-----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, KUVNYXLNEHNSbQZ72phjQqcfR06JGcCkHnS/XnyGusKx5q77tgrghn1vkjm497WO ciRKqexCUpSVXA65j/TAdA== 0000899140-04-000131.txt : 20040203 0000899140-04-000131.hdr.sgml : 20040203 20040203152520 ACCESSION NUMBER: 0000899140-04-000131 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040203 GROUP MEMBERS: WARBURG PINCUS & CO. GROUP MEMBERS: WARBURG PINCUS LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: KYPHON INC CENTRAL INDEX KEY: 0001123313 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 770366069 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78727 FILM NUMBER: 04562797 BUSINESS ADDRESS: STREET 1: 1350 BORDEAUX DR CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4085486500 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: WARBURG PINCUS VENTURES LP CENTRAL INDEX KEY: 0000942263 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133784037 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: E M WARBURG PINCUS & CO INC STREET 2: 466 LEXINGTON AVE 10TH FL CITY: NEW YORK STATE: NY ZIP: 10017-3147 BUSINESS PHONE: 2128780600 MAIL ADDRESS: STREET 1: E M WARBURG PINCUS & CO INC STREET 2: 466 LEXINGTON AVE 10TH FL CITY: NEW YORK STATE: NY ZIP: 10017-3147 SC 13G/A 1 w1331564b.txt AMENDMENT NO. 2 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 2) KYPHON INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 501577 10 0 ----------- (CUSIP Number) February 2, 2004 ---------------- (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 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). Page 1 of 8 pages - ---------------------- ----------------- CUSIP No. 501577 10 0 13G Page 2 of 8 Pages - ---------------------- ----------------- - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Warburg Pincus Ventures, L.P. - (IRS Identification No. 13-3784037) - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 10,548,850 shares, except that Warburg Pincus & Co. ("WPC"), the sole general partner of Warburg Pincus Ventures, L.P. ("WPV"), may be deemed to have sole voting power with respect to such shares and Warburg Pincus LLC ("WPLLC"), the company managing WPV, may be deemed to share voting power with respect to such shares. ------ ---------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES BENEFICIALLY See response to row 5 OWNED BY ------ ---------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 10,548,850 shares, except that Warburg Pincus & Co. WITH ("WPC"), the sole general partner of Warburg Pincus Ventures, L.P. ("WPV"), may be deemed to have sole voting power with respect to such shares and Warburg Pincus LLC ("WPLLC"), the company managing WPV, may be deemed to share voting power with respect to such shares. ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to Row 7 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,548,850 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 26.9% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT Page 2 of 8 pages - ---------------------- ----------------- CUSIP No. 501577 10 0 13G Page 3 of 8 Pages - ---------------------- ----------------- - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Warburg Pincus & Co. - (IRS Identification No. 13-6358475) - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 10,548,850 shares, all of which are directly owned by WPV. WPC is the sole general partner of WPV and WPLLC is the company managing WPV. WPC may be deemed to have sole voting power with respect to such shares and WPV and WPLLC may be deemed to have shared voting power with respect to such shares. NUMBER OF ------ ---------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY See response to Row 5 EACH ------ ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 10,548,850 shares, all of which are directly owned by WPV. WPC is the sole general partner of WPV and WPLLC is the company managing WPV. WPC may be deemed to have sole voting power with respect to such shares and WPV and WPLLC may be deemed to have shared voting power with respect to such shares. ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to Row 7 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,548,850 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 26.9% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT Page 3 of 8 pages - ---------------------- ----------------- CUSIP No. 501577 10 0 13G Page 4 of 8 Pages - ---------------------- ----------------- - ---------- --------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Warburg Pincus LLC- (IRS Identification No. 13-3536050) - ---------- --------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ---------- --------------------------------------------------------------------- 3 SEC USE ONLY - ---------- --------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------- ------ ---------------------------------------------------- 5 SOLE VOTING POWER 10,548,850 shares, except that WPC, the sole general partner of WPV, may be deemed to have sole voting power with respect to such shares and WPLLC and WPV may be deemed to share voting power with respect to such shares. NUMBER OF ------ ---------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED BY See response to Row 5 EACH ------ ---------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 10,548,850 shares, except that WPC, the sole general partner of WPV, may be deemed to have sole WITH voting power with respect to such shares and WPLLC and WPV may be deemed to share voting power with respect to such shares. ------ ---------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to Row 7 - ---------- --------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,548,850 - ---------- --------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - ---------- --------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 26.9% - ---------- --------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - ---------- --------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT Page 4 of 8 pages This Amendment No. 2 to Schedule 13G amends and restates in its entirety Amendment No. 1 to Schedule 13G, which amended the initial Schedule 13G filed by Warburg Pincus Ventures, L.P., Warburg Pincus & Co. and Warburg Pincus LLC with the Securities and Exchange Commission with respect to the common stock of Kyphon Inc. Item 1(a) Name of Issuer: -------------- Kyphon Inc. Item 1(b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 1350 Bordeaux Drive Sunnyvale, California 94089 Items 2(a) and 2(b) Name of Person Filing; Address of Principal Business Office: ----------------------------------------------------------- Warburg Pincus Ventures, L.P. Warburg Pincus & Co. Warburg Pincus LLC Each of the persons filing has a principal place of business address at 466 Lexington Avenue, New York, New York 10017. Item 2(c) Citizenship: ----------- Warburg Pincus Ventures, L.P. is a Delaware limited partnership, Warburg Pincus & Co. is a New York general partnership and Warburg Pincus LLC is a New York limited liability company. Item 2(d) Title of Class of Securities: ---------------------------- Common Stock Item 2(e) CUSIP Number: ------------ 501577 10 0 Item 3 If this statement is filed pursuant toss.ss. 240.13d-1(b) or ------------------------------------------------------------ 240.13d-2(b) or (c), check whether the person is filing as ---------------------------------------------------------- a: - Not Applicable Page 5 of 8 pages Item 4. Ownership: --------- (a) Amount beneficially owned: 10,548,850 (b) Percent of Class: 26.9%* (c) (i) Sole power to vote or direct the vote: See Row 5 for each personal filing (ii) Shared power to vote or direct the vote: See Row 6 for each personal filing (iii) Sole power to dispose of or direct the disposition of: See Row 7 for each personal filing (iv) Shared power to dispose of or direct the disposition of: See Row 8 for each personal filing * Based on 39,218,131 total shares outstanding as of November 3, 2003 as reported in the Issuer's Quarterly Report on Form 10-Q for the three months ended September 30, 2003. 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. 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: --------------------------------------------------------- Page 6 of 8 pages Not Applicable. Item 9 Notice of Dissolution of Group: ------------------------------ Not Applicable Item 10 Certification: ------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. Page 7 of 8 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. Dated: February 3, 2004 WARBURG PINCUS VENTURES, L.P. By: Warburg Pincus & Co., General Partner By: /s/ Scott A. Arenare ------------------------------ Name: Scott A. Arenare Title: Partner WARBURG PINCUS & CO. By: /s/ Scott A. Arenare ------------------------------ Name: Scott A. Arenare Title: Partner WARBURG PINCUS LLC By: /s/ Scott A. Arenare ------------------------------ Name: Scott A. Arenare Title: Managing Director Page 8 of 8 pages -----END PRIVACY-ENHANCED MESSAGE-----