-----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, RE4y/jsnU83GzdM3dKWSGr+Z89BEN7ZubNFjQqRp+0NnVzJNwgm07O8z+vyZbFmA XzmerMYrawiPO/+cdBY5Fg== 0001005477-99-000706.txt : 19990217 0001005477-99-000706.hdr.sgml : 19990217 ACCESSION NUMBER: 0001005477-99-000706 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 GROUP MEMBERS: ANN H. LAMONT GROUP MEMBERS: BANDEL L. CARANO GROUP MEMBERS: EDWARD F. GLASSMEYER GROUP MEMBERS: EILEEN M. MORE GROUP MEMBERS: FREDRIC W. HARMAN GROUP MEMBERS: GERALD R. GALLAGHER GROUP MEMBERS: OAK ASSOCIATES VI, LLC GROUP MEMBERS: OAK INVESTMENT PARTNERS VI, LIMITED PARTNERSHIP GROUP MEMBERS: OAK MANAGEMENT CORP GROUP MEMBERS: OAK MANAGEMENT CORPORATION GROUP MEMBERS: OAK VI AFFILIATES FUND, LIMITED PARTNERSHIP GROUP MEMBERS: OAK VI AFFILIATES, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HEARTSTREAM INC/DE CENTRAL INDEX KEY: 0001004313 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 911577477 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49541 FILM NUMBER: 99542690 BUSINESS ADDRESS: STREET 1: 2401 FOURTH AVENUE STREET 2: STE 300 CITY: SEATTLE STATE: WA ZIP: 98121 BUSINESS PHONE: 2064437630 MAIL ADDRESS: STREET 1: 2401 4TH AVENUE STE 300 CITY: SEATTLE STATE: WA ZIP: 98121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: OAK MANAGEMENT CORP CENTRAL INDEX KEY: 0001030818 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 BUSINESS PHONE: 2032268346 MAIL ADDRESS: STREET 1: ONE GORHAM ISLAND CITY: WESTPORT STATE: CT ZIP: 06880 SC 13G/A 1 AMENDMENT NO. 2 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------ SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 2)* Heartstream, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock Par Vaue $.001 - -------------------------------------------------------------------------------- (Title of Class of Securities) 421963109 - -------------------------------------------------------------------------------- (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) - ---------- * 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 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. 421963109 13G Page 2 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak Management Corporation 06-0990851 - -------------------------------------------------------------------------------- (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. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 0 (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). CO - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 3 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak Investment Partners VI, Limited Partnership 06-1412578 - -------------------------------------------------------------------------------- (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. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 0 shares of common stock (6) Shared voting power: Not applicable (7) Sole dispositive power: 0 shares of common stock (8) Shared dispositive power: Not applicable - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). PN - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 4 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak Associates VI, LLC 06-1412579 - -------------------------------------------------------------------------------- (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. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 0 (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). OO-LLC - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 5 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak VI Affiliates Fund, Limited Partnership 06-1414970 - -------------------------------------------------------------------------------- (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. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 0 (6) Shared voting power: Not applicable (7) Sole dispositive power: 0 (8) Shared dispositive power: Not applicable - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). PN - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 6 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Oak VI Affiliates, LLC 06-1414968 - -------------------------------------------------------------------------------- (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. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 0 (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). OO-LLC - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 7 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Bandel L. Carano - -------------------------------------------------------------------------------- (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 - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 0 (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 8 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Gerald R. Gallagher - -------------------------------------------------------------------------------- (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 - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 0 (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 9 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Edward F. Glassmeyer - -------------------------------------------------------------------------------- (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 - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 0 (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 10 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Fredric