-----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, II79GH5nt/mPOICiPmynd17NczYfx5k8yKB4gXSLfiG3eGMfedG9vNtwLa8dHNc9 BBLWpWdncusECXJ0ZSd4Ng== 0000950123-98-001604.txt : 19980218 0000950123-98-001604.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950123-98-001604 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19980217 SROS: NONE GROUP MEMBERS: FRED NAZEM GROUP MEMBERS: NAZEM & ASSOCIATES III, LP GROUP MEMBERS: NAZEM & COMPANY III LP GROUP MEMBERS: PAUL DALI SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SPECTRANETICS CORP CENTRAL INDEX KEY: 0000789132 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 840997049 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-43013 FILM NUMBER: 98543358 BUSINESS ADDRESS: STREET 1: 96 TALAMINE COURT CITY: COLORADO SPRING STATE: CO ZIP: 80907 BUSINESS PHONE: 7196338333 MAIL ADDRESS: STREET 1: 96 TALAMINE COURT CITY: COLORADO SPRINGS STATE: CO ZIP: 80907 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NAZEM & COMPANY III LP CENTRAL INDEX KEY: 0000851117 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 133521952 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 645 MADISON AVE STREET 2: 12TH FL CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123717900 SC 13G/A 1 AMENDMENT NO. 1 TO A SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 AMENDMENT NO. 1 SCHEDULE 13G Under the Securities Exchange Act of 1934 THE SPECTRANETICS CORPORATION (Name of Issuer) COMMON STOCK, PAR VALUE $.01 PER SHARE (Title of Class of Securities) 84760C-10-7 (CUSIP Number) Check the following box if a fee is being paid with this statement |_| A fee is not required only if the filing person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class.) (See Rule 13d-7). *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). Page 1 of 8 2 13G CUSIP No. 84760C-10-7 1. Name of Reporting Person: Nazem & Company III, L.P. (13-3521952); (b) Nazem & Associates III, L.P. (13-3556379); (c) Fred Nazem (###-##-####); (d) Paul Dali (###-##-####) 2. Check the Appropriate Box if a Member of a Group (a) |X| (b) |_| 3. SEC Use Only 4. Citizenship or Place of Organization: (a) Delaware; (b) Delaware; (c) United States; (d) United States Number of Shares Beneficially Owned by Each Reporting Person with: 5. Sole Voting Power: (a) 0; (b) 0; (c) 156 ; (d) 0 6. Shared Voting Power: (a) 407,133 shares; (b) 407,133 shares; (c) 407,133 shares; (d) 407,133 7. Sole Dispositive Power: (a) 0; (b) 0; (c) 156; (d) 0 8. Shared Dispositive Power: (a) 407,133 shares; (b) 407,133 shares; (c) 407,133; (d) 407,133 9. Aggregate Amount Beneficially Owned by Each Reporting Person: (a)407,133; (b) 407,103; (c) 407,289; (d) 407,133 10. Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares: |_| 11. Percent of Class Represented by Amount in Row 9: (a) 2.2%; (b) 2.2%; (c) 2.2%; (d) 2.2% 12. Type of Reporting Person: (a) PN; (b) PN; (c) IN; (d) IN Page 2 of 8 3 Item 1. (a) Name of Issuer: The Spectranetics Corporation (b) Address of Issuer's Principal Executive Offices: 96 Talamine Court Colorado Springs, CO 80907-5159 Item 2. (a) Name of Person Filing: Nazem & Company III, L.P. Nazem & Associates III, L.P. Fred Nazem Paul Dali (b) Address of Principal Business Office: 645 Madison Avenue New York, New York 10022 (c) Citizenship: Nazem & Company II, L.P. -- Delaware Nazem & Associates III, L.P. -- Delaware Fred Nazem -- United States Paul Dali -- United States (d) Title of Class of Securities: Common Stock, $.001 par value (e) CUSIP Number: 84760C-10-7 Item 3. Not applicable. Item 4. Ownership (a) Amount Beneficially Owned: 407,133 shares (Nazem & Company III, L.P.) 407,133 shares (Nazem & Associates III, L.P.) 407,289 shares (Fred Nazem) 407,133 shares (Paul Dali) Page 3 of 8 4 (b) Percent of Class: 2.2% (Nazem & Company III, L.P.) 2.2% (Nazem & Associates III, L.P.) 2.2% (Fred Nazem) 2.2% (Paul Dali) (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (Nazem & Company III, L.P.); 0 (Nazem & Associates