-----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, K6OjuhXlaESfFi+DAFtjsbVB1ZJHhbir9hd6nENgj5ZEnqbMbVCGtKUsTz0MXiGm f/mVc3gLKhjhHI7IHigXPw== 0000950130-01-000873.txt : 20010223 0000950130-01-000873.hdr.sgml : 20010223 ACCESSION NUMBER: 0000950130-01-000873 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010214 GROUP MEMBERS: ANTHONY B. EVNIN GROUP MEMBERS: ANTHONY SUN GROUP MEMBERS: DAVID R. HATHAWAY GROUP MEMBERS: ERIC COPELAND GROUP MEMBERS: JOSEPH E. CASEY GROUP MEMBERS: KIMBERLEY A. RUMMELSBURG GROUP MEMBERS: MICHAEL C. BROOKS GROUP MEMBERS: MICHAEL F. TYRRELL GROUP MEMBERS: PARTICK F. LATTERELL GROUP MEMBERS: RAY A. ROTHROCK GROUP MEMBERS: TED H. MCCOURTNEY GROUP MEMBERS: THOMAS R. FREDERICK GROUP MEMBERS: VENROCK ASSOCIATES GROUP MEMBERS: VENROCK ASSOCIATES II, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CALIPER TECHNOLOGIES CORP CENTRAL INDEX KEY: 0001014672 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 330675808 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-58047 FILM NUMBER: 1543251 BUSINESS ADDRESS: STREET 1: 605 FAIRCHILD DR STREET 2: STE 405 CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 BUSINESS PHONE: 6506230700 MAIL ADDRESS: STREET 1: 605 FAIRCHILD DRIVE CITY: MOUNTAIN VIEW STATE: CA ZIP: 94043 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: VENROCK ASSOCIATES CENTRAL INDEX KEY: 0000937889 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 136300995 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: ROOM 5508 STREET 2: 30 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10112 BUSINESS PHONE: 2126495600 MAIL ADDRESS: STREET 1: ROOM 5508 STREET 2: 30 ROCKEFELLER PLAZA CITY: NEW YORK STATE: NY ZIP: 10112 SC 13G 1 0001.txt SCHEDULE 13G 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) (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. 1)* Caliper Technologies Corp. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 130876105 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2000 - -------------------------------------------------------------------------------- (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-(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 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. 130876105 13 G Page 2 of 21 Pages - --------------------------------------------- ----------------------------------------- - ---------- ----------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Venrock Associates I.R.S. #13-6300995 - ---------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ----------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York, U.S.A. - ---------------------------- ------- --------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY EACH ------- --------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 500,772 ------- --------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ------- --------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 500,772 - ---------- ----------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 500,772 - ---------- ----------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---------- ----------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.12% - ---------- ----------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ---------- -----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 3 of 21 Pages - --------------------------------------------- ----------------------------------------- - ---------- ----------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Venrock Associates II, L.P. I.R.S. #13-3844754 - ---------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ----------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION New York, U.S.A. - ----------------------------- ------ --------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY EACH ------ --------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 338,715 ------ --------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ------ --------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 338,715 - --------- ------------------------------------------------------------------------------------------------------------------------ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 338,715 - --------- ------------------------------------------------------------------------------------------------------------------------ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - --------- ------------------------------------------------------------------------------------------------------------------------ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 1.43% - --------- ------------------------------------------------------------------------------------------------------------------------ 12 TYPE OF REPORTING PERSON* PN - --------- ------------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 4 of 21 Pages - --------------------------------------------- ----------------------------------------- - ---------- ----------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael C. Brooks ###-##-#### - ---------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ----------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ---------------------------- ------- --------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 2,923 OWNED BY EACH ------- --------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------- --------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 2,923 ------- --------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ---------- ----------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 842,410 - ---------- ----------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---------- ----------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.56% - ---------- ----------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------- -----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 5 of 21 Pages - --------------------------------------------- ----------------------------------------- - ---------- ----------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Joseph E. Casey ###-##-#### - ---------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ----------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ---------------------------- ------- --------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 