-----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, Od2gRh5tY109o7WR570rB/YMyDF7zTe0SrSuW7A2cXT11MLytudjbgbT87KgBY/n Is8Fc9PtuSUoFHMEwiAegw== 0000891618-00-000894.txt : 20000215 0000891618-00-000894.hdr.sgml : 20000215 ACCESSION NUMBER: 0000891618-00-000894 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 GROUP MEMBERS: CHUTORIAN MURPHY DOUGLAS M D GROUP MEMBERS: DOUGLAS MURPHY-CHUTORIAN, M.D. GROUP MEMBERS: LESLIE MURPHY-CHUTORIAN GROUP MEMBERS: MURPHY-CHUTORIAN FAMILY TRUST UDT DATED 1-13-97 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ECLIPSE SURGICAL TECHNOLOGIES INC CENTRAL INDEX KEY: 0000863680 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 770223740 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48997 FILM NUMBER: 541400 BUSINESS ADDRESS: STREET 1: 1049 KIEL COURT CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4085482100 MAIL ADDRESS: STREET 1: 1049 KIEL COURT CITY: SUNNYVALE STATE: CA ZIP: 94089 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CHUTORIAN MURPHY DOUGLAS M D CENTRAL INDEX KEY: 0001033346 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ECLIPSE SURGICAL TECHNOLOGIES INC CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087470120 SC 13G 1 SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2) ECLIPSE SURGICAL TECHNOLOGIES, INC. ----------------------------------- (Name of Issuer) COMMON STOCK ------------ (Title of Class of Securities) 278848 10 4 ----------- (CUSIP Number) December 31, 1999 ----------------- (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 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 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 10 Pages 2 SCHEDULE 13G - --------------------- ------------------ CUSIP NO. 278848 10 4 Page 2 of 10 Pages - --------------------- ------------------ - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Douglas Murphy-Chutorian, M.D. ###-##-#### - -------------------------------------------------------------------------------- (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 NUMBER OF - 0 - SHARES -------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 2,968,375 shares - Dr. Murphy-Chutorian EACH may be deemed to have shared power to vote REPORTING these by reason of being co-trustee of the PERSON WITH Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust (the "Trust") with his spouse, Leslie Murphy-Chutorian, each of whom is the beneficial owner of shares of the Trust. Mr. Murphy-Chutorian expressly disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. -------------------------------------------------- (7) SOLE DISPOSITIVE POWER - 0 - -------------------------------------------------- (8) SHARED DISPOSITIVE POWER 2,968,375 shares - Dr. Murphy-Chutorian may be deemed to have shared power to vote these by reason of being co-trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust (the "Trust") with his spouse, Leslie Murphy-Chutorian, each of whom is the beneficial owner of shares of the Trust. Mr. Murphy-Chutorian expressly disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,968,375 shares - Dr. Murphy-Chutorian may be deemed to have shared power to vote these by reason of being co-trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust (the "Trust") with his spouse, Leslie Murphy-Chutorian, each of whom is the beneficial owner of shares of the Trust. Mr. Murphy-Chutorian expressly disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein. - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See instructions) [ ] - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.0% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (See instructions) IN - -------------------------------------------------------------------------------- 3 SCHEDULE 13G - --------------------- ------------------ CUSIP NO. 278848 10 4 Page 3 of 10 Pages - --------------------- ------------------ - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Leslie Murphy-Chutorian ###-##-#### - -------------------------------------------------------------------------------- (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 Canada - -------------------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 1,239,822 SHARES -------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 2,968,375 shares - Ms. Murphy-Chutorian EACH may be deemed to have shared power to vote REPORTING these by reason of being co-trustee of the PERSON Murphy-Chutorian Family Trust UDT dated WITH 1-13-97, a revocable living trust (the "Trust") with her spouse, Douglas Murphy-Chutorian, MD, each of whom is the beneficial owner of shares of the Trust. Ms. Murphy-Chutorian expressly disclaims beneficial ownership except to the extent of her pecuniary interest therein. -------------------------------------------------- (7) SOLE DISPOSITIVE POWER 1,239,822 -------------------------------------------------- (8) SHARED DISPOSITIVE POWER 2,968,375 shares - Ms. Murphy-Chutorian may be deemed to have shared power to vote these by reason of being co-trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust (the "Trust") with her spouse, Douglas Murphy-Chutorian, MD, each of whom is the beneficial owner of shares of the Trust. Ms. Murphy-Chutorian expressly disclaims beneficial ownership except to the extent of her pecuniary interest therein. -------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 4,208,197 - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See instructions) [ ] - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 14.3% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (See instructions) IN - -------------------------------------------------------------------------------- 4 SCHEDULE 13G - --------------------- ------------------ CUSIP NO. 278848 10 4 Page 4 of 10 Pages - --------------------- ------------------ - -------------------------------------------------------------------------------- (1) NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust - -------------------------------------------------------------------------------- (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 (6) SHARED VOTING POWER SHARES 2,968,375 BENEFICIALLY -------------------------------------------------- OWNED BY (7) SOLE DISPOSITIVE POWER EACH - 0 - REPORTING -------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 