-----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, PDoyjWHaJEtjjCwVgnS09SeiN0p3HTfWDxYNZh4fuh2+0/s7Q5/2Wxwd7PpJhSlp SorNL0EIzD8qKFDmdyFadA== 0000950135-97-000561.txt : 19970222 0000950135-97-000561.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950135-97-000561 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19970213 SROS: NASD GROUP MEMBERS: GREYLOCK VENTURES LIMITED PARTNERSHIP GROUP MEMBERS: HENRY F. MCCANCE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CELERITEK INC/CA CENTRAL INDEX KEY: 0000919583 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 770057484 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48009 FILM NUMBER: 97530043 BUSINESS ADDRESS: STREET 1: 3236 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089865060 MAIL ADDRESS: STREET 1: 3236 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95054 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GREYLOCK VENTURES LIMITED PARTNERSHIP CENTRAL INDEX KEY: 0000902029 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 042787635 STATE OF INCORPORATION: MA FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE FEDERAL ST CITY: BOSTON STATE: MA ZIP: 02110-2065 BUSINESS PHONE: 6174235525 MAIL ADDRESS: STREET 1: ONE FEDERAL ST CITY: BOSTON STATE: MA ZIP: 02110-2065 SC 13G/A 1 GREYLOCK VENTURES L.P. AMENDMENT NO. 1 TO SC 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1) * Celeritek, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, no par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 150926 10 3 ------------------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement [ ]. (A fee is not required only 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 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). 2 - ------------------------- --------------------- CUSIP No. 150926 10 3 13G Page 2 OF 8 Pages ----------- --- --- - ------------------------- --------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Greylock Ventures Limited Partnership - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF - 0 - SHARES ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH - 0 - REPORTING ------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH - 0 - ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - 0 - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 - ------------------------- --------------------- CUSIP No. 150926 10 3 13G Page 3 OF 8 Pages ----------- --- --- - ------------------------- --------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Henry F. McCance - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF -55,272- SHARES ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH - 0 - REPORTING ------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH -55,272- ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -55,272- - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.8% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4 Item 1. (a) Name of Issuer: -------------- Celeritek, Inc. (b) Address of Issuer's Principal Executive Office: ---------------------------------------------- 3236 Scott Boulevard Santa Clara, CA 95054 Item 2. (a) Name of Person Filing: --------------------- Greylock Ventures Limited Partnership ("GVLP") and Henry F. McCance, the Managing General Partner of GVLP (the "Managing General Partner"). (b) Address of Principal Business Office or, if none, Residence: ----------------------------------------------------------- The address of the reporting persons is: One Federal Street Boston, Massachusetts 02110 (c) Citizenship: ----------- GVLP is a limited partnership organized under the laws of the Commonwealth of Massachusetts. The Managing General Partner is a citizen of the United States. (d) Title of Class of Securities: ---------------------------- Common Stock, no par value (the "Common Stock"). (e) CUSIP Number: ------------ 150926 10 3 Item 3. Description of Person Filing: ----------------------------- Not applicable. Page 4 of 8 pages 5 Item 4. Ownership(1): ------------ (a) Amount Beneficially Owned: ------------------------- GVLP does not beneficially own any shares of Common Stock. Mr. McCance may be deemed to beneficially own 55,272 shares of Common Stock. (b) Percent of Class: ---------------- GVLP: 0% Mr. McCance: 0.8% (c) Number of shares as to which person has: --------------------------------------- (i) sole voting power; (ii) shared voting power; (iii) sole dispositive power; (iv) shared dispositive power: GVLP does not have any power to vote or dispose of any shares of Common Stock. Mr. McCance may be deemed to have sole power to vote and dispose of 55,272 shares of Common Stock. Item 5. Ownership of Five Percent or Less of a Class: -------------------------------------------- This statement is being filed to report the fact that as of the date hereof the reporting persons have ceased to be beneficial owners of more than five percent of the class of securities. 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: --------------------------------------------------------- Not applicable. - -------- (1) As of December 31, 1996. Page 5 of 8 pages 6 Item 9. Notice of Dissolution of Group: ------------------------------ Not applicable. Item 10. Certification: ------------- Not applicable. Page 6 of 8 pages 7 SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of each of the undersigned, each of the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. DATED: February 12, 1997 GREYLOCK VENTURES LIMITED PARTNERSHIP By: /s/ Henry F. McCance ----------------------------- Henry F. McCance Managing General Partner /s/ Henry F. McCance ----------------------------- Henry F. McCance Page 7 of 8 pages EX-1 2 AGREEMENT TO JOINT FILING 1 EXHIBIT 1 --------- AGREEMENT Pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of the shares of Common Stock of Celeritek, Inc. EXECUTED as a sealed instrument this 12th day of February, 1997. GREYLOCK VENTURES LIMITED PARTNERSHIP By: /s/ Henry F. McCance --------------------------------- Henry F. McCance Managing General Partner /s/ Henry F. McCance --------------------------------- Henry F. McCance Page 8 of 8 pages EX-2 3 SC 13G FILED FEBRUARY 14, 1996 1 Exhibit 2 --------- Previously filed with the Securities and Exchange Commission on February 14, 1996 ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-0145 Expires: October 31, 1997 Estimated average burden hours per response.. 