-----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, HSE/PoLSjU52n9QHrIBHWot4aJMeYiGXWSSMHcntX9RsyQi109cInhNLJsDUd71j EIEvVSVHb4AeLvdWYvxGew== 0000950005-97-000233.txt : 19970222 0000950005-97-000233.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950005-97-000233 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARMONIC LIGHTWAVES INC CENTRAL INDEX KEY: 0000851310 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 770201147 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45299 FILM NUMBER: 97532990 BUSINESS ADDRESS: STREET 1: 3005 BUNKER HILL LANE CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089709880 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KLEINER PERKINS CAUFIELD & BYERS V LP CENTRAL INDEX KEY: 0000850477 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 770211539 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 2750 SAND HILL ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 4152332750 MAIL ADDRESS: STREET 1: 2750 SAND HILL ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13G/A 1 SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Harmonic Lightwaves - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 413160 10 2 - -------------------------------------------------------------------------------- (CUSIP Number) Check the following box if a fee is being paid with this statement.[ ] (A fee is not required if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *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) Page 1 of Pages 17 Exhibit Index Contained on Page 15 - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 2 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Kleiner Perkins Caufield & Byers V, L.P., a California Limited Partnership ("KPCB V") 77-0211539 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California Limited Partnership - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER - 0 - NUMBER OF ----------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 6,390 OWNED BY EACH ----------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON - 0 - WITH ----------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,390 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,390 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.06% - -------------------------------------------------------------------------------- 12 TYPE OR REPORTING PERSON* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 3 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON KPCB V Associates, L.P., a California Limited Partnership 77-021138 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California Limited Partnership - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER - 0 - ----------------------------------------------- NUMBER OF 6 SHARED VOTING POWER 6,390 SHARES shares which are directly BENEFICIALLY owned by KPCB V. KPCB V OWNED BY EACH Associates is the general REPORTING partner of KPCB V. PERSON ----------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER - 0 - ----------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,390 shares which are directly owned by KPCB V. KPCB V Associates is the general partner of KPCB V. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,390 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% - -------------------------------------------------------------------------------- 12 TYPE OR REPORTING PERSON* PN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 4 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Thomas J. Perkins - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b)[X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 14 ----------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES - 0 - BENEFICIALLY ----------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER REPORTING 14 PERSON ----------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14 - -------------------------------------------------------------------------------- 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 OR REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 5 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Frank J. Caufield - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 5,718 ----------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 6,390 shares, directly owned by KPCB V. BENEFICIALLY KPCB V Associates is the general OWNED BY EACH partner of KPCB V. Mr. Caufield is a REPORTING general partner of KPCB V Associates. PERSON ----------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 5,718 ----------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,390 shares directly owned by KPCB V. KPCB V Associates is the general partner of KPCB V. Mr. Caufield is a general partner of KPCB V Associates. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 12,108 - -------------------------------------------------------------------------------- 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 OR REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 6 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Brook H. Byers - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 19,509 ----------------------------------------------- NUMBER OF 6 SHARED VOTING POWER 6,390 SHARES shares, directly owned by KPCB BENEFICIALLY V. KPCB V Associates is the OWNED BY EACH general partner of KPCB V. Mr. REPORTING Byers is a general partner of PERSON KPCB V Associates. In WITH addition, Mr. Byers indirectly holds 4,845 shares through trusts. ----------------------------------------------- 7 SOLE DISPOSITIVE POWER 19,509 ----------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,390 shares, directly owned by KPCB V. KPCB V Associates is the general partner of KPCB V. Mr. Byers is a general partner of KPCB V Associates. In addition, Mr. Byers indirectly holds 4,845 shares through trusts. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,744 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% - -------------------------------------------------------------------------------- 12 TYPE OR REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 7 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON L. John Doerr - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 24,342 NUMBER OF --------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 6,390 shares, directly owned by KPCB V. OWNED BY EACH KPCB V Associates is the general REPORTING partner of KPCB V. Mr. Doerr is a PERSON general partner of KPCB V Associates. WITH --------------------------------------------------- 7 SOLE DISPOSITIVE POWER 24,342 --------------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,390 shares, directly owned by KPCB V. KPCB V Associates is the general partner of KPCB V. Mr. Doerr is a general partner of KPCB V Associates. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,732 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% - -------------------------------------------------------------------------------- 12 TYPE OR REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 8 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON E. Floyd Kvamme - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 24,342 ------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 6,390 shares, directly owned by KPCB V. BENEFICIALLY KPCB V Associates is the general OWNED BY EACH partner of KPCB V. Mr. Kvamme is a REPORTING general partner of KPCB V Associates. PERSON ------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 24,342 ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,390 shares, directly owned by KPCB V. KPCB V Associates is the general partner of KPCB V. Mr. Kvamme is a general partner of KPCB V Associates. - ------------------------------------- ------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,732 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% - -------------------------------------------------------------------------------- 12 TYPE OR REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 9 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Regis McKenna - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 34 ----------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES - 0 - BENEFICIALLY ----------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER REPORTING 34 PERSON ----------------------------------------------- WITH 8 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 34 - -------------------------------------------------------------------------------- 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 OR REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 10 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Vinod Khosla - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 15,792 ------------------------------------------ NUMBER OF 6 SHARED VOTING POWER 6,390 SHARES shares, directly owned by KPCB BENEFICIALLY V. KPCB V Associates is the OWNED BY EACH general partner of KPCB V. Mr. REPORTING Khosla is a general partner of PERSON KPCB V Associates. In WITH addition, Mr. Khosla indirectly holds 11,620 shares through a trust. ------------------------------------------ 7 SOLE DISPOSITIVE POWER 15,792 ------------------------------------------ 8 SHARED DISPOSITIVE POWER 6,390 shares, directly owned by KPCB V. KPCB V Associates is the general partner of KPCB V. Mr. Khosla is a general partner of KPCB V Associates. In addition, Mr. Khosla indirectly holds 11,620 shares through a trust. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 33,802 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% - -------------------------------------------------------------------------------- 12 TYPE OR REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! - --------------------------------- ---------------------------- CUSIP NO. 413160 10 2 13G Page 11 of 17 Pages - --------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON James P. Lally - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 14,862 --------------------------------------------------- NUMBER OF 6 SHARED VOTING POWER SHARES 6,390 shares are directly owned by BENEFICIALLY KPCB V. KPCB V Associates is the OWNED BY EACH general partner of KPCB V and Mr. Lally REPORTING is a general partner of KPCB V PERSON Associates. WITH --------------------------------------------------- 7 SOLE DISPOSITIVE POWER 14,862 --------------------------------------------------- 8 SHARED DISPOSITIVE POWER 6,390 shares are directly owned by KPCB V. KPCB V Associates is a general partner of KPCB V and Mr. Lally is the general partner of KPCB V Associates. - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 21,252 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% - -------------------------------------------------------------------------------- 12 TYPE OR REPORTING PERSON* IN - -------------------------------------------------------------------------------- * SEE INSTRUCTIONS BEFORE FILLING OUT! Page 12 of 17 ITEM 1(A). NAME OF ISSUER -------------- Harmonic Lightwaves ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES ----------------------------------------------- 3005 Bunker Hill Lane Santa Clara, CA 95054 ITEM 2(A)-(C). NAME, ADDRESS AND CITIZENSHIP OF PERSONS FILING ----------------------------------------------- This amended statement is being filed by KPCB V Associates, L.P., a California limited partnership ("KPCB V Associates") whose principal business address is 2750 Sand Hill Road, Menlo Park, California 94025. The names, business addresses and citizenships of all the general partners of KPCB V Associates are set forth on Exhibit B hereto. Brook H. Byers, L. John Doerr, Frank J. Caufield, E. Floyd Kvamme