-----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, WxuBXp+PNl2PupKV+KwZ4noEhXjuETqqnGtnPELc/+Ms0ikWB8TGydPawQWjMPxu EVQuajQ7yF9EWVMrC4M99w== 0000950005-00-000198.txt : 20000214 0000950005-00-000198.hdr.sgml : 20000214 ACCESSION NUMBER: 0000950005-00-000198 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000211 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: 535760 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: VANGUARD IV L P CENTRAL INDEX KEY: 0001016735 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 600 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 4153212900 MAIL ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 600 CITY: PALO ALTO STATE: CA ZIP: 94301 SC 13G 1 FORM SC 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Schedule 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1 (b), (c) AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2 (b) (Amendment No._______)* Eclipse Surgical Technologies, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 14159K 10 5 - -------------------------------------------------------------------------------- (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 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 12 Pages Exhibit Index on page 11
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 14159K105 13 G Page 2 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON See Item 2 for identification of General Partner I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Vanguard IV, L.P. ("Vanguard IV") Tax ID Number: 77-0316839 - ------------ --------------------------------------------------------------------------------------------------------- 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 - ------------ --------------------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY 1,177,818 shares, except that Vanguard Venture Partners, L.P. ("VVP"), OWNED BY EACH the general partner of Vanguard IV, may be deemed to have sole power REPORTING to vote these shares, and Gill, Myers and Higgerson the general PERSON partners of VVP may be deemed to have shared power to vote these WITH shares. -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER See response to row 5. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 1,177,818 shares, except that Vanguard Venture Partners, L.P. ("VVP"), the general partner of Vanguard IV, may be deemed to have sole power to dispose of these shares, and Gill, Myers and Higgerson the general partners of VVP may be deemed to have shared power to dispose of these shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,177,818 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.0% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 14159K105 13 G Page 3 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Vanguard Venture Partners, L.P. ("VVP") Tax ID Number: 77-0316838 - ------------ --------------------------------------------------------------------------------------------------------- 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 - ------------ --------------------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY 1,177,818 shares, all of which are directly owned by Vanguard IV. OWNED BY EACH VVP, the general partner of Vanguard IV, may be deemed to have sole REPORTING power to vote these shares. Gill, Myers and Higgerson, the general PERSON partners of VVP, may be deemed to have shared power to vote these WITH shares. -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER See response to row 5. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 1,177,818 shares, all of which are directly owned by Vanguard IV. VVP, the general partner of Vanguard IV, may be deemed to have sole power to dispose of these shares. Gill, Myers and Higgerson, the general partners of VVP, may be deemed to have shared power to dispose of these shares. -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER See response to row 7. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,177,818 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.0% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 14159K105 13 G Page 4 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON See Item 2 for identification of General Partner I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Jack M. Gill ("Gill") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------ --------------------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY 0 shares OWNED BY EACH REPORTING PERSON WITH -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER 1,177,818 shares, all of which are directly owned by Vanguard IV. Gill is a general partner of VVP, the general partner of Vanguard IV, and may be deemed to have shared power to vote these shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 0 shares -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,177,818 shares, all of which are directly owned by Vanguard IV. Gill is a general partner of VVP, the general partner of Vanguard IV, and may be deemed to have shared power to dispose of these shares. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,177,818 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.0% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 14159K105 13 G Page 5 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Curtis K. Myers ("Myers") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------ -------- ------------------------------------------------------------------------ NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY 0 OWNED BY EACH REPORTING PERSON WITH -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER 1,177,818 shares, all of which are directly owned by Vanguard IV. Myers is a general partner of VVP, the general partner of Vanguard IV, and may be deemed to have shared power to vote these shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 0 -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,177,818 shares, all of which are directly owned by Vanguard IV. Myers is a general partner of VVP, the general partner of Vanguard IV, and may be deemed to have shared power to dispose of these shares. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,177,818 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.0% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ ---------------------------------------------------------------------------------------------------------