901 OWNED BY EACH ------- --------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------- --------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 901 ------- --------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ---------- ----------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 840,388 - ---------- ----------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---------- ----------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.56% - ---------- ----------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------- -----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 6 of 21 Pages - --------------------------------------------- ----------------------------------------- - ---------- ----------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Eric Copeland ###-##-#### - ---------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ----------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ---------------------------- ------- --------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 307 OWNED BY EACH ------- --------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------- --------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 307 ------- --------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ---------- ----------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 839,794 - ---------- ----------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---------- ----------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.56% - ---------- ----------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------- -----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 7 of 21 Pages - --------------------------------------------- ----------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Anthony B. Evnin ###-##-#### - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 54,960 OWNED BY EACH ------ ------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------ ------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 54,960 ------ ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ----------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 894,447 - ----------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.79% - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- ----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 8 of 21 Pages - --------------------------------------------- ----------------------------------------- - ---------- ----------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Thomas R. Frederick ###-##-#### - ---------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ----------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ---------------------------- ------- --------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 2,129 OWNED BY EACH ------- --------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------- --------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 2,129 ------- --------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ---------- ----------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 841,616 - ---------- ----------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---------- ----------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.57% - ---------- ----------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------- -----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 9 of 21 Pages - --------------------------------------------- ----------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David R. Hathaway ###-##-#### - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 22,622 OWNED BY EACH ------ ------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------ ------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 22,622 ------ ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ----------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 862,109 - ----------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.65% - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- ----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 10 of 21 Pages - --------------------------------------------- ----------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Patrick F. Latterell ###-##-#### - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 40,555 OWNED BY EACH ------ ------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------ ------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 40,555 ------ ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ----------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 880,042 - ----------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.73% - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- ----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 11 of 21 Pages - --------------------------------------------- ----------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ted H. McCourtney ###-##-#### - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 69,647 OWNED BY EACH ------ ------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------ ------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 69,647 ------ ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ----------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 909,134 - ----------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.85% - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- ----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 12 of 21 Pages - --------------------------------------------- ----------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ray A. Rothrock ###-##-#### - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 33,983 OWNED BY EACH ------ ------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------ ------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 33,983 ------ ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POW 839,487 - ----------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 873,470 - ----------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.70% - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- ----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 13 of 21 Pages - --------------------------------------------- ----------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Kimberley