA Partners 9, the sole general partner of NEA 9, each of Alsop, Barris, Dorman, Kase, Kramlich, Marks, McConnell, Morris, Nehra, Newhall and Perry may also be deemed to own beneficially the Record Shares. Therefore, each Reporting Person except Morris may be deemed to own beneficially 1,999,546 shares. Morris holds options to purchase 4,167 shares (the "Option Shares"), which options are exercisable within 60 days of December 31, 2000. As a general partner of NEA Partners 9, the sole general partner of NEA 9, Morris may be deemed to own beneficially the Record Shares and the Option Shares, for a total of 2,003,713 shares. (b) Percent of Class: Each Reporting Person: 5.7%. The foregoing percentage is calculated based on the 34,707,000 shares of Common Stock reported to be outstanding as of January 5, 2001, as adjusted pursuant to Rule 13d-3(d)(1). (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 shares for each Reporting Person except Morris. 4,167 shares for Morris. (ii) shared power to vote or to direct the vote: 1,999,546 shares for each Reporting Person. (iii) sole power to vote or to direct the vote: 0 shares for each Reporting Person except Morris. 4,167 shares for Morris. (iv) shared power to dispose or to direct the disposition of: 1,999,546 shares for each Reporting Person. Each Reporting Person disclaims beneficial ownership of such shares of Common Stock except for the shares, if any, such Reporting Person holds of record. Page 16 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 17 OF 25 PAGES - ------------------- ------------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. -------------------------------------------- Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. --------------------------------------------------------------- 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. The Reporting Persons expressly disclaim membership in a "group" as used in Rule 13d-1(b)(ii)(H). ITEM 9. NOTICE OF DISSOLUTION OF GROUP. ------------------------------ Not applicable. ITEM 10. CERTIFICATION. ------------- Not applicable, this statement on Schedule 13G is not filed pursuant to Rule 13d-1(b) or Rule 13d-1(c). Page 17 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 18 OF 25 PAGES - ------------------- ------------------- SIGNATURE --------- After reasonable inquiry and to the best of its knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: February 12th, 2001 NEW ENTERPRISE ASSOCIATES 9, LIMITED PARTNERSHIP By: NEA PARTNERS 9, LIMITED PARTNERSHIP By: * ---------------------------------- Charles W. Newhall III General Partner NEA PARTNERS 9, LIMITED PARTNERSHIP By: * --------------------------------------- Charles W. Newhall III General Partner * - ------------------------------------- Stewart Alsop II * - ------------------------------------- Peter J. Barris * - ------------------------------------- Ronald Kase * - ------------------------------------- John M. Nehra * - ------------------------------------- C. Richard Kramlich * - ------------------------------------- Arthur J. Marks Page 18 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 19 OF 25 PAGES - ------------------- ------------------- * - ------------------------------------- Thomas C. McConnell * - ------------------------------------- Charles W. Newhall III * - ------------------------------------- Peter T. Morris * - ------------------------------------- Mark W. Perry *By: /s/ Nancy L. Dorman ---------------------------------- Nancy L. Dorman, in her individual capacity and as Attorney-in-Fact - -------------------------------------------------------------------------------- This Schedule 13G was executed by Nancy L. Dorman pursuant to Powers of Attorney filed with the Securities and Exchange Commission on February 13, 1992 in connection with a Schedule 13G for Advanced Interventional Systems Inc. and on February 13, 1995 in connection with a Schedule 13G for Acuity Imaging, Inc., which Powers of Attorney are incorporated herein by reference and copies of which are attached hereto as Exhibit 2. Page 19 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 20 OF 25 PAGES - ------------------- ------------------- Exhibit 1 --------- AGREEMENT Pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of shares of Common Stock of Alliance Fiber Optic Products, Inc. EXECUTED as a sealed instrument this 12th day of February, 2001. NEW ENTERPRISE ASSOCIATES 9, LIMITED PARTNERSHIP By: NEA PARTNERS 9, LIMITED PARTNERSHIP By: * ---------------------------------- Charles W. Newhall III General Partner NEA PARTNERS 9, LIMITED PARTNERSHIP By: * --------------------------------------- Charles W. Newhall III General Partner * - ------------------------------------- Stewart Alsop II * - ------------------------------------- Peter J. Barris * - ------------------------------------- Ronald Kase * - ------------------------------------- John M. Nehra * - ------------------------------------- C. Richard Kramlich * - ------------------------------------- Arthur J. Marks Page 20 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 21 OF 25 PAGES - ------------------- ------------------- * - ------------------------------------- Thomas C. McConnell * - ------------------------------------- Charles W. Newhall III * - ------------------------------------- Peter T. Morris * - ------------------------------------- Mark W. Perry *By: /s/ Nancy L. Dorman ---------------------------------- Nancy L. Dorman, in her individual capacity and as Attorney-in-Fact - -------------------------------------------------------------------------------- This Agreement was executed by Nancy L. Dorman pursuant to Powers of Attorney filed with the Securities and Exchange Commission on February 13, 1992 in connection with a Schedule 