-----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, FlwqVDaZ6r6Zl4QamJpDnYNd/zQpp6m/7WTnGgkHvRQ6AEz/9oyj1gIFrIg2yZgb 6kxK/P3Rn1c1H4m9D3Rhtg== 0001047469-98-006850.txt : 19980220 0001047469-98-006850.hdr.sgml : 19980220 ACCESSION NUMBER: 0001047469-98-006850 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980219 SROS: NONE GROUP MEMBERS: CHUTORIAN MURPHY DOUGLAS 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/A SEC ACT: SEC FILE NUMBER: 005-48997 FILM NUMBER: 98545086 BUSINESS ADDRESS: STREET 1: 1049 KIEL CT CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087470120 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/A BUSINESS ADDRESS: STREET 1: ECLIPSE SURGICAL TECHNOLOGIES INC CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4087470120 SC 13G/A 1 SCHEDULE 13G/A ------------------------------------ OMB APPROVAL ------------------------------------ OMB Number: 3235-0145 Expires: December 31, 1998 Estimated average burden hours per response.............14.90 ------------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G/A Under the Securities Exchange Act of 1934 (Amendment No. 1)* Eclipse Surgical Technologies, Inc. ----------------------------------- (Name of Issuer) Common Stock ----------------------------------- (Title of Class of Securities) 278848104 ----------------------------------- (CUSIP Number) *The remainder of this cover page shall be filled out for a reporting person's initial filing of 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). SEC 1745 (2-95) Page 1 of 8 Pages CUSIP No. 278848 10 4 13G Page 2 of 8 Pages - ------------------------------------------------------------------------------- (1) Names of Reporting Person. S.S. or I.R.S. Identification No. of Above Person Douglas Murphy-Chutorian, M.D. ###-##-#### - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- (5) Sole Voting Power NUMBER OF SHARES 0 BENEFICIALLY -------------------------------------------------- OWNED BY (6) Shared Voting Power EACH REPORTING 1,483,973 shares - But may be deemed to have PERSON WITH shared power to vote a total of 3,697,875 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 additional shares. -------------------------------------------------- (7) Sole Dispositive Power 0 -------------------------------------------------- (8) Shared Dispositive Power 1,483,973 shares - But may be deemed to have shared power to vote a total of 3,697,875 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 additional shares. - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,483,973 shares - But may be deemed to have shared power to vote a total of 3,697,875 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 additional shares. - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* /X/ - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 8.80% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT CUSIP No. 278848 10 4 13G Page 3 of 8 Pages - ------------------------------------------------------------------------------- (1) Names of Reporting Person. S.S. or I.R.S. Identification No. of Above Person Leslie Murphy-Chutorian ###-##-#### - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Canada - ------------------------------------------------------------------------------- (5) Sole Voting Power NUMBER OF SHARES 1,239,822 BENEFICIALLY -------------------------------------------------- OWNED BY (6) Shared Voting Power EACH REPORTING 4,937,697 PERSON WITH -------------------------------------------------- (7) Sole Dispositive Power 1,239,822 -------------------------------------------------- (8) Shared Dispositive Power 4,937,697 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 4,937,697 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 29.29% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT CUSIP No. 278848 10 4 13G Page 4 of 8 Pages - ------------------------------------------------------------------------------- (1) Names of Reporting Person. S.S. or I.R.S. Identification No. of Above Person Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- (5) Sole Voting Power NUMBER OF SHARES 0 BENEFICIALLY -------------------------------------------------- OWNED BY (6) Shared Voting Power EACH REPORTING 3,557,875 PERSON WITH -------------------------------------------------- (7) Sole Dispositive Power 0 -------------------------------------------------- (8) Shared Dispositive Power 3,557,875 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 3,557,875 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 21.11% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* OO - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT CUSIP No. 278848 10 4 Page 5 of 8 Pages APPENDIX TO SCHEDULE 13G DR. DOUGLAS AND LESLIE MURPHY-CHUTORIAN 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 Dr. Douglas Murphy-Chutorian Leslie Murphy-Chutorian 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 Douglas Murphy-Chutorian, M.D. = United States Leslie Murphy-Chutorian = Canada 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 - ------------------------------------------------------------------------------- ITEM 2(e). CUSIP NUMBER 278848 10 4 - ------------------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: (a) / / Broker or Dealer registered under Section 15 of 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 (e) / / Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (g) / / Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) (Note: See Item 7) (h) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(H) CUSIP No. 278848 10 4 Page 6 of 8 Pages ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: Douglas Murphy-Chutorian, M.D. = 1,483,973 Leslie Murphy-Chutorian = 4,937,697 Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable trust = 3,557,875 --------------------------------------------------------------------------- (b) Percent of Class: Douglas Murphy-Chutorian, M.D. = 8.80% Leslie Murphy-Chutorian = 29.29% Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust = 21.11% --------------------------------------------------------------------------- (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. = 1,483,973 shares - But may be deemed to have shared power to vote a total of 3,697,875 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 additional shares. Leslie Murphy-Chutorian = 4,937,697 Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust = 3,557,875 ----------------------------------------------------------------- (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. = 1,483,973 shares - But may be deemed to have shared power to vote a total of 3,697,875 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 additional shares. Leslie Murphy-Chutorian = 4,937,697 Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust = 3,557,875 ----------------------------------------------------------------- 1,343,973 shares are owned by the Murphy-Chutorian Family Trust UDT dated 1-13-97, a revocable living trust (the "Trust") of which Douglas Murphy-Chutorian, M.D. and Leslie Murphy-Chutorian are co-trustees and grantors. 2,213,902 shares are owned by the Trust of which Douglas Murphy-Chutorian, M.D. and Leslie Murphy-Chutorian are co-trustees and grantors. Douglas Murphy-Chutorian disclaims beneficial ownership of such shares. 140,000 shares are owned by the Murphy-Chutorian Family Foundation. ----------------------------------------------------------------- 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. / / N.A. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON N.A. - ------------------------------------------------------------------------------- ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY N.A. - ------------------------------------------------------------------------------- CUSIP No. 278848 10 4 Page 7 of 8 Pages ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP See Exhibit A. - ------------------------------------------------------------------------------- ITEM 9. NOTICE OF DISSOLUTION OF GROUP N.A. - ------------------------------------------------------------------------------- ITEM 10. N.A. 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. February 18, 1998 --------------------------------------------- Date /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 February 18, 1998 --------------------------------------------- Date /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 We agree to file this Schedule 13G together as one filer. February 18, 1998 --------------------------------------------- Date CUSIP No. 278848 10 4 Page 8 of 8 Pages /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 February 18, 1998 --------------------------------------------- Date /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 -----END PRIVACY-ENHANCED MESSAGE-----