- ---------------------------------------------------------- -------------------------------------- CUSIP NO. 14159K105 13 G Page 6 of 12 Pages - ---------------------------------------------------------- -------------------------------------- - ------------ --------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Clifford H. Higgerson ("Higgerson") Tax ID Number: - ------------ --------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [X] - ------------ --------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------ --------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S. Citizen - ------------------------------------ -------- ------------------------------------------------------------------------ NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY 0 OWNED BY EACH REPORTING PERSON WITH -------- ------------------------------------------------------------------------ 6 SHARED VOTING POWER 1,177,818 shares, all of which are directly owned by Vanguard IV. Higgerson is a general partner of VVP, the general partner of Vanguard IV, and may be deemed to have shared power to vote these shares. -------- ------------------------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 0 -------- ------------------------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 1,177,818 shares, all of which are directly owned by Vanguard IV. Higgerson is a general partner of VVP, the general partner of Vanguard IV, and may be deemed to have shared power to dispose of these shares. - ------------------------------------ -------- ------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,177,818 - ------------ --------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - ------------ --------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.0% - ------------ --------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------ ---------------------------------------------------------------------------------------------------------
- ------------------------------------ -------------------------- CUSIP NO. 14159K105 13 G Page 7 of 12 Pages - ------------------------------------ -------------------------- 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). NAME OF PERSON FILING: This statement is filed by Vanguard Associates IV, L.P., a Delaware limited partnership, ("Vanguard IV"), Vanguard Venture Partners, L.P., a Delaware limited partnership, ("VVP"), and Jack M. Gill ("Gill"), Curtis K. Myers ("Myers"), and Clifford H. Higgerson ("Higgerson"), the general partners of VVP. The foregoing entities and individuals are collectively referred to as the "Reporting Persons". VVP is the general partner of Vanguard IV, and may be deemed to have sole power to vote and sole power to dispose of shares of the issuer directly owned by Vanguard IV. Gill, Myers and Higgerson are the general partners of VVP, and may be deemed to have shared power to vote and shared power to dispose of the shares of issuer directly owned by VVP. ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE: The address of the principal business office for each of the Reporting Persons is: Vanguard Venture Partners 525 University Avenue, Suite 600 Palo Alto, California 94301 ITEM 2(c) CITIZENSHIP: Vanguard IV and VVP are Delaware limited partnerships. Gill, Myers and Higgerson are United States citizens. ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock ITEM 2(e). CUSIP NUMBER: 14159K 10 5 ITEM 3. Not Applicable ITEM 4. OWNERSHIP: The following information with respect to the ownership of the Common Stock of the issuer by the persons filing this Statement is provided as of December 31, 1999: ITEM 1. (a) Amount beneficially owned: See Row 9 of cover page for each Reporting Person. ITEM 2. (b) Percent of Class: See Row 11 of cover page for each Reporting Person. ITEM 3. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: See Row 5 of cover page for each Reporting Person. (ii) Shared power to vote or to direct the vote: See Row 6 of cover page for each Reporting Person. (iii) Sole power to dispose or to direct the disposition of: See Row 7 of cover page for each Reporting Person. (iv) Shared power to dispose or to direct the disposition of: See Row 8 of cover page for each Reporting Person. - ------------------------------------ -------------------------- CUSIP NO. 14159K105 13 G Page 9 of 12 Pages - ------------------------------------ -------------------------- 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: [ ] Yes ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON: Under certain circumstances set forth in the limited partnership agreements of Vanguard IV and VVP, the general and limited partners, as the case may be, of each of such entities may be deemed to have the right to receive dividends from, or the proceeds from, the sale of shares of the issuer owned by each such entity of which they are a partner. 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 - ------------------------------------ -------------------------- CUSIP NO. 14159K105 13 G Page 10 of 12 Pages - ------------------------------------ -------------------------- 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 10, 2000 VANGUARD IV, a Delaware Limited Partnership By: /s/ Clifford H. Higgerson -------------------------------------------- Clifford H. Higgerson Authorized Signatory Vanguard Venture Partners, a Delaware Limited Partnership By: /s/ Clifford H. Higgerson -------------------------------------------- Clifford H. Higgerson Authorized Signatory Jack M. Gill By: /s/ Jack M. Gill -------------------------------------------- Jack M. Gill Curtis K. Myers By: /s/ Curtis K Myers -------------------------------------------- Curtis K. Myers Clifford H. Higgerson By: /s/ Clifford H. Higgerson -------------------------------------------- Clifford H. Higgerson - ------------------------------------ -------------------------- CUSIP NO. 14159K105 13 G Page 11 of 12 Pages - ------------------------------------ -------------------------- EXHIBIT INDEX Found on Sequentially Exhibit Numbered Page - ------- ------------- Exhibit A: Agreement of Joint Filing 12 - ------------------------------------ -------------------------- CUSIP NO. 14159K105 13 G Page 12 of 12 Pages - ------------------------------------ -------------------------- EXHIBIT A Agreement of Joint Filing The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of Eclipse Surgical Technologies, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Date: February 10, 2000 February 10, 2000 VANGUARD IV, a Delaware Limited Partnership By: /s/ Clifford H. Higgerson ------------------------------------------- Clifford H. Higgerson Authorized Signatory February 10, 2000 Vanguard Venture Partners, a Delaware Limited Partnership By: /s/ Clifford H. Higgerson ------------------------------------------- Clifford H. Higgerson Authorized Signatory February 10, 2000 Jack M. Gill By: /s/ Jack M. Gill ------------------------------------------- Jack M. Gill February 10, 2000 Curtis K. Myers By: /s/ Curtis K Myers ------------------------------------------- Curtis K. Myers February 10, 2000 Clifford H. Higgerson By: /s/ Clifford H. Higgerson ------------------------------------------- Clifford H. Higgerson -----END PRIVACY-ENHANCED MESSAGE-----