-----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, KHKj732WXc5nndIGUMLhjq0924D3LBPs2x2GWMw5Nf05PG+wVhhDIv5ZpfAJfSy7 I7ny2yKbZ191gb9SXrzkCw== 0000912057-97-004746.txt : 19970222 0000912057-97-004746.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-004746 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970213 SROS: NONE GROUP MEMBERS: CLIFFORD H. HIGGERSON GROUP MEMBERS: CURTIS K. MYERS GROUP MEMBERS: JACK M. GILL GROUP MEMBERS: VANGUARD IV L P GROUP MEMBERS: VANGUARD VENTURE PARTNERS, L.P. SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVANCED FIBRE COMMUNICATIONS INC CENTRAL INDEX KEY: 0000898805 STANDARD INDUSTRIAL CLASSIFICATION: TELEPHONE & TELEGRAPH APPARATUS [3661] IRS NUMBER: 680277743 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48527 FILM NUMBER: 97528694 BUSINESS ADDRESS: STREET 1: 1445 MCDOWELL BLVD NORTH STREET 2: P O BOX 751239 CITY: PETALUMA STATE: CA ZIP: 94975-2349 BUSINESS PHONE: 7077947700 MAIL ADDRESS: STREET 1: 1445 MCDOWELL BLVD NORTH STREET 2: P O BOX 751239 CITY: PETALUMA STATE: CA ZIP: 94975-2349 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: VANGUARD IV L P CENTRAL INDEX KEY: 0001016735 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 600 CITY: PALO ALTO STATE: CA ZIP: 94301 BUSINESS PHONE: 4153212900 MAIL ADDRESS: STREET 1: 525 UNIVERSITY AVENUE STREET 2: SUITE 600 CITY: PALO ALTO STATE: CA ZIP: 94301 SC 13G 1 SCHEDULE 13-G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ------ Advanced Fibre Communications, Inc. ---------------------------------- (Name of Issuer) Common Stock ---------------------------------- (Title of Class of Securities) 00754A 10 5 ---------------------------------- (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 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). (Continued on following pages) Page 1 of 13 Pages --- CUSIP No. 00754A 10 5 13G Page 2 of 14 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Vanguard IV, L.P., a Delaware partnership - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization a Delaware partnership - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power -0- Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 2,946,397 -------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------- (8) Shared Dispositive Power 2,946,397 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,946,397 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 9.0% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 00754A 10 5 13G Page 3 of 13 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Vanguard Venture Partners, L.P., a Delaware partnership - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) /x/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization a Delaware partnership - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power -0- Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 2,946,397 shares which are directly owned by Vanguard IV, L.P. Vanguard Venture Partners, L.P. is the general partner of Vanguard IV, L.P. -------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------- (8) Shared Dispositive Power 2,946,397 shares which are directly owned by Vanguard IV, L.P. Vanguard Venture Partners, L.P. is the general partner of Vanguard IV, L.P. - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,946,397 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 9.0% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* PN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 00754A 10 5 13G Page 4 of 13 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Jack M. Gill - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power -0- Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 2,946,397 shares which are directly owned by Vanguard IV, Vanguard Venture Partners, L.P. is the general partner of Vanguard IV, L.P., and Mr. Gill is a general partner of Vanguard Venture Partners, L.P. -------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------- (8) Shared Dispositive Power 2,946,397 shares which are directly owned by Vanguard IV, L.P. Vanguard Venture Partners, L.P. is the general partner of Vanguard IV, L.P., and Mr. Gill is a general partner of Vanguard Venture Partners, L.P. - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,946,397 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 9.0% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 00754A 10 5 13G Page 5 of 13 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Clifford H. Higgerson - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power -0- Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 2,946,397 shares which are directly owned by Vanguard IV, L.P. Vanguard Venture Partners, L.P. is the general partner of Vanguard IV, L.P., and Mr. Higgerson is a general partner of Vanguard Venture Partners, L.P. -------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------- (8) Shared Dispositive Power 2,946,397 shares which are directly owned by Vanguard IV, L.P. Vanguard Venture Partners, L.P. is the general partner of Vanguard IV, L.P., and Mr. Higgerson is a general partner of Vanguard Venture Partners, L.P. - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,946,397 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 9.0% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 00754A 10 5 13G Page 6 of 13 Pages ----------- -- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Curtis K. Myers - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power -0- Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 2,946,397 shares which are directly owned by Vanguard IV, L.P. Vanguard Venture Partners, L.P. is the general partner of Vanguard IV, L.P., and Mr. Myers is a general partner of Vanguard Venture Partners, L.P. -------------------------------------------------- (7) Sole Dispositive Power -0- -------------------------------------------------- (8) Shared Dispositive Power 2,946,397 shares which are directly owned by Vanguard IV, L.P. Vanguard Venture Partners, L.P. is the general partner of Vanguard IV, L.P., and Mr. Myers is a general partner of Vanguard Venture Partners, L.P. - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,946,397 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 9.0% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 7 of 13 Pages --- --- ITEM 1(A). NAME OF ISSUER Advanced Fibre Communications, Inc. - ------------------------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 1445 McDowell Boulevard North Petaluma, CA 94954 - ------------------------------------------------------------------------------- ITEM 2(A)-(C). NAME, PRINCIPAL BUSINESS ADDRESS AND CITIZENSHIP OF PERSONS FILING This statement is being filed by Vanguard IV, L.P., a Delaware partnership whose principal business address is 525 University Avenue, Palo Alto, CA 94301. Vanguard Venture Partners, L.P. is the general partner of Vanguard IV, L.P., a Delaware partnership. With respect to Vanguard Venture Partners, L.P. and its general partners, this statement relates only to Vanguard Venture Partners, L.P.'s and its general partners' indirect, beneficial ownership of shares of Common Stock of Advanced Fibre Communications, Inc. (the "Shares"). The Shares have been purchased by Vanguard IV, L.P., and Vanguard Venture Partners, L.P. and the general partners of Vanguard Venture Partners, L.P. do not directly or otherwise hold any Shares. Management of the business affairs of Vanguard Venture Partners, L.P., including decisions respecting disposition and/or voting of the Shares, resides in the general partners of Vanguard Venture Partners, L.P. (Jack M. Gill, Clifford H. Higgerson and Curtis K. Myers). Mr. Gill's principal business address is 1330 Post Oak Blvd., Suite 1550, Houston, TX 77056. Mr. Gill is a United States citizen. Page 8 of 13 Pages --- --- Mr. Higgerson's principal business address is 525 University Avenue, Palo Alto, CA 94301. Mr. Higgerson is a United States citizen. Mr. Myers' principal business address is 525 University Avenue, Suite 600, Palo Alto, CA 94301. Mr. Myers is a United States citizen. ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock ITEM 2(E). CUSIP NUMBER 00754A 10 5 - ------------------------------------------------------------------------------- ITEM 3. Not Applicable. ITEM 4. OWNERSHIP A. VANGUARD IV, L.P. (a) Amount Beneficially Owned: 2,946,397 (b) Percent of Class: 9.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: 2,946,397 (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 2,946,397 B. VANGUARD VENTURE PARTNERS, L.P. (a) Amount Beneficially Owned: 2,946,397 (b) Percent of Class: 9.0% Page 9 of 13 Pages --- --- (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: 2,946,397 (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 2,946,397 C. JACK M. GILL (a) Amount Beneficially Owned: 2,946,397(1) (b) Percent of Class: 9.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: 2,946,397(1) (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 2,946,397(1) D. CLIFFORD H. HIGGERSON (a) Amount Beneficially Owned: 2,946,397(1) (b) Percent of Class: 9.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: 2,946,397(1) (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 2,946,397(1) Page 10 of 13 Pages --- --- E. CURTIS K. MYERS (a) Amount Beneficially Owned: 2,946,397(1) (b) Percent of Class: 9.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: -0- (ii) shared power to vote or to direct the vote: 2,946,397(1) (iii) sole power to dispose or to direct the disposition of: -0- (iv) shared power to dispose or to direct the disposition of: 2,946,397(1) (1) The filing of this statement shall not be construed as an admission that the reporting person is, for purposes of Section 13(d) or 13(g) of the Act, the beneficial owner of these securities. 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 Not Applicable Page 11 of 13 Pages --- --- ITEM 9. NOTICE OF DISSOLUTION OF GROUP Not Applicable ITEM 10. CERTIFICATION Not Applicable SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated February 11, 1997 VANGUARD IV, L.P. Vanguard Venture Partners, L.P., its general partner By: /S/ CLIFFORD H. HIGGERSON --------------------------------- Title: General Partner Vanguard Venture Partners, L.P. By: /S/ CLIFFORD H. HIGGERSON --------------------------------- Title: General Partner Jack M. Gill /S/ JACK M. GILL ---------------------------------------- Clifford H. Higgerson /S/ CLIFFORD H. HIGGERSON ---------------------------------------- Curtis K. Myers /S/ CURTIS K. MYERS ---------------------------------------- Page 12 of 13 Pages --- --- EXHIBIT INDEX Found on Sequentially Exhibit Numbered Page - ------- ------------- Exhibit A: Agreement of Joint Filing 13 Page 13 of 13 Pages --- --- EXHIBIT A AGREEMENT OF JOINT FILING The undersigned hereby agree that they are filing jointly pursuant to Rule 13d-1 of the Act the statement dated February 11, 1997, containing the information required by Schedule 13G, for the 2,946,397 Shares of the Common Stock of Advanced Fibre Communications, Inc. held by Vanguard IV, L.P. Dated February 11, 1997 VANGUARD IV, L.P. Vanguard Venture Partners, L.P., its general partner By: /S/ CLIFFORD H. HIGGERSON --------------------------------- Title: General Partner Vanguard Venture Partners, L.P. By: /S/ CLIFFORD H. HIGGERSON --------------------------------- Title: General Partner Jack M. Gill /S/ JACK M. GILL ---------------------------------------- Clifford H. Higgerson /S/ CLIFFORD H. HIGGERSON ---------------------------------------- Curtis K. Myers /S/ CURTIS K. MYERS ---------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----