-----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, DlUciC/wHb9oP9N39klxDdynxnwj0GR8SNIgJVf4fty+sLDA1CWsvra1sCilrg1b 6FfmHjk8mOc1RgQhX3yuKQ== 0000950005-97-000158.txt : 19970222 0000950005-97-000158.hdr.sgml : 19970222 ACCESSION NUMBER: 0000950005-97-000158 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ARADIGM CORP CENTRAL INDEX KEY: 0001013238 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 943133088 STATE OF INCORPORATION: CA FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-46237 FILM NUMBER: 97528561 BUSINESS ADDRESS: STREET 1: 26219 EDEN LANDING RD CITY: HAYWARD STATE: CA ZIP: 94545 BUSINESS PHONE: 5107830100 MAIL ADDRESS: STREET 1: 26219 EDEN LANDING RD CITY: HAYWARD STATE: CA ZIP: 94545 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SEQUOIA CAPITAL V ET AL CENTRAL INDEX KEY: 0000900353 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943095978 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD 4-280 CITY: MENCOPARK STATE: CA ZIP: 94502 BUSINESS PHONE: 4158543927 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD 4-820 CITY: MENLCO PARK STATE: CA ZIP: 94025 SC 13G 1 FORM SC 13G SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ______)* ARADIGM, INC. ------------ (Name of Issuer) COMMON ------- (Title of Class of Securities) 038505103 --------- (CUSIP Number) *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) Page 1 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 2 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS SEQUOIA CAPITAL V 94-3095978 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 754,573 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 754,573 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 754,573 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.4% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 2 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 3 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS SEQUOIA PARTNERS (FR) 94-3096657 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 754,573 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 754,573 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 754,573 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.4% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 3 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 4 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS SEQUOIA TECHNOLOGY PARTNERS V 94-3095977 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 34,059 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 34,059 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 34,059 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Less than 1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 4 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 5 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS SEQUOIA XX11 95-4337758 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 13,792 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 13,792 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,792 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Less than 1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 5 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 6 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS SEQUOIA XXIII 95-4400009 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 8,332 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 8,332 - ---------------------------- ------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 8,332 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Less than 1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 6 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 7 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS SEQUOIA XXIV 95-4465970 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 7,996 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 7,996 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,996 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 Less than 1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 7 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 8 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS DONALD VALENTINE - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION US - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 818,752 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 8 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 9 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS GORDON RUSSELL - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION US - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 818,752 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 9 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 10 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS PIERRE LAMOND - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION US - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 818,752 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 10 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 11 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS THOMAS STEPHENSON - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION US - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 818,752 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 11 of 16 Pages - ----------------------------------------------------- ------------------------------------------ CUSIP No. 038505103 13G Page 12 of 16 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MICHAEL MORITZ - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) o (b) x - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UK - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH -0- ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 818,752 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER -0- ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 818,752 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 12 of 16 Pages Item 1. (a) Name of Issuer: Aradigm, Inc. (b) Address of Issuer's Principal Executive Offices: 26219 Eden Landing Road Hayward, CA 94545 Item 2. (a) Name of Persons Filing: Sequoia Capital V ("SC V") Sequoia Partners (FR) ("SP(FR)") Sequoia Technology Partners V Sequoia XXII Sequoia XXIII Sequoia SSIV Pierre Lamond ("PL") Donald T. Valentine ("DTV") Thomas F. Stephenson ("TFS") Gordon Russell ("GR") Michael Moritz ("MM") SP(FR) is the General Partner of SC V. PL, DTV, TFS, GR AND MM are General Partners of SP(FR) and STP V. (b) Address of Principal Business Office or, if None, Residence: 3000 Sand Hill Road Building 4, Suite 280 Menlo Park, CA 94025 (c) Citizenship: SC V, SP(FR), STP V, Sequoia XXII, Sequoia XXIII, Sequoia XXIV: California PL, DTV, TFS, GR: US; MM: UK (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 038505103 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 through 11 of cover 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. Instruction. Dissolution of a group requires a response to this item. Item 6. Ownership of More than Five Percent on Behalf of Another Person Not applicable Page 13 of 16 Pages 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 [The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b):] By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect.] [EXHIBITS] [A: Joint Filing Statement] Page 14 of 16 Pages 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. Date: February 5, 1997 SEQUOIA CAPITAL V By its General Partner, Sequoia Partners (FR) - -------------------------------- Pierre Lamond, General Partner SEQUOIA TECHNOLOGY PARTNERS V SEQUOIA XXII SEQUOIA XXIII SEQUOIA XXIV - -------------------------------- Pierre Lamond - -------------------------------- Donald T. Valentine - -------------------------------- Thomas F. Stephenson - -------------------------------- Gordon Russell - -------------------------------- Michael Moritz Page 15 of 16 Pages EXHIBIT A JOINT FILING STATEMENT Pursuant to Rule 13d-1(f)(1), we, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us. Date: February 5, 1997 SEQUOIA CAPITAL V By its General Partner, Sequoia Partners (FR) SEQUOIA TECHNOLOGY PARTNERS V SEQUOIA XXII SEQUOIA XXIII SEQUOIA XXIV - -------------------------------- Pierre Lamond, General Partner - -------------------------------- Pierre Lamond - -------------------------------- Donald T. Valentine - -------------------------------- Thomas F. Stephenson - ------------------------------- Gordon Russell - ------------------------------- Michael Moritz Page 16 of 16 Pages -----END PRIVACY-ENHANCED MESSAGE-----