-----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, KppppiSwpzw5F+H537MBDzI1UrFL/4Y4tSBhsrIhZY3lWKOXSFY9MocVj3V5aYSF 1457GrqhXxLGYGOvjwwNRg== 0000950149-98-000280.txt : 19980218 0000950149-98-000280.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950149-98-000280 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: FOCAL INC CENTRAL INDEX KEY: 0000911684 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 943142791 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-52517 FILM NUMBER: 98542520 BUSINESS ADDRESS: STREET 1: 4 MAGUIRE ROAD CITY: LEXINGTON STATE: MA ZIP: 02173 BUSINESS PHONE: 6172807800 MAIL ADDRESS: STREET 1: 4 MAGUIRE ROAD CITY: LEXINGTON STATE: MA ZIP: 02173 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MAYFIELD VI INVESTMENT PARTNERS CENTRAL INDEX KEY: 0000826902 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943060511 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O MAYFIELD FUND STREET 2: 2800 SAND HILL ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 4158545560 MAIL ADDRESS: STREET 1: C/O MAYFIELD FUND STREET 2: 2800 SAND HILL ROAD CITY: MENLO PARK STATE: CA ZIP: 94025 SC 13G 1 SCHEDULE 13G 1 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) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. _____)(1) Focal, Inc (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 343909107 (CUSIP Number) (1) 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). 2 CUSIP NO. 343909107 13G PAGE 2 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MAYFIELD VI INVESTMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP 94-3060511 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 904,711 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 904,711 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 904,711 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON PN --------------------------------------------------------------------- 3 CUSIP NO. 343909107 13G PAGE 3 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MAYFIELD VI MANAGEMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP 94-3058675 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 904,711 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 904,711 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 904,711 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON PN --------------------------------------------------------------------- 4 CUSIP NO. 343909107 13G PAGE 4 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MAYFIELD VII, A CALIFORNIA LIMITED PARTNERSHIP 94-3167809 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 382,567 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 382,567 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 382,567 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON PN --------------------------------------------------------------------- 5 CUSIP NO. 343909107 13G PAGE 5 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MAYFIELD VII MANAGEMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP 94-3167811 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 382,567 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 382,567 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 382,567 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON PN --------------------------------------------------------------------- 6 CUSIP NO. 343909107 13G PAGE 6 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MAYFIELD MEDICAL PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP 94-3141068 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 130,435 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 130,435 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 130,435 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 1.0% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON PN --------------------------------------------------------------------- 7 CUSIP NO. 343909107 13G PAGE 7 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MAYFIELD MEDICAL PARTNERS(1992), A CALIFORNIA LIMITED PARTNERSHIP 94-3170955 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 48,675 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 48,675 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 48,675 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.4% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON PN --------------------------------------------------------------------- 8 CUSIP NO. 343909107 13G PAGE 8 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MAYFIELD ASSOCIATES FUND, A CALIFORNIA LIMITED PARTNERSHIP 94-3062897 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 43,129 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 43,129 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 43,129 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.3% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON PN --------------------------------------------------------------------- 9 CUSIP NO. 343909107 13G PAGE 9 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MAYFIELD ASSOCIATES FUND II, A CALIFORNIA LIMITED PARTNERSHIP 94-3191510 --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 20,808 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 20,808 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 20,808 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON PN --------------------------------------------------------------------- 10 CUSIP NO. 343909107 13G PAGE 10 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS YOGEN K. DALAL SOCIAL SECURITY NUMBER: ###-##-#### --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S. --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 1,530,325 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 1,530,325 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,530,325 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IN --------------------------------------------------------------------- 11 CUSIP NO. 343909107 13G PAGE 11 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS F. GIBSON MYERS, JR. SOCIAL SECURITY NUMBER: ###-##-#### --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S. --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 1,530,325 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 1,530,325 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,530,325 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IN --------------------------------------------------------------------- 12 CUSIP NO. 343909107 13G PAGE 12 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS KEVIN A. FONG SOCIAL SECURITY NUMBER: ###-##-#### --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S. --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 1,530,325 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 1,530,325 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,530,325 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IN --------------------------------------------------------------------- 