-----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, DHD2eK+e5leFt1quXzEKWwHZ6l+T5hzpDtrGGT04KEljt3t1qgGOCxe2SXZEY5qI 0ZvRb3q2grviPb5QYMjfZA== 0000912057-01-005727.txt : 20010223 0000912057-01-005727.hdr.sgml : 20010223 ACCESSION NUMBER: 0000912057-01-005727 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010214 GROUP MEMBERS: SIERRA VENTURES IV LP GROUP MEMBERS: SV ASSOCIATES IV, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HEARTPORT INC CENTRAL INDEX KEY: 0001009871 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 943222307 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-50069 FILM NUMBER: 1544241 BUSINESS ADDRESS: STREET 1: 700 BAY ROAD DR CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 4153067900 MAIL ADDRESS: STREET 1: 200 CHESAPEAKE DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SIERRA VENTURES IV LP CENTRAL INDEX KEY: 0000877061 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943137106 STATE OF INCORPORATION: CA FISCAL YEAR END: 1221 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3000 SAND HILL RD BLDG FOUR STE 210 CITY: MENLO PARK STATE: CA ZIP: 94025 MAIL ADDRESS: STREET 1: 3000 SAND HILL RD BLDG FOUR STE 210 CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13G/A 1 a2037847zsc13ga.txt 13G/A 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) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (AMENDMENT NO. 1)(1) HEARTPORT, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 421969106 ---------------------------------- (CUSIP Number) - -------------------------------------------------------------------------------- (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) - ---------------------- (1) 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). CUSIP NO. 421969 10 6 13G Page 2 of 9 Pages - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of above persons SIERRA VENTURES IV, L.P., A CALIFORNIA LIMITED PARTNERSHIP ("SIERRA IV") 94-3137106 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) /X/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization CALIFORNIA LIMITED PARTNERSHIP - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially -0- Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 1,199,394 -------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------- (8) Shared Dispositive Power 1,199,394 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,199,394 - ------------------------------------------------------------------------------- (10) Check / / if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row 9 4.6% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) PN - ------------------------------------------------------------------------------- CUSIP NO. 421969 10 6 13G Page 3 of 9 Pages - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of above persons SV ASSOCIATES IV, L.P., A CALIFORNIA LIMITED PARTNERSHIP ("SV ASSOCIATES") 94-3137105 - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instructions) (b) /X/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization CALIFORNIA LIMITED PARTNERSHIP - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Power Beneficially -0- Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Power Person With: 1,250,199 SHARES OF WHICH 1,199,394 SHARES ARE DIRECTLY OWNED BY SIERRA IV AND 50,805 SHARES ARE DIRECTLY OWNED BY SIERRA VENTURES IV INTERNATIONAL, A DELAWARE LIMITED PARTNERSHIP ("SIERRA IV INTERNATIONAL"). SV ASSOCIATES IS THE GENERAL PARTNER OF SIERRA IV AND SIERRA IV INTERNATIONAL. -------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------- (8) Shared Dispositive Power 1,250,199 SHARES OF WHICH 1,199,394 SHARES ARE DIRECTLY OWNED BY SIERRA IV AND 50,805 SHARES ARE DIRECTLY OWNED BY SIERRA VENTURES IV INTERNATIONAL. SV ASSOCIATES IS THE GENERAL PARTNER OF SIERRA IV AND SIERRA IV INTERNATIONAL. - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,250,199 - ------------------------------------------------------------------------------- (10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 4.7% - ------------------------------------------------------------------------------- (12) Type of Reporting Person (See Instructions) PN - ------------------------------------------------------------------------------- ITEM 1. (a) Name of Issuer Heartport, Inc. --------------------------------------------------------------------- (b) Address of Issuer's Principal Executive Offices 200 Chesapeake Drive Redwood City, California 94063 --------------------------------------------------------------------- ITEM 2. (a) - (c) Name of Person Filing; Address of Principal Business Office or, if none, Residence; Citizenship This amended statement is being filed by SV Associates IV, L.P., a California Limited Partnership ("SV Associates") whose principal business address is 3000 Sand Hill Road, Building Four, Suite 210, Menlo Park, California 94025. SV Associates is general partner to Sierra Ventures IV, L.P., a California Limited Partnership ("Sierra IV") and Sierra Ventures IV International, L.P., a Delaware Limited Partnership ("Sierra IV International"). With respect to SV Associates, this statement relates only to SV Associates' indirect, beneficial ownership of shares of Common Stock of Heartport, Inc. (the "Shares"). The Shares are held directly by Sierra IV and Sierra IV International. Management of the business affairs of SV Associates, including decisions respecting disposition and/or voting of the Shares, is by majority decision of the general partners of SV Associates listed on Exhibit B hereto. Each individual general partner disclaims beneficial ownership of the Shares. --------------------------------------------------------------------- (d) Title of Class of Securities Common Stock --------------------------------------------------------------------- (e) CUSIP Number 421969 10 6 --------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: Not applicable. ITEM 4. OWNERSHIP See Rows 5-11 of cover pages. 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 each reporting person has ceased to be the beneficial owner of more than five percent (5%) of the Common Stock of Heartport, Inc. 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. ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not applicable. ITEM 10. CERTIFICATION Not applicable. 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. February 14, 2001 SV ASSOCIATES IV, L.P. By: /s/ Martha A. Clarke Adamson ---------------------------------------- Martha A. Clarke Adamson Chief Financial Officer SIERRA VENTURES IV, L.P., A CALIFORNIA LIMITED PARTNERSHIP By SV Associates IV, L.P., its General Partner By: /s/ Martha A. Clarke Adamson ---------------------------------------- Martha A. Clarke Adamson Chief Financial Officer EXHIBIT INDEX
Found on Sequentially Exhibit Numbered Page ------- ------------- Exhibit A: Agreement of Joint Filing 8 Exhibit B: List of General Partners of SV Associates IV, L.P. 9
EXHIBIT 99.1A EXHIBIT A AGREEMENT OF JOINT FILING The undersigned hereby agree that they are filing jointly pursuant to Rule 13d-1 of the Act the statement dated February 14, 2001, containing the information required by Schedule 13G, for the 1,250,199 Shares of the Common Stock of Heartport, Inc. held by Sierra Ventures IV, L.P., a California Limited Partnership, and Sierra IV International, L.P., a Delaware Limited Partnership. February 14, 2001 SV ASSOCIATES IV, L.P. By: /s/ Martha A. Clarke Adamson ---------------------------------------- Martha A. Clarke Adamson Chief Financial Officer SIERRA VENTURES IV, L.P., A CALIFORNIA LIMITED PARTNERSHIP By SV Associates IV, L.P., its General Partner By: /s/ Martha A. Clarke Adamson ---------------------------------------- Martha A. Clarke Adamson Chief Financial Officer EXHIBIT 99.1B EXHIBIT B GENERAL PARTNERS OF SV ASSOCIATES IV, L.P. Set forth below, with respect to each general partners of SV Associates IV, L.P. is the following: (a) name; (b) business address and (c) citizenship. 1. (a) Peter C. Wendell (b) c/o Sierra Ventures 3000 Sand Hill Road Building Four, Suite 210 Menlo Park, CA 94025 (c) United States Citizen 2. (a) Jeffrey M. Drazan (b) c/o Sierra Ventures 3000 Sand Hill Road Building Four, Suite 210 Menlo Park, CA 94025 (c) United States Citizen -----END PRIVACY-ENHANCED MESSAGE-----