-----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, MqHcYyI1/MwKitEUQXcXPI0cbmTIRxU3vE5QwQBwtNW2jEQX+aBC62MvBs1RoMLt Mkw3CeYO521y4XYeKXvp1Q== 0001012975-01-500101.txt : 20010820 0001012975-01-500101.hdr.sgml : 20010820 ACCESSION NUMBER: 0001012975-01-500101 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20010817 GROUP MEMBERS: J.P. MORGAN CAP. MGT. CO LP GROUP MEMBERS: J.P. MORGAN CAP. MGT. CO., LLC GROUP MEMBERS: J.P. MORGAN CAPITAL CORP GROUP MEMBERS: J.P. MORGAN CAPITAL, L.P. GROUP MEMBERS: J.P. MORGAN INVESTMENT PARTNER GROUP MEMBERS: SIXTY WALL STREET FUND, L.P. GROUP MEMBERS: SIXTY WALL STREET MGT CO LLC GROUP MEMBERS: SIXTY WALL STREET MGT CO LP FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: J P MORGAN CHASE & CO CENTRAL INDEX KEY: 0000019617 STANDARD INDUSTRIAL CLASSIFICATION: NATIONAL COMMERCIAL BANKS [6021] IRS NUMBER: 132624428 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 270 PARK AVE STREET 2: 39TH FL CITY: NEW YORK STATE: NY ZIP: 10017 BUSINESS PHONE: 2122706000 MAIL ADDRESS: STREET 1: 270 PARK AVENUE CITY: NEW YORK STATE: NY ZIP: 10017 FORMER COMPANY: FORMER CONFORMED NAME: CHASE MANHATTAN CORP /DE/ DATE OF NAME CHANGE: 19960402 FORMER COMPANY: FORMER CONFORMED NAME: CHEMICAL BANKING CORP DATE OF NAME CHANGE: 19920703 FORMER COMPANY: FORMER CONFORMED NAME: CHEMICAL NEW YORK CORP DATE OF NAME CHANGE: 19880508 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SYMPHONIX DEVICES INC CENTRAL INDEX KEY: 0000930481 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 770376250 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-55287 FILM NUMBER: 1717817 BUSINESS ADDRESS: STREET 1: 2331 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95131-1107 BUSINESS PHONE: 4082320710 MAIL ADDRESS: STREET 1: 2331 ZANKER ROAD CITY: SAN JOSE STATE: CA ZIP: 95131-1107 SC 13D/A 1 e854749.txt ------------------------------ OMB APPROVAL ------------------------------ OMB Number 3235-0145 Expires: October 31, 2002 Estimated average burden hours per response ...... 14.9 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------- SCHEDULE 13D UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2)* SYMPHONIX DEVICES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 871951 10 9 - -------------------------------------------------------------------------------- (CUSIP Number) J.P. MORGAN CAPITAL, L.P. 60 WALL STREET NEW YORK, NEW YORK 10260 (212) 648-4084 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) AUGUST 16, 2001 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of This Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Sections 240.13D-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box [_]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Section 240.13d-7 for other parties to whom copies are to be sent. * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 871951 10 9 SCHEDULE 13D Page 2 of 17 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J.P. Morgan Capital, L.P. #13-4133600 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* WC ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 7 SOLE VOTING POWER 6,380,902 NUMBER OF SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 0 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER 6,380,902 REPORTING PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 0 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,380,902 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 18.0% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 871951 10 9 SCHEDULE 13D Page 3 of 17 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J.P. Morgan Capital Managtement Company, L.P. ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* OO ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 7 SOLE VOTING POWER 0 NUMBER OF SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 6,380,902 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 6,380,902 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,380,902 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 18.0% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 871951 10 9 SCHEDULE 13D Page 4 of 17 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J.P. Morgan Capital Management Company, L.L.C. ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* OO ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 7 SOLE VOTING POWER 0 NUMBER OF SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 6,380,902 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 6,380,902 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,380,902 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 18.0% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON* OO ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 871951 10 9 SCHEDULE 13D Page 5 of 17 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J.P. Morgan Investment Partners, L.P. ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* OO ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 7 SOLE VOTING POWER 0 NUMBER OF SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 6,380,902 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 6,380,902 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,380,902 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 18.0% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON* OO ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 871951 10 9 SCHEDULE 13D Page 6 of 17 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J.P. Morgan Capital Corporation #13-3610583 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* OO ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 7 SOLE VOTING POWER 0 NUMBER OF SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 6,380,902 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 6,380,902 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 6,380,902 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 18.0% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON* CO ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 871951 10 9 SCHEDULE 13D Page 7 of 17 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS J.P. Morgan Chase & Co. #13-2624428 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* OO ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 7 SOLE VOTING POWER 0 NUMBER OF SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 7,974,482 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 7,974,482 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 7,974,482 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 22.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON* HC,CO ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 871951 10 9 SCHEDULE 13D Page 8 of 17 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Sixty Wall Street Fund, L.P. #13-3926426 ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* WC ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 7 SOLE VOTING POWER 1,593,580 NUMBER OF SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 0 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER 1,593,580 REPORTING PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 0 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORT PERSON 1,593,580 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 871951 10 9 SCHEDULE 13D Page 9 of 17 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Sixty Wall Street Management Company, L.P. ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* OO ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 7 SOLE VOTING POWER 0 NUMBER OF SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 1,593,580 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 1,593,580 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORT PERSON 1,593,580 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON* PN ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. CUSIP No. 871951 10 9 SCHEDULE 13D Page 10 of 17 Pages ________________________________________________________________________________ 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Sixty Wall Street Management Company, L.L.C. ________________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_] (b) [X] ________________________________________________________________________________ 3 SEC USE ONLY ________________________________________________________________________________ 4 SOURCE OF FUNDS* OO ________________________________________________________________________________ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS 2(d) OR 2(e) [_] ________________________________________________________________________________ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Delaware ________________________________________________________________________________ 7 SOLE VOTING POWER 0 NUMBER OF SHARES _________________________________________________________________ 8 SHARED VOTING POWER BENEFICIALLY 1,593,580 OWNED BY _________________________________________________________________ EACH 9 SOLE DISPOSITIVE POWER 0 REPORTING PERSON _________________________________________________________________ 10 SHARED DISPOSITIVE POWER WITH 1,593,580 ________________________________________________________________________________ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORT PERSON 1,593,580 ________________________________________________________________________________ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* [_] ________________________________________________________________________________ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 4.5% ________________________________________________________________________________ 14 TYPE OF REPORTING PERSON* OO ________________________________________________________________________________ *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION. This Amendment No. 2 on Schedule 13D is being filed pursuant to Rule 13d-1(a) and Rule 13d-2(a) of Regulation 13D-G of the General Rules and Regulations of the Securities and Exchange Act of 1934, as amended, on behalf of J.P. Morgan Chase & Co., Incorporated, a Delaware corporation ("JPM"), J.P. Morgan Capital Corporation, a Delaware corporation, a wholly owned subsidiary