-----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, E8g0qPd8hhdChLMY84OxObipyyZ9pQX2RUQI6zsXr842FzvjC9e3RYC+c9CQH2zz zzUGw0m9g0llS8MPSyX/PQ== 0001029869-97-000733.txt : 19970611 0001029869-97-000733.hdr.sgml : 19970611 ACCESSION NUMBER: 0001029869-97-000733 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970610 SROS: NONE 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: 1934 Act SEC FILE NUMBER: 005-43013 FILM NUMBER: 97621909 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: AENEAS VENTURE CORP CENTRAL INDEX KEY: 0000898603 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 237014581 STATE OF INCORPORATION: MA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O HARVARD MANAGEMENT COMPANY INC STREET 2: 600 ATLANTIC AVENUE CITY: BOSTON STATE: MA ZIP: 02210 BUSINESS PHONE: 6175234400 MAIL ADDRESS: STREET 1: HARVARD MANAGEMENT COMPANY INC STREET 2: 600 ATLANTIC AVE CITY: BOSTON STATE: MA ZIP: 02210 SC 13G/A 1 SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G-A (Rule 13d-102) Information Statement Pursuant to Rules 13d-1 and 13d-2 Under the Securities Exchange Act of 1934 (Amendment No. 2)* Spectranetics Corporation --------------------------------------------------------------- (Name of Issuer) Common Stock ---------------------------------------------------------------- (Title of Class of Securities) 84760C107 ----------------------------- (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 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 ("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 12 Pages - ------------------- ------------------ CUSIP No. 84760C107 13G Page 2 of 12 Pages - ------------------- ------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Aeneas Venture Corporation - -------------------------------------------------------------------------------- (a) [ ] 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 shares SHARES ------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY ---- EACH ------------------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 0 shares WITH ------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER ---- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* EP - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 12 Pages SCHEDULE 13G Item 1(a) Name of Issuer: Spectranetics Corporation 1(b) Address of Issuer's Principal Executive Offices: 96 Tallamine Court Colorado Springs, CO 80907 Item 2(a) Name of Person Filing: Aeneas Venture Corporation 2(b) Address of Principal Business Office or, if none, Residence: c/o Harvard Management Company, Inc. 600 Atlantic Avenue Boston, MA 02210 2(c) Citizenship: Delaware 2(d) Title of Class of Securities: Common Stock 2(e) CUSIP Number: 84760C107 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b): The entity filing is a wholly-owned subsidiary of the endowment fund of Harvard University. Item 4 Ownership: 4(a) Amount beneficially owned: 0 shares 4(b) Percent of Class: 0% 4(c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 shares (ii) shared power to vote or to direct the vote: --------- Page 3 of 12 Pages (iii) sole power to dispose or to direct the disposition of: 0 shares (iv) shared power to dispose or to direct the disposition of: -------- Item 5 Ownership of Five Percent or Less of a Class: This statement is being filed to report the fact that as of February 28, 1995 the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities. 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. Item 9 Notice of Dissolution of Group: Not Applicable. Item 10 Certification: By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purpose or effect. After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. AENEAS VENTURE CORPORATION By: /s/ Tami E. Nason ------------------------------- Name: Tami E. Nason Title: Authorized Signatory June 9, 1997 Pursuant to Rule 101(a)(2)(ii) of regulation S-T, attached hereto as Exhibit A and Exhibit B to this Schedule 13-A is a copy of the initial Schedule 13-G and all amendments thereto. Page 4 of 12 Pages 3203081.02 Exhibit A --------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ________)* Spectranetics Corporation ---------------------------------------------------------------- (Name of Issuer) Common Stock ---------------------------------------------------------------- (Title of Class of Securities) 84760C107 ----------------------------- (CUSIP Number) Check the following box if a fee is being paid with the statement [X]. (A fee is not required only if the reporting 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 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 ("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 5 of 12 Pages 3203081.02 - ------------------- ------------------ CUSIP No. 84760C107 13G Page 6 of 12 Pages - ------------------- ------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Aeneas Venture Corporation - -------------------------------------------------------------------------------- (a) [ ] 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 956,712 shares