13G for Advanced Interventional Systems, Inc. and on February 13, 1995 in connection with a Schedule 13G for Acuity Imaging, Inc., which Powers of Attorney are incorporated herein by reference and copies of which are attached hereto as Exhibit 2. Page 21 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 22 OF 25 PAGES - ------------------- ------------------- Exhibit 2 --------- POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Nancy L. Dorman and Charles W. Newhall III, and each of them, with full power to act without the other, his true and lawful attorney-in-fact, with full power of substitution, to sign any and all instruments, certificates and documents that may be necessary, desirable or appropriate to be executed on behalf of himself as an individual or in his capacity as a general partner of any partnership, pursuant to section 13 or 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and any and all regulations promulgated thereunder, and to file the same, with all exhibits thereto, and any other documents in connection therewith, with the Securities and Exchange Commission, and with any other entity when and if such is mandated by the Exchange Act or by the By-laws of the National Association of Securities Dealers, Inc., granting unto said attorney-in-fact full power and authority to do and perform each and every act and thing necessary, desirable or appropriate, fully to all intents and purposes as he might or could do in person, thereby ratifying and confirming all that said attorney-in-fact, or his substitutes, may lawfully do or cause to be done by virtue hereof. IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 23rd day of April, 1991. /s/ Raymond L. Bank ------------------------------------ Raymond L. Bank /s/ Thomas R. Baruch ------------------------------------ Thomas R. Baruch /s/ Cornelius C. Bond, Jr. ------------------------------------ Cornelius C. Bond, Jr. /s/ Frank A. Bonsal, Jr. ------------------------------------ Frank A. Bonsal, Jr. /s/ James A. Cole ------------------------------------ James A. Cole Page 22 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 23 OF 25 PAGES - ------------------- ------------------- /s/ Nancy L. Dorman ------------------------------------ Nancy L. Dorman /s/ Neal M. Douglas ------------------------------------ Neal M. Douglas /s/ John W. Glynn, Jr. ------------------------------------ John W. Glynn, Jr. /s/ Curran W. Harvey ------------------------------------ Curran W. Harvey /s/ Ronald Kase ------------------------------------ Ronald Kase /s/ C. Richard Kramlich ------------------------------------ C. Richard Kramlich /s/ Robert F. Kuhling ------------------------------------ Robert F. Kuhling /s/ Arthur J. Marks ------------------------------------ Arthur J. Marks /s/ Thomas C. McConnell ------------------------------------ Thomas C. McConnell /s/ Donald L. Murfin ------------------------------------ Donald L. Murfin /s/ H. Leland Murphy ------------------------------------ H. Leland Murphy Page 23 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 24 OF 25 PAGES - ------------------- ------------------- /s/ John M. Nehra ------------------------------------ John M. Nehra /s/ Charles W. Newhall III ------------------------------------ Charles W. Newhall III /s/ Terry L. Opdendyk ------------------------------------ Terry L. Opdendyk /s/ Barbara J. Perrier ------------------------------------ Barbara J. Perrier /s/ C. Vincent Prothro ------------------------------------ C. Vincent Prothro /s/ C. Woodrow Rea, Jr. ------------------------------------ C. Woodrow Rea, Jr. /s/ Howard D. Wolfe, Jr. ------------------------------------ Howard D. Wolfe, Jr. /s/ Nora M. Zietz ------------------------------------ Nora M. Zietz Page 24 of 25 pages - ------------------- ------------------- CUSIP NO. 01868O108 13G PAGE 25 OF 25 PAGES - ------------------- ------------------- POWER OF ATTORNEY KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears below hereby constitutes and appoints Nancy L. Dorman and Charles W. Newhall III, and each of them, with full power to act without the other, his true and lawful attorney-in-fact, with full power of substitution, to sign any and all instruments, certificates and documents that may be necessary, desirable or appropriate to be executed on behalf of himself as an individual or in his capacity as a general partner of any partnership, pursuant to section 13 or 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and any and all regulations promulgated thereunder, and to file the same, with all exhibits thereto, and any other documents in connection therewith, with the Securities and Exchange Commission, and with any other entity when and if such is mandated by the Exchange Act or by the By-laws of the National Association of Securities Dealers, Inc., granting unto said attorney-in-fact full power and authority to do and perform each and every act and thing necessary, desirable or appropriate, fully to all intents and purposes as he might or could do in person, thereby ratifying and confirming all that said attorney-in-fact, or his substitutes, may lawfully do or cause to be done by virtue hereof. IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 1st day of January, 1994. /s/ Peter J. Barris ------------------------------------ Peter J. Barris /s/ Debra E. King ------------------------------------ Debra E. King /s/ Peter T. Morris ------------------------------------ Peter. T. Morris /s/ Hugh Y. Rienhoff, Jr. ------------------------------------ Hugh Y. Rienhoff, Jr. /s/ Alexander Slusky ------------------------------------ Alexander Slusky /s/ Louis B. Van Dyck ------------------------------------ Louis B. Van Dyck Page 25 of 25 pages -----END PRIVACY-ENHANCED MESSAGE-----