and Vinod Khosla are each general partners of KPCB IV Associates, L.P., a California limited parnership ("KPCB IV Associates"). KPCB V Associates is a general partner to Kleiner Perkins Caufield & Byers V, a California limited partnership ("KPCB V"). KPCB IV Associates is general partner to KPCB Zaibatsu Fund I, L.P., a California limited partnership ("KPCB ZFI"), which no longer holds any shares of the Issuer. With respect to KPCB V Associates and the general partners of KPCB V Associates, this statement relates only to KPCB V Associates' indirect, beneficial ownership of shares of Common Stock of Harmonic Lightwaves held directly by KPCB V (the "Shares") and, with respect to each individual general partner, to the extent applicable, each individual general partner's interest in the shares over which he has sole voting and dispositive control. The Shares are held directly by KPCB V. Management of the business affairs of KPCB V Associates, including decisions respecting disposition and/or voting of the Shares, is by majority decision of the general partners of KPCB V Associates listed on Exhibit B hereto. ITEM 2(D) AND (E). TITLE OF CLASS OF SECURITIES AND CUSIP NUMBER --------------------------------------------- Common Stock CUSIP # 413160 10 2 ITEM 3. Not Applicable -------------- ITEM 4. OWNERSHIP --------- Please see Item 5 hereof. Page 13 of 17 ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS. --------------------------------------------- This amended statement is being filed to report the fact that each reporting person has ceased to be the beneficial owner of more than five percent of the Common Stock of Harmonic Lightwaves. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ------------------------------------------------ ANOTHER PERSON. --------------- Not applicable for any reporting party because the shares owned as of 12/31/96 do not exceed five percent of Harmonic Lightwaves' outstanding shares. Please see Item 5 hereof. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY --------------------------------------------------- WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY ------------------------------------------------ THE PARENT HOLDING COMPANY. --------------------------- Not applicable. ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. ---------------------------------------------------------- Not applicable. ITEM 9. NOTICE OF DISSOLUTION OF GROUP. ------------------------------- Not applicable. ITEM 10. CERTIFICATION. -------------- Not applicable. Page 14 of 17 SIGNATURES ---------- 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 13, 1997 KPCB V ASSOCIATES, L.P., A CALIFORNIA LIMITED PARTNERSHIP By: ------------------------------------- A General Partner KLEINER PERKINS CAUFIELD & BYERS V, L.P., A CALIFORNIA LIMITED PARTNERSHIP By KPCB V Associates, L.P., a California Limited Partnership, its General Partner By: ------------------------------------- A General Partner BROOK H. BYERS E. FLOYD KVAMME L. JOHN DOERR FRANK J. CAUFIELD JAMES P. LALLY THOMAS J. PERKINS REGIS McKENNA VINOD KHOSLA By: ------------------------------------- Michael S. Curry Attorney-in-Fact Page 15 of 17 EXHIBIT INDEX ------------- Found on Sequentially Exhibit Numbered Page - ------- ------------- Exhibit A: Agreement of Joint Filing 16 Exhibit B: List of General Partners of KPCB V Associates 17 Page 16 of 17 EXHIBIT A --------- Agreement of Joint Filing ------------------------- The undersigned hereby agree that they are filing jointly pursuant to Rule 13d-1 of the Act the amended statement dated February 13, 1997, containing the information required by Schedule 13G, for the 6,390 Shares of the Common Stock of Harmonic Lightwaves held by Kleiner Perkins Caufield & Byers V, a California Limited Partnership ("KPCB V") and, with respect to each individual general partner, to the extent applicable, each individual general partner's interest in the shares over which he has sole voting and dispositive control. Each individual general partner disclaims beneficial ownership of shares of Harmonic Lightwaves Common Stock held directly by KPCB V. Date: February 13, 1997 KPCB V ASSOCIATES, L.P. A CALIFORNIA LIMITED PARTNERSHIP By: --------------------------------------------- A General Partner KLEINER PERKINS CAUFIELD & BYERS V, L.P., A CALIFORNIA LIMITED PARTNERSHIP By KPCB V Associates, L.P., a California Limited Partnership, its General Partner By: --------------------------------------------- A General Partner BROOK H. BYERS E. FLOYD KVAMME L. JOHN DOERR FRANK J. CAUFIELD JAMES P. LALLY THOMAS J. PERKINS REGIS McKENNA VINOD KHOSLA By: --------------------------------------------- Michael S. Curry Attorney-in-Fact Page 17 of 17 EXHIBIT B --------- General Partners of KPCB V Associates, a California Limited Partnership --------------------------------------------------- Set forth below, with respect to each general partner of KPCB V Associates, is the following: (a) name; (b) business address and (c) citizenship. 1. (a) Frank J. Caufield (b) c/o Kleiner Perkins Caufield & Byers 2750 Sand Hill Road Menlo Park, CA 94025 (c) United States Citizen 2. (a) Brook H. Byers (b) c/o Kleiner Perkins Caufield & Byers 2750 Sand Hill Road Menlo Park, CA 94025 (c) United States Citizen 3. (a) E. Floyd Kvamme (b) c/o Kleiner Perkins Caufield & Byers 2750 Sand Hill Road Menlo Park, CA 94025 (c) United States Citizen 4. (a) L. John Doerr (b) c/o Kleiner Perkins Caufield & Byers 2750 Sand Hill Road Menlo Park, CA 94025 (c) United States Citizen 5. (a) Vinod Khosla (b) c/o Kleiner Perkins Caufield & Byers 2750 Sand Hill Road Menlo Park, CA 94025 (c) United States Citizen 6. (a) James P. Lally (b) c/o Kleiner Perkins Caufield & Byers 2750 Sand Hill Road Menlo Park, CA 94025 (c) United States Citizen -----END PRIVACY-ENHANCED MESSAGE-----