A. Rummelsburg ###-##-#### - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 0 OWNED BY EACH ------ ------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 845,108 ------ ------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 0 ------ ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 845,108 - ----------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 845,108 - ----------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.58% - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- ----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 14 of 21 Pages - --------------------------------------------- ----------------------------------------- - ----------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Anthony Sun ###-##-#### - ----------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ----------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ----------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ------------------------------- ------ ------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 54,819 OWNED BY EACH ------ ------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------ ------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 54,819 ------ ------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ----------- ---------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 894,306 - ----------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ----------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.79% - ----------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ----------- ----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
- --------------------------------------------- ----------------------------------------- CUSIP No. 130876105 13 G Page 15 of 21 Pages - --------------------------------------------- ----------------------------------------- - ---------- ----------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Michael F. Tyrrell ###-##-#### - ---------- ----------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] - ---------- ----------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ---------- ----------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION U.S.A. - ---------------------------- ------- --------------------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES BENEFICIALLY 8,449 OWNED BY EACH ------- --------------------------------------------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON WITH 839,487 ------- --------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 8,449 ------- --------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 839,487 - ---------- ----------------------------------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 847,936 - ---------- ----------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ---------- ----------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 3.59% - ---------- ----------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ---------- -----------------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT! Page 16 of 21 pages Introductory Note: This Statement on Schedule 13G is filed on behalf of Venrock Associates, a limited partnership organized under the laws of the State of New York, Venrock Associates II, L.P., a limited partnership organized under the laws of the State of New York, Michael C. Brooks, Joseph E. Casey, Eric Copeland, Anthony B. Evnin, Thomas R. Frederick, David R. Hathaway, Patrick F. Latterell, Ted H. McCourtney, Ray A. Rothrock, Kimberley A. Rummelsburg, Anthony Sun and Michael F. Tyrrell in respect of shares of Common Stock of Caliper Technologies Corp. Item 1(a) Name of Issuer - -------------------------------- Caliper Technologies Corp. Item 1(b) Address of Issuer's Principal Executive Offices - ----------------------------------------------------------------- 605 Fairchild Drive Mountain View, CA 94043-2234 Item 2(a) Name of Person Filing - --------------------------------------- Venrock Associates ("Venrock") Venrock Associates II, L.P. ("Venrock II") Michael C. Brooks Joseph E. Casey Eric Copeland Anthony B. Evnin Thomas R. Frederick David R. Hathaway Patrick F. Latterell Ted H. McCourtney Ray A. Rothrock Kimberley A. Rummelsburg Anthony Sun Michael F. Tyrrell Item 2(b) Address of Principal Business Office or, if none, Residence - ----------------------------------------------------------------------------- New York Office: Menlo Park Office: 30 Rockefeller Plaza 2494 Sand Hill Road Room 5508 Suite 200 New York, NY 10112 Menlo Park, CA 94025 Item 2(c) Citizenship - ----------------------------- Venrock and Venrock II are limited partnerships organized in the State of New York. Michael C. Brooks, Joseph E. Casey, Eric Copeland, Anthony B. Evnin, Thomas R. Frederick, David R. Hathaway, Patrick F. Latterell, Ray A. Rothrock, Kimberley A. Rummelsburg, Anthony Sun and Michael F. Tyrrell are General Partners of Venrock and Venrock II and all are citizens of the United States of America. Ted H. McCourtney is a retired General Partner of Venrock and Venrock II and is a citizen of the United States of America. Item 2(d) Title of Class of Securities - ---------------------------------------------- Common Stock Item 2(e) CUSIP Number - ------------------------------ 130876105 Page 17 of 21 pages Item 3 Not applicable. - ------ Item 4 Ownership - --------------------------- (a) and (b) Venrock owns 500,772 shares or 2.12% of the outstanding shares of common stock. Venrock II owns 236,918 shares or 1.00% of the outstanding shares of common stock. Michael C. Brooks beneficially owns 842,410 shares or 3.56% of the outstanding shares of common stock. Joseph E. Casey beneficially owns 840,388 shares or 3.56% of the outstanding shares of common stock. Eric Copeland beneficially owns 839,794 shares or 3.56% of the outstanding shares of common stock. Anthony B. Evnin beneficially owns 894,447 shares or 3.79% of the outstanding shares of common stock. Thomas R. Frederick beneficially owns 841,616 shares or 3.57% of the outstanding shares of common stock. David R. Hathaway beneficially owns 862,109 shares or 3.65% of the outstanding shares of common stock. Patrick F. Latterell beneficially owns 880,042 shares or 3.73% of