SHARES ------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY ---- EACH ------------------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 956,712 shares WITH ------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER ---- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 956,712 shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.83% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 6 of 12 Pages 3203081.02 SCHEDULE 13G ------------ Item 1(a) Name of Issuer: Spectranetics Corporation 1(b) Address of Issuer's Principal Executive Offices: 96 Tallamine Court Colorado Springs, CO 80907 Item 2(a) Name of Person Filing: Aeneas Venture Corporation 2(b) Address of Principal Business Office or, if none, Residence: Aeneas Venture Corporation c/o Harvard Management Company, Inc. 600 Atlantic Avenue Boston, Massachusetts 02210 2(c) Citizenship: Delaware 2(d) Title of Class of Securities: Common Stock 2(e) CUSIP Number: 84760C107 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b): The entity filing is a wholly-owned subsidiary of the endowment fund of Harvard University. Item 4(a) Amount beneficially owned: 956,712 shares 4(b) Percent of Class: 9.83% 4(c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 956,712 shares (ii) shared power to vote or to direct the vote: --- (iii) sole power to dispose or to direct the disposition of: 956,712 shares (iv) shared power to dispose or to direct the disposition of: --- Item 5 Ownership of Five Percent or less of a Class: Page 7 of 12 Pages 3203081.02 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 Item 9 Notice of Dissolution of Group: Not Applicable Item 10 Certification: By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. AENEAS VENTURE CORPORATION By: /s/ Verne O. Sedlacek ------------------------------ Name: Verne O. Sedlacek Title: Vice President February 10, 1993 Page 8 of 12 Pages 3203081.02 Exhibit B --------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* Spectranetics Corporation ---------------------------------------------------------------- (Name of Issuer) Common Stock ---------------------------------------------------------------- (Title of Class of Securities) 84760C107 ----------------------------- (CUSIP Number) Check the following box if a fee is being paid with the statement [ ]. (A fee is not required only if the reporting 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 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 ("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 9 of 12 Pages 3203081.02 - ------------------- ------------------ CUSIP No. 84760C107 13G Page 10 of 12 Pages - ------------------- ------------------ - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Aeneas Venture Corporation - -------------------------------------------------------------------------------- (a) [ ] 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (b) [ ] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION Massachusetts - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 911,712 shares SHARES ------------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY ---- EACH ------------------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON 911,712 shares WITH ------------------------------------------------------------- 8. SHARED DISPOSITIVE POWER ---- - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 911,712 shares - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES [ ] CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.3% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 10 of 12 Pages 3203081.02 SCHEDULE 13G ------------ Amendment No. 1 Item 1(a) Name of Issuer: Spectranetics Corporation 1(b) Address of Issuer's Principal Executive Offices: 96 Tallamine Court Colorado Springs, CO 80907 Item 2(a) Name of Person Filing: Aeneas Venture Corporation 2(b) Address of Principal Business Office or, if none, Residence: Aeneas Venture Corporation c/o Harvard Management Company, Inc. 600 Atlantic Avenue Boston, Massachusetts 02210 2(c) Citizenship: Delaware 2(d) Title of Class of Securities: Common Stock 2(e) CUSIP Number: 84760C107 Item 3 If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b): The entity filing is a wholly-owned subsidiary of the endowment fund of Harvard University. Item 4(a) Amount beneficially owned: 911,712 shares 4(b) Percent of Class: 9.3% 4(c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 911,712 shares (ii) shared power to vote or to direct the vote: --- (iii) sole power to dispose or to direct the disposition of: 911,712 shares (iv) shared power to dispose or to direct the disposition of: --- Page 11 of 12 Pages 3203081.02 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 Item 9 Notice of Dissolution of Group: Not Applicable Item 10 Certification: By signing below the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. AENEAS VENTURE CORPORATION By: /s/ Verne O. Sedlacek ------------------------------ Name: Verne O. Sedlacek Title: Treasurer February __, 1994 Page 12 of 12 Pages 3203081.02 -----END PRIVACY-ENHANCED MESSAGE-----