W. Harman - -------------------------------------------------------------------------------- (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 - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 0 (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 11 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Ann H. Lamont - -------------------------------------------------------------------------------- (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 - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 0 (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- CUSIP No. 421963109 13G Page 12 of 19 Pages - -------------------------------------------------------------------------------- (1) Name of Reporting Persons I.R.S. Identification Nos. of above persons. (entities only) Eileen M. More - -------------------------------------------------------------------------------- (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 - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: Not applicable (6) Shared voting power: 0 (7) Sole dispositive power: Not applicable (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. None - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- Page 13 of 19 Pages Schedule 13G Amendment No. 2 Common Stock, Par Value $.001 CUSIP No. 421963109 Item 1(a) Name of Issuer: Heartstream, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 2401 Fourth Avenue Suite 300 Seattle, WA 98121 Item 2(a) Name of Person filing: Oak Investment Partners VI, Limited Partnership Oak Associates VI, LLC Oak VI Affiliates Fund, Limited Partnership Oak VI Affiliates, LLC Oak Management Corporation Bandel L. Carano Gerald R. Gallagher Edward F. Glassmeyer Fredric W. Harman Ann H. Lamont Eileen M. More Item 2(b) Address of Principal Business Office or, if none, Residence: c/o Oak Management Corporation One Gorham Island Westport, CT 06880 Item 2(c) Citizenship: Please refer to Item 4 on each cover sheet for each filing person Item 2(d) Title of Class of Securities: Common stock, $.001 par value Item 2(e) CUSIP Number: 421963109 Item 3 Not Applicable. Item 4 Ownership. On March 26, 1998 Hewlett Packard Company ("Hewlett") acquired Heartstream at which time the Reporting Entities exchanged their shares of Heartstream for shares of common stock of Hewlett, representing less than 5% of such class. These shares were sold during the year. Please see Items 5, 6, 7, 8, 9 and 11 for each cover sheet for each filing entity. 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: |X| 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 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. Dated February 16, 1999 Oak Investment Partners VI, Limited Partnership By: Oak Associates VI, LLC, As General Partner By: /s/ Edward F. Glassmeyer ---------------------------------------- Managing Member Oak Associates VI, LLC By: /s/ Edward F. Glassmeyer ---------------------------------------- Managing Member Oak VI Affiliates Fund, Limited Partnership By: Oak VI Affiliates, LLC As General Partner By: /s/ Edward F. Glassmeyer ---------------------------------------- Managing Member Oak VI Affiliates, LLC By: /s/ Edward F. Glassmeyer ---------------------------------------- Managing Member OAK MANAGEMENT CORPORATION By: /s/ Edward F. Glassmeyer ---------------------------------------- Name: Edward F. Glassmeyer Title: President /s/ Bandel L. Carano -------------------------------------------- Bandel L. Carano /s/ Fredric W. Harman -------------------------------------------- Fredric W. Harman /s/ Gerald R. Gallagher -------------------------------------------- Gerald R. Gallagher /s/ Edward F. Glassmeyer -------------------------------------------- Edward F. Glassmeyer /s/ Ann H. Lamont -------------------------------------------- Ann H. Lamont /s/ Eileen M. More -------------------------------------------- Eileen M. More INDEX TO EXHIBITS Page ---- EXHIBIT A Agreement of Reporting Persons 18 Exhibit A Each of the undersigned hereby agrees that Amendment No. 2 to the Schedule 13G filed on the date hereof with respect to the shares of Common Stock of Heartstream, Inc. has been filed on behalf of the undersigned. Signature: Dated February 16, 1999 Oak Investment Partners VI, Limited Partnership By: Oak Associates VI, LLC, As General Partner By: /s/ Edward F. Glassmeyer ---------------------------------------- Managing Member Oak Associates VI, LLC By: /s/ Edward F. Glassmeyer ---------------------------------------- Managing Member Oak VI Affiliates Fund, Limited Partnership By: Oak VI Affiliates, LLC As General Partner By: /s/ Edward F. Glassmeyer ---------------------------------------- Managing Member Oak VI Affiliates, LLC By: /s/ Edward F. Glassmeyer ---------------------------------------- Managing Member OAK MANAGEMENT CORPORATION By: /s/ Edward F. Glassmeyer -------------------------------------------- Name: Edward F. Glassmeyer Title: President /s/ Bandel L. Carano -------------------------------------------- Bandel L. Carano /s/ Fredric W. Harman -------------------------------------------- Fredric W. Harman /s/ Gerald R. Gallagher -------------------------------------------- Gerald R. Gallagher /s/ Edward F. Glassmeyer -------------------------------------------- Edward F. Glassmeyer /s/ Ann H. Lamont -------------------------------------------- Ann H. Lamont /s/ Eileen M. More -------------------------------------------- Eileen M. More -----END PRIVACY-ENHANCED MESSAGE-----