14.90 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.___) * Celeritek, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, no par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 150926 10 3 ------------------------------ (CUSIP Number) Check the following box if a fee is being paid with this statement [X]. (A fee is not required only 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 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). 2 - ------------------------- --------------------- CUSIP No. 150926 10 3 13G PAGE 2 OF 8 PAGES ----------- --- --- - ------------------------- --------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Greylock Ventures Limited Partnership - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF - 817,453 - SHARES ------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH - 0 - REPORTING ------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH - 817,453 - ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - 817,453 - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 12.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 3 - ------------------------- --------------------- CUSIP No. 150926 10 3 13G PAGE 3 OF 8 PAGES ----------- --- --- - ------------------------- --------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Henry F. McCance - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY - 817,453 - OWNED BY ------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING - 0 - PERSON ------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER - 0 - ------------------------------------------------------- 8 SHARED DISPOSITIVE POWER - 0 - - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON - 817,453 - - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 12.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! 4 Item 1. (a) Name of Issuer: -------------- Celeritek, Inc. (b) Address of Issuer's Principal Executive Office: ---------------------------------------------- 3236 Scott Boulevard Santa Clara, CA 95054 Item 2. (a) Name of Person Filing: --------------------- Greylock Ventures Limited Partnership ("GVLP") (the "Partnership"), and Henry F. McCance, the Managing General Partner of GVLP (the "Managing General Partner"). (b) Address of Principal Business Office or, if none, Residence: ----------------------------------------------------------- The address of the reporting persons is: One Federal Street Boston, Massachusetts 02110 (c) Citizenship: ----------- GVLP is a limited partnership organized under the laws of the Commonwealth of Massachusetts. The Managing General Partner is a citizen of the United States. (d) Title of Class of Securities: ---------------------------- Common Stock, no par value (the "Common Stock"). (e) CUSIP Number: ------------ 150926 10 3 Item 3. Description of Person Filing: ---------------------------- Not applicable. Page 4 of 8 pages 5 Item 4. Ownership(1): ------------- (a) Amount Beneficially Owned: -------------------------- GVLP is the record holder of 817,453 shares of Common Stock and may be deemed to beneficially own 817,453 shares of Common Stock. Mr. McCance, as Managing General Partner of GVLP, may be deemed to beneficially own 817,453 shares of Common Stock. The filing of this statement shall not be construed as an admission that any of the reporting persons are, for the purpose of Section 13(d) or 13(g) of the Act, the beneficial owners of any securities covered by this statement. (b) Percent of Class: ----------------- GVLP: 12.4% Mr. McCance: 12.4% (c) Number of shares as to which person has: ---------------------------------------- (i) sole voting power; (ii) shared voting power; (iii) sole dispositive power; (iv) shared dispositive power: GVLP may be deemed to have sole power to vote and dispose of 817,453 shares of Common Stock. Mr. McCance, as Managing General Partner of GVLP, may be deemed to share the power to vote 817,453 shares of Common Stock. 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: ---------------------------------------------------------------- Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired ------------------------------------------------------------------ the Security Being Reported on by the Parent Holding Company: ------------------------------------------------------------- Not applicable. - -------- (1) As of December 31, 1995. Page 5 of 8 pages 6 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 6 of 8 pages 7 SIGNATURE After reasonable inquiry and to the best of the knowledge and belief of each of the undersigned, each of the undersigned hereby certifies that the information set forth in this statement is true, complete and correct. Dated: February 13, 1996 GREYLOCK VENTURES LIMITED PARTNERSHIP By: /s/ Henry F. McCance ----------------------------- Henry F. McCance Managing General Partner /s/ Henry F. McCance ----------------------------- Henry F. McCance Page 7 of 8 pages 8 EXHIBIT 1 --------- AGREEMENT Pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934, as amended, the undersigned hereby agree that only one statement containing the information required by Schedule 13G need be filed with respect to the ownership by each of the undersigned of the shares of Common Stock of Celeritek, Inc. EXECUTED as a sealed instrument this 13th day of February, 1996. GREYLOCK VENTURES LIMITED PARTNERSHIP By: /s/ Henry F. McCance --------------------------------- Henry F. McCance Managing General Partner /s/ Henry F. McCance --------------------------------- Henry F. McCance Page 8 of 8 pages -----END PRIVACY-ENHANCED MESSAGE-----