the outstanding shares of common stock. Ted H. McCourtney beneficially owns 909,134 shares or 3.85% of the outstanding shares of common stock. Ray A. Rothrock beneficially owns 873,470 shares or 3.70% of the outstanding shares of common stock. Kimberley A. Rummelsburg beneficially owns 845,108 shares or 3.58% of the outstanding shares of common stock. Anthony Sun beneficially owns 894,306 shares or 3.79% of the outstanding shares of common stock. Michael F. Tyrrell beneficially owns 847,936 shares or 3.59% of the outstanding shares of common stock. (c) Venrock has sole voting and dispositive power over no shares of common stock and shared voting and dispositive power over 500,772 shares of common stock. Vemrock II has sole voting and dispositive power over no shares of common stock and shared voting and dispositive power over 236,918 shares of common stock. Michael C. Brooks has sole voting and dispositive power over 2,923 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. Joseph E. Casey has sole voting and dispositive power over 901 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. Eric Copeland has sole voting and dispositive power over 307 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. Anthony B. Evnin has sole voting and dispositive power over 54,960 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. Thomas R. Frederick has sole voting and dispositive power over 2,129 shares of common stock and dispositive power over 839,487 shares of common stock. David R. Hathaway has sole voting and dispositive power over 22,622 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. Patrick F. Latterell has sole voting and dispositive power over 40,555 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. Ted H. McCourtney has sole voting and dispositive power over 69,647 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. Ray A. Rothrock has sole voting and dispositive power over 33,983 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. Kimberley A. Rummelsburg has sole voting and dispositive power over no shares of common stock and shared voting and dispositive power over 845,108 shares of common stock. Anthony Sun has sole voting and dispositive power over 54,819 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. Michael F. Tyrrell has sole voting and dispositive power over 8,449 shares of common stock and shared voting and dispositive power over 839,487 shares of common stock. 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]. Page 18 of 21 pages Item 6 Ownership of More than Five Percent of Behalf of Another - -------------------------------------------------------------------------- Person ------ No person, other than the General Partners of Venrock and Venrock II, has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the shares of common stock owned by Venrock and Venrock II. 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 - --------------------------------------------------------------------------- This schedule is being filed pursuant to Rule 13d-1(d). The identities of the eleven General Partners and one retired General Partner of Venrock and Venrock II are stated in Item 2. Item 9 Notice of Dissolution of Group - ------------------------------------------------ Not applicable. Item 10 Certification - ------------------------------- Not applicable. Page 19 of 21 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. February 14, 2001 VENROCK ASSOCIATES By: /s/Anthony B. Evnin ----------------------------- Anthony B. Evnin General Partner February 14, 2001 VENROCK ASSOCIATES II, L.P. By: /s/Anthony B. Evnin ----------------------------- Anthony B. Evnin General Partner February 14, 2001 GENERAL PARTNERS /s/Michael C. Brooks --------------------------------- Michael C. Brooks /s/Joseph E. Casey --------------------------------- Joseph E. Casey /s/Eric Copeland --------------------------------- Eric Copeland /s/Anthony B. Evnin --------------------------------- Anthony B. Evnin /s/Thomas R. Frederick --------------------------------- Thomas R. Frederick /s/David R. Hathaway --------------------------------- David R. Hathaway /s/Patrick F. Latterell --------------------------------- Patrick F. Latterell /s/Ted H. McCourtney --------------------------------- Ted H. McCourtney /s/Ray A. Rothrock --------------------------------- Ray A. Rothrock /s/Kimberley A. Rummelsburg --------------------------------- Kimberley A. Rummelsburg /s/Anthony Sun --------------------------------- Anthony Sun /s/Michael F. Tyrrell --------------------------------- Michael F. Tyrrell Page 20 of 21 pages Exhibit Index
Exhibit No. Page No. - ----------- -------- 99.1 Agreement pursuant to 13d-1(k)(1) among Venrock Associates, 21 Venrock Associates II, L.P. and the General Partners thereof
EX-99.1 2 0002.txt AGREEMENT Page 21 of 21 pages Exhibit 99.1 ------------ AGREEMENT Pursuant to Rule 13d-1(k)(1) promulgated pursuant to the Securities Exchange Act of 1934, as amended, the undersigned agree that the attached Schedule 13G is being filed on behalf of each of the undersigned. February 14, 2001 VENROCK ASSOCIATES By: /s/Anthony B. Evnin ----------------------------- Anthony B. Evnin General Partner February 14, 2001 VENROCK ASSOCIATES II, L.P. By: /s/Anthony B. Evnin ----------------------------- Anthony B. Evnin General Partner February 14, 2001 GENERAL PARTNERS /s/Michael C. Brooks --------------------------------- Michael C. Brooks /s/Joseph E. Casey --------------------------------- Joseph E. Casey /s/Eric Copeland --------------------------------- Eric Copeland /s/Anthony B. Evnin --------------------------------- Anthony B. Evnin /s/Thomas R. Frederick --------------------------------- Thomas R. Frederick /s/David R. Hathaway --------------------------------- David R. Hathaway /s/Patrick F. Latterell --------------------------------- Patrick F. Latterell /s/Ted H. McCourtney --------------------------------- Ted H. McCourtney /s/Ray A. Rothrock --------------------------------- Ray A. Rothrock /s/Kimberley A. Rummelsburg --------------------------------- Kimberley A. Rummelsburg /s/Anthony Sun --------------------------------- Anthony Sun /s/Michael F. Tyrrell --------------------------------- Michael F. Tyrrell -----END PRIVACY-ENHANCED MESSAGE-----