2,968,375 - -------------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,968,375 - -------------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See instructions) [ ] - -------------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 10.0% - -------------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON (See instructions) OO - -------------------------------------------------------------------------------- 5 This Amendment No. 2 is filed pursuant to Rules 13d-1(d) and 13d-2(b) under the Securities Exchange Act of 1934, as amended (the "Act"), and amends the Statement on Schedule 13G filed February 14, 1997, and Amendment No. 1 thereto filed February 19, 1998, with respect to the Common Stock of Eclipse Surgical Technologies, Inc., a corporation organized under the laws of the California (the "Company"), owned by (i) Douglas Murphy-Chutorian, an individual, Leslie Murphy-Chutorian, an individual and the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust. All information contained in this Amendment No. 2 regarding beneficial ownership of shares of the Company is as of December 31, 1999. Item 1(a): Name of Issuer Eclipse Surgical Technologies, Inc. Item 1(b): Address of Issuer's Principal Executive Offices 1049 Kiel Court Sunnyvale, CA 94089 Item 2(a): Names of Persons Filing Dr. Douglas Murphy-Chutorian Leslie Murphy-Chutorian The Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable trust Item 2(b): Address of Principal Business Office or, if none, Residence 1049 Kiel Court Sunnyvale, CA 94089 Item 2(c): Citizenship or Place of Organization Douglas Murphy-Chutorian, M.D. = United States Leslie Murphy-Chutorian = Canada The Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust = United States Item 2(d): Title of Class of Securities: Common Stock of the Company. 5 6 Item 2(e): CUSIP Number 278848 10 4 Item 3: Not applicable. Item 4: Ownership (a) Amount Beneficially Owned: Douglas Murphy-Chutorian, M.D. = 2,968,375; Leslie Murphy-Chutorian = 4,208,197; Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable trust = 2,968,375 (b) Percent of Class: Douglas Murphy-Chutorian, M.D. = 10.0%; Leslie Murphy-Chutorian = 14.3%; Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust = 10.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: Douglas Murphy-Chutorian, M.D. = 0; Leslie Murphy-Chutorian = 1,239,822 held as custodian for Murphy-Chutorian children; Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust = 0 (ii) shared power to vote or to direct the vote: Douglas Murphy-Chutorian, M.D. = may be deemed to have shared power to vote a total of 2,968,375 shares by reason of being co-trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust (the "Trust") with his spouse, Leslie Murphy-Chutorian, each of whom is the beneficial owner of shares of the Trust. Mr. Murphy-Chutorian expressly disclaims beneficial ownership of such shares, except to the extent of his own pecuniary interest therein; Leslie Murphy-Chutorian = 4,208,197 shares by reason of being co-trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust (the "Trust") with her spouse, Douglas Murphy-Chutorian, each of whom is the beneficial owner of shares of the Trust. Ms. Murphy-Chutorian expressly disclaims beneficial ownership of such shares, except to the extent of her own pecuniary interest therein; Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust = 2,968,375 6 7 (iii) sole power to dispose or to direct the disposition of: Douglas Murphy-Chutorian, M.D. = 0; Leslie Murphy-Chutorian = 1,239,822 held as custodian for Murphy-Chutorian children; Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust = 0 (iv) shared power to dispose or to direct the disposition of: Douglas Murphy-Chutorian, M.D. = may be deemed to have shared power to vote a total of 2,968,375 shares by reason of being co-trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust (the "Trust") with his spouse, Leslie Murphy-Chutorian, each of whom is the beneficial owner of shares of the Trust. Mr. Murphy-Chutorian expressly disclaims beneficial ownership of such shares, except to the extent of his own pecuniary interest therein; Leslie Murphy-Chutorian = 4,208,197 shares by reason of being co-trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust (the "Trust") with her spouse, Douglas Murphy-Chutorian, each of whom is the beneficial owner of shares of the Trust. Ms. Murphy-Chutorian expressly disclaims beneficial ownership of such shares, except to the extent of her own pecuniary interest therein; Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust = 2,968,375. 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 No person, other than the filing persons, is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities subject to this Schedule 13G. 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. 7 8 Item 9: Notice of Dissolution of Group Not applicable. 8 9 Item 10: 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 11, 2000 /s/ Douglas Murphy-Chutorian, M.D. --------------------------------------------- Signature Douglas Murphy-Chutorian, M.D., in his individual capacity, and in his capacity as trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust --------------------------------------------- Name/Title Date: February 11, 2000 /s/ Leslie Murphy-Chutorian --------------------------------------------- Signature Leslie Murphy-Chutorian, in her individual capacity, and in her capacity as trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust --------------------------------------------- Name/Title 9 10 We agree to file this Schedule 13G together as one filer. Date: February 11, 2000 /s/ Douglas Murphy-Chutorian, M.D. --------------------------------------------- Signature Douglas Murphy-Chutorian, M.D. in his individual capacity, and in his capacity as trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust --------------------------------------------- Name/Title Date: February 11, 2000 /s/ Leslie Murphy-Chutorian --------------------------------------------- Signature Leslie Murphy-Chutorian, in her individual capacity, and in her capacity as trustee of the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust -------------------------------------------- Name/Title -10- -----END PRIVACY-ENHANCED MESSAGE-----