of JPM and the general partner of J.P. Morgan Investment Partners, L.P. ("JPMCC"), J.P. Morgan Investment Partners, L.P., a Delaware limited partnership and the sole member of J.P. Morgan Capital Management Company, L.L.C. and Sixty Wall Street Management Company, L.L.C. ("JPMIM"), J.P. Morgan Capital Management Company, L.L.C., a Delaware limited liability company and the general partner of J.P. Morgan Capital Management Company, L.P. ("JPM LLC") J.P. Morgan Capital Management Company, L.P., a Delaware limited partnership and the general partner of J.P. Morgan Capital, L.P. ("JPMCMC"), J.P. Morgan Capital, L.P., a Delaware limited partnership ("JPMCLP"), Sixty Wall Street Management Company, L.L.C., a Delaware limited liability company and the general partner of Sixty Wall Street Management Company, L.P. ("Sixty Wall LLC"), Sixty Wall Street Management Company, L.P., a Delaware limited partnership and the general partner of Sixty Wall Street Fund, L.P. ("Sixty Wall Management") and Sixty Wall Street Fund, L.P., a Delaware limited partnership ("Sixty Wall," and collectively with JPM, JPMCC, JPMIM, JPM LLC, JPMCMC, JPMCLP, Sixty Wall LLC and Sixty Wall Management, the "Reporting Persons"). Item 1. Security and Issuer The class of equity securities to which this Statement on Schedule 13D, Amendment No. 2 relates is the common stock, par value $0.001 per share (the "Common Stock") of Symphonix Devices, Inc., a Delaware corporation ("Symphonix"). The address of the principal executive offices of Symphonix is 2331 Zanker Road, San Jose, California 95131-1107. Item 2 of the Schedule 13D, Amendment No. 1 ("Amendment No. 1") is hereby amended as follows: Item 2. Identity and Background Information as to each executive officer and director of JPM, JPMCC, JPM LLC and Sixty Wall LLC, the sole members of JPM LLC and Sixty Wall LLC, and the general partner of each of JPMIM, JPMCMC, JPMCLP, Sixty Wall Management LP and Sixty Wall is set forth on Schedule A hereto and is incorporated herein by this reference. (a) Name of Person (i) J.P. Morgan Chase & Co. (ii) J.P. Morgan Capital Corporation (iii) J.P. Morgan Investment Partners, L.P. (iv) J.P. Morgan Capital Management Company, L.L.C. (v) J.P. Morgan Capital Management Company, L.P. (vi) Sixty Wall Street Management Company, L.L.C. (vii) Sixty Wall Street Management Company, L.P. (viii) J.P. Morgan Capital, L.P. (ix) Sixty Wall Street Fund, L.P. (b) Place of Organization, Principal Business and Address of Principal Business and Principal Office: JPM is a publicly held Delaware corporation and is a bank holding company. JPM's principal business and office address is 60 Wall Street, New York, New York 10260. JPMIM is a Delaware limited partnership. JPMIM's principal business and office address is 60 Wall Street, New York, New York 10260. JPM LLC is a Delaware limited liability company. JPM LLC's principal business and office address is 60 Wall Street, New York, New York 10260. JPMCMC is a Delaware limited partnership. JPMCMC's principal business and office address is 60 Wall Street, New York, New York 10260. Sixty Wall LLC is a Delaware limited liability company. Sixty Wall LLC's principal business and office address is 60 Wall Street, New York, New York 10260. Sixty Wall Management is a Delaware limited partnership. Sixty Wall Management's principal business and office address is 60 Wall Street, New York, New York 10260. (c) Legal Proceedings None of the Reporting Persons nor, to the best of each Reporting Person's knowledge, any person named on Schedule A hereto, has during the last five years been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or was a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. Item 3 of Amendment No. 1 is hereby amended as follows: Item 3. Source and Amount of Funds or Other Consideration On June 25, 2001, JPMCLP exercised its right to a one-time adjustment of the purchase price paid for the shares of Common Stock purchased by JPMCLP on November 10, 2000 (the "JPMCLP Shares"), as described in Item 4 below, to receive an additional 4,535,362 Shares of Common Stock (the "Additional JPMCLP Shares") for no additional consideration. Sixty Wall elected to participate in this purchase price adjustment, to receive an additional 978,490 shares of Common Stock (the "Additional Sixty Wall Shares") for no additional consideration. Item 4 of the Amendment No. 1 is hereby amended as follows: Item 4. Purpose of Transaction On June 25, 2001, as certain conditions in the Common Stock Purchase Agreement among Symphonix, certain Investors (the "Investors") and JPMCLP (the "Purchase Agreement") were satisfied, which conditions are described in Item 6 below, JPMCLP exercised its right to acquire the Additional JPMCLP Shares. JPMCLP is acquiring the Additional JPMCLP Shares for the purpose of adjusting the price at which it made its original investment in Symphonix on November 10, 2000, and not with the intention of acquiring control of Symphonix's business. Sixty Wall has elected to participate in the purchase price adjustment with respect to the