III, L.P); 156 (Fred Nazem); 0 (Paul Dali) (ii) shared power to vote or to direct the vote: 407,133 shares (Nazem & Company III, L.P.); 407,133 shares (Nazem & Associates III, L.P.); 407,133 shares (Fred Nazem); 407,133 shares (Paul Dali) (iii) sole power to dispose or to direct the disposition of: 0 (Nazem & Company III, L.P.); 0 (Nazem & Associates III, L.P); 156 (Fred Nazem); 0 (Paul Dali) (iv) shared power to dispose or to direct the disposition of: 407,133 shares (Nazem & Company III, L.P.); 407,133 shares (Nazem & Associates III, L.P.); 407,133 shares (Fred Nazem); 407,133 (Paul Dali) Item 5. Ownership of Five Percent or Less of a Class: Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person: Not applicable. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company: Not applicable. Item 8. Identification and Classification of Members of the Group: See Exhibit 1. Item 9. Notice of Dissolution of Group: Not applicable. Page 4 of 8 5 Item 10. Certification: 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, 12, 1998 NAZEM & COMPANY III, L.P. By: NAZEM & ASSOCIATES III, L.P. Title: General Partner of Nazem & Company III, L.P. By: /s/ Fred Nazem -------------------------------- Fred Nazem Managing General Partner of Nazem & Associates III, L.P. NAZEM & ASSOCIATES III, L.P. By: /s/ Fred Nazem ------------------------------ Fred Nazem Managing General Partner /s/ Fred Nazem -------------------------------- Fred Nazem /s/ Paul Dali -------------------------------- Paul Dali Page 5 of 8 EX-99.1 2 IDENTITY OF MEMBERS OF GROUP 1 EXHIBIT 1 IDENTITY OF MEMBERS OF GROUP The group is composed of four members -- Nazem & Company III, L.P., a Delaware limited partnership; Nazem & Associates III, L.P., a Delaware limited partnership; Fred Nazem, an individual and United States citizen; and Paul Dali, an individual and United States citizen. Mr. Nazem is the managing general partner of Nazem & Associates III, L.P., a Delaware limited partnership which is the sole general partner of Nazem & Company III, L.P. Mr. Dali is a general partner of Nazem & Associates III, L.P. Nazem & Company III, L.P. owns 407,133 shares of Common Stock. Mr. Nazem owns 156 shares of Common Stock directly. In addition, due to his status as the managing general partner of Nazem & Associates III, L.P., he may be deemed to be the beneficial owner of the 407,133 shares of Common Stock held by Nazem & Company III, L.P. However, Mr. Nazem disclaims beneficial ownership as to such shares. Mr. Dali owns no shares of common stock directly. However, due to his status as a general partner of Nazem & Associates III, L.P., Mr. Dali may be deemed to be the beneficial owner of 407,133 shares of Common Stock held by Nazem & Company III, L.P. However, Mr. Dali disclaims beneficial ownership as to any such shares. This amendment has been filed to reflect the distribution of 826,490 shares of Common Stock held by Nazem & Company II, L.P. on March 6, 1997. Fred Nazem is the managing general partner of Nazem & Associates II, L.P. which is the general partner of Nazem & Company II, L.P. Nazem & Company II, L.P. no longer holds any common stock of The Spectranetics Corporation. Page 6 of 8 EX-99.2 3 JOINT FILING AGREEMENT 1 EXHIBIT 2 JOINT FILING AGREEMENT Pursuant to Rule 13d-1(f)(1)(iii), we the undersigned agree that this Statement on schedule 13G, to which this Joint Filing Agreement is attached as Exhibit 2, is filed on behalf of each of us. Dated: February 12, 1998 NAZEM & COMPANY III, L.P. By: NAZEM & ASSOCIATES III, L.P. Title: General Partner of Nazem & Company III, L.P. By: /s/ Fred Nazem -------------------------------- Fred Nazem Managing General Partner of Nazem & Associates III, L.P. NAZEM & ASSOCIATES III, L.P. By: /s/ Fred Nazem -------------------------------- Fred Nazem Managing General Partner /s/ Fred Nazem -------------------------------- Fred Nazem /s/ Paul Dali -------------------------------- Paul Dali Page 7 of 8 -----END PRIVACY-ENHANCED MESSAGE-----