Additional Sixty Wall Shares. Sixty Wall is acquiring the Additional Sixty Wall Shares for the purpose of adjusting the price at which it made its original investment in Symphonix on December 6, 2000, and not with the intention of acquiring control of Symphonix's business. Item 5 of Amendment No. 1 is hereby amended as follows: Item 5. Interest in Securities of the Issuer On June 25, 2001, JPMCLP exercised its right to acquire 4,535,362 Additional JPMCLP Shares, thereby increasing the aggregate number of shares of Common Stock owned by JPMCLP from 1,845,540 to 6,380,902. Sixty Wall has elected to participate in this price adjustment, thereby acquiring 978,490 Additional Sixty Wall Shares, and increasing the aggregate number of shares of Common Stock owned by Sixty Wall from 615,090 to 1,593,580. There will be 35,353,650 shares of Common Stock outstanding after giving effect to the Investors' purchase price adjustment, including the 4,535,362 Additional JPMCLP Shares and the 978,490 Additional Sixty Wall Shares. Based on that information, JPMCLP will own approximately 18.0%, and Sixty Wall will own approximately 4.5%, of the issued and outstanding shares of Common Stock after giving effect to the purchase price adjustment. Item 6 of the Amendment No. 1 is hereby amended as follows: Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer. None of the Reporting Persons have any contracts, arrangements, understandings or relationships with Symphonix or with any other person with respect specifically to the securities of Symphonix, except as set forth below. Pursuant to Section 2.2 of the Purchase Agreement, on June 25, 2001, JPMCLP exercised its right to acquire 4,535,362 Additional JPMCLP Shares from Symphonix, for no additional consideration, and Sixty Wall elected to participate in the purchase price adjustment to acquire 978,490 Additional Sixty Wall Shares for no additional consideration. Symphonix issued the Additional JPMCLP Shares and Additional Sixty Wall Shares on July 13, 2001. With the exercise of this one-time purchase price adjustment, no more purchase price adjustments are available to JPMCLP and Sixty Wall pursuant to the Purchase Agreement. A consequence of the purchase price adjustment is that the Investors, including JPMCLP and Sixty Wall, in the aggregate, will control 58.6% of Symphonix's voting power. Pursuant to Section 8.1 of the Purchase Agreement, JPMCLP and Sixty Wall also have the right to maintain their respective percentage interests in the total number of outstanding shares of Common Stock in the event of future sales by Symphonix of additional securities, by purchasing additional shares of securities from Symphonix under the terms specified in the Purchase Agreement. 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. J.P. MORGAN CHASE & CO. By: /s/ James C. P. Barry ------------------------ Name: James C.P. Barry Title: Vice President and Assistant Secretary August 10, 2001 J.P. MORGAN CAPITAL CORPORATION By: /s/ James P. Marriott ------------------------- Name: James P. Marriott Title: Vice President and Secretary August 10, 2001 J.P. MORGAN INVESTMENT PARTNERS, L.P. By: J.P. Morgan Capital Corporation, its General Partner By: /s/ James P. Marriott ------------------------- Name: James P. Marriott Title: Vice President and Secretary August 10, 2001 J.P. MORGAN CAPITAL MANAGEMENT COMPANY, L.L.C. By: /s/ James P. Marriott ------------------------- Name: James P. Marriott Title: Vice President and Secretary August 10, 2001 J.P. MORGAN CAPITAL MANAGEMENT COMPANY, L.P. By: J.P. Morgan Capital Management Company, L.L.C. As General Partner By: /s/ James P. Marriott ------------------------- Name: James P. Marriott Title: Vice President and Secretary August 10, 2001 J.P. MORGAN CAPITAL, L.P. By: J.P. Morgan Capital Management Company, L.P. As General Partner By: J.P. Morgan Capital Management Company, L.L.C. As General Partner By: /s/ James P. Marriott ------------------------- Name: James P. Marriott Title: Vice President and Secretary August 10, 2001 SIXTY WALL STREET MANAGEMENT COMPANY, L.L.C. By: /s/ James P. Marriott ------------------------- Name: James P. Marriott Title: Vice President and Secretary August 10, 2001 SIXTY WALL STREET MANAGEMENT COMPANY, L.P. By: Sixty Wall Street Management Company, L.L.C., As General Partner By: /s/ James P. Marriott ------------------------- Name: James P. Marriott Title: Vice President and Secretary August 10, 2001 SIXTY WALL STREET FUND, L.P. By: Sixty Wall Street Management Company, L.P. As General Partner By: Sixty Wall Street Management Company, L.L.C., As General Partner By: /s/ James P. Marriott --------------------------- Name: James P. Marriott Title: Vice President and Secretary August 10, 2001 SCHEDULE A I. J.P. Morgan Chase & Co., 60 Wall Street, New York, NY 10260 Officers ======== Chairman of the Board Douglas A. Warner III President and CEO William B. Harrison, Jr. Vice Chairman, Head of Retail and Middle Market David A. Coulter Vice Chairman, Chairman, Investment Bank Walter A. Gubert Vice Chairman James B. Lee, Jr. Vice Chairman, Co-CEO - Investment Bank Donald H. Layton Vice Chairman, Head of Finance, Risk Management Marc J. Shapiro Vice Chairman, Co-CEO - Investment Bank Geoffrey T. Boisl Managing Director, Chairman - Technology Thomas B. Ketchum Executive Vice President, General Auditor William J. Moran Chief Financial Officer Dina Dublon Managing Partner, Head of JP Morgan Partners Jeffrey C. Walker Managing Director, Corporate Treasurer David B. Edelson Executive Vice President, Head of Market Risk Leslye Daniele Webster Managing Director, Head of Credit Risk Policy Suzanne Hammett General Counsel William H. McDavid Corporate Secretary Anthony J. Horan Senior Vice President, Chief Compliance Officer Gregory S. Meredith Director of Human Resources John J. Farrell Director of Corporate Marketing and Communicatio Frederick W. Hill Controller Joseph L. Solofani Assistant Corporate Secretary Berry James Directors ========= Hana W. Becherer Riley P. Bechtel Frank A. Bennack, Jr. Lawrence A. Bossidy Anthony M. Burns Lawrence H. Fuller Ellen V. Futter William H. Gray III William B. Harrison, Jr. Helene L. Kaplan Lee R. Raymond John R. Stafford Lloyd D. Ward Douglas A. Warner III Marina V. N. Whitman II. J.P. Morgan Capital Corporation, 60 Wall Street, New York, NY 10260 Executive Officers1 =================== President, Chief Executive Officer and Managing Director John A. Mayer, Jr.* Managing Director Pierre Dupont* Managing Director Karl Fooks* Managing Director Evan M. Graf* Managing Director Alfredo M. Irigoin* Managing Director Martin O'Neil* Managing Director Timothy Purcell* Managing Director Thomas S. Quinn* Managing Director Thomas P. Reagan* Managing Director Stephen Skoczylas* Managing Director Tira Wannamethee* Managing Director Brian F. Watson* Vice President Aisaku Suzuki* Vice President Francisco Bosch* Vice President Michael L. Campbell* Vice President Dominique Chaffard* Vice President Kevin Charlton* Vice President Francisco Churtichaga* Vice President Alberto Delgado* Vice President and Assistant Secretary Cheryl Eustace* Vice President Martin Friedman* Vice President Avi Gilboa* Vice President Marc D. Johnson* Vice President and Assistant Secretary Irena D. Kaufmann* Vice President Stephen King* Vice President Dietrick Knoer* Vice President Howard Lask* Vice President Andrew Liu* Vice President Caroline Lovelace* Vice President and Secretary James P. Marriott* Vice President Brian Mathis* Vice President Terutomo Mitsumasu* Vice President Christopher Molanphy* Vice President Nicola Pedroni* Vice President Peter M. Reilly* Vice President Roberto Rodriguez* Vice President Francisco Silveyra* Vice President Robert Velarde* Assistant Secretary Bee-Ann Benson* Assistant Secretary Sandra King* Directors1 ========== Chairman John A. Mayer, Jr.* Thomas B. Ketchum** Clayton S. Rose*** Ramon de Oliveira** III J.P. Morgan Investment Partners, L.P., 60 Wall Street, New York, NY 10260 J.P. Morgan Capital Corporation, General Partner IV. J.P. Morgan Capital Management Company, L.L.C., 60 Wall Street, New York, NY 10260 J.P. Morgan Investment Partners, L.P., Sole Member Jeffrey C. Walker, President, Chief Executive Officer, Managing Director Marcia Bateson, Managing Director Stephen Skoczylas, Managing Director Elisa Stein, Managing Director Sandra King, Vice President and Assistant Secretary Howard Lask, Vice President James P. Marriott, Vice President and Secretary Matt Cumiskey, Assistant Secretary V. Sixty Wall Street Management Company, L.L.C., 60 Wall Street, New York, NY 10260 J.P. Morgan Investment Partners, L.P., Sole Member Jeffrey C. Walker, President, Chief Executive Officer, Managing Director Marcia Bateson, Managing Director Elisa Stein, Managing Director Sandra King, Vice President and Assistant Secretary Howard Lask, Vice President James P. Marriott, Vice President and Secretary Matt Cumiskey, Assistant Secretary - ------------------ 1 Each of whom is a United States citizen. * Principal occupation is director, executive officer or employee of J.P. Morgan Capital Corporation. Business address is c/o J.P. Morgan Capital Corporation, 60 Wall Street, New York, New York 10260. ** Principal occupation is director, executive officer of employee of J.P. Morgan Chase & Co. Business address is J.P. Morgan Chase & Co., 270 Park Avenue, New York, New York 10017. *** Principal occupation is Managing Director of J.P. Morgan Securities, Inc. Business address is c/o J.P. Morgan Securities, Inc., 60 Wall Street, New York, New York 10260. VI. J.P. Morgan Capital Management Company, L.P., 60 Wall Street, New York, NY 10260 J.P. Morgan Capital Management Company, L.L.C., General Partner VII. J.P. Morgan Capital, L.P., 60 Wall Street, New York, NY 10260 J.P. Morgan Capital Management Company, L.P., General Partner VIII. Sixty Wall Street Management Company, L.P., 60 Wall Street, New York, NY 10260 Sixty Wall Street Management Company, L.L.C., General Partner IX. Sixty Wall Street Fund, L.P., 60 Wall Street, New York, NY 10260 Sixty Wall Street Management Company, L.P., General Partner -----END PRIVACY-ENHANCED MESSAGE-----