13 CUSIP NO. 343909107 13G PAGE 13 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS WILLIAM D.UNGER SOCIAL SECURITY NUMBER: ###-##-#### --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S. --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 1,530,325 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 1,530,325 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,530,325 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IN --------------------------------------------------------------------- 14 CUSIP NO. 343909107 13G PAGE 14 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON WENDELL G. VAN AUKEN SOCIAL SECURITY NUMBER: ###-##-#### --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S. --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 1,530,325 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 1,530,325 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,530,325 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IN --------------------------------------------------------------------- 15 CUSIP NO. 343909107 13G PAGE 15 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MICHAEL J. LEVINTHAL SOCIAL SECURITY NUMBER: ###-##-#### --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S. --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF 7,178 (includes options to purchase 7,178 shares) SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 1,530,325 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH 7,178 (includes options to purchase 7,178 shares) -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 1,537,325 (includes options to purchase 7,178 shares) -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,537,503 (includes options to purchase 7,178 shares) --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IN --------------------------------------------------------------------- 16 CUSIP NO. 343909107 13G PAGE 16 OF 28 PAGES --------------------- ----- ----- (1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS A. GRANT HEIDRICH, III SOCIAL SECURITY NUMBER: ###-##-#### --------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [ X ] --------------------------------------------------------------------- (3) SEC USE ONLY --------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION U.S. --------------------------------------------------------------------- (5) SOLE VOTING POWER NUMBER OF -0- SHARES -------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER OWNED BY 1,530,325 EACH -------------------------------------------------------- REPORTING (7) SOLE DISPOSITIVE POWER PERSON WITH -0- -------------------------------------------------------- (8) SHARED DISPOSITIVE POWER 1,530,325 -------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,530,325 --------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] --------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.9% --------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON IN --------------------------------------------------------------------- 17 ITEM 1. (a) NAME OF ISSUER: Focal, Inc. (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 4 Maguire Road Lexington, MA 02173 ITEM 2. (a) NAME OF PERSONS FILING: Mayfield VI Investment Partners, a California Limited Partnership Mayfield VI Management Partners, a California Limited Partnership Mayfield VII, a California Limited Partnership Mayfield VII Management Partners, a California Limited Partnership Mayfield Medical Partners, a California Partnership Mayfield Medical Partners (1992), a California Partnership Mayfield Associates Fund, a California Limited Partnership Mayfield Associates Fund II, a California Limited Partnership Yogen K. Dalal Kevin A. Fong Wendell G. Van Auken A. Grant Heidrich, III F. Gibson Myers, Jr. William D. Unger Michael J. Levinthal (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: c/o The Mayfield Fund 2800 Sand Hill Road Menlo Park, CA 94025 (c) CITIZENSHIP: The entities listed in Item 2(a) are California Limited Partnerships except for Mayfield Medical Partners and Mayfield Medical Partners (1992) which are California Partnerships. The individuals listed in Item 2(a) are U.S. citizens. (d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 per share. Page 17 of 28 pages. 18 (e) CUSIP NUMBER: 343909107 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: Not applicable ITEM 4. OWNERSHIP The information regarding ownership as set forth in Items 5-9 of Pages 2-16 hereto, is hereby incorporated by reference. For a summary of total ownership by all Reporting Persons, see Exhibit 2 hereto. 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 []. 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 Not applicable. Page 18 of 28 pages. 19 SIGNATURES 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 17, 1998 MAYFIELD VI INVESTMENT PARTNERS A California Limited Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory MAYFIELD VI MANAGEMENT PARTNERS A California Limited Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory MAYFIELD VII A California Limited Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory MAYFIELD VII MANAGEMENT PARTNERS A California Limited Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory MAYFIELD ASSOCIATES FUND II A California Limited Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory MAYFIELD MEDICAL PARTNERS (1992) A California Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory Page 19 of 28 pages. 20 MAYFIELD ASSOCIATES FUND A California Limited Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory MAYFIELD MEDICAL PARTNERS A California Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory YOGEN K. DALAL By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Attorney In Fact F. GIBSON MYERS, JR. By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Attorney In Fact KEVIN A. FONG By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Attorney In Fact WILLIAM D. UNGER By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Attorney In Fact WENDELL G. VAN AUKEN By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Attorney In Fact MICHAEL J. LEVINTHAL By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Attorney In Fact Page 20 of 28 pages. 21 A. GRANT HEIDRICH, III By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Attorney In Fact Page 21 of 28 pages. 22 EXHIBIT 1 STATEMENT APPOINTING DESIGNATED FILER AND AUTHORIZED SIGNATORY Each of the undersigned entities and individuals (collectively, the "Reporting Persons") hereby designates the entity listed in Column II of SCHEDULE 1 hereto, or such other person or entity as is designated in writing by George A. Pavlov (any such entity is referred to as the "Designated Filer") as the beneficial owner to make filings of Schedules 13D and 13G (and any amendments thereto) pursuant to Section 13(d) of the Securities Exchange Act of 1934 (the "Exchange Act") and of Forms 3, 4 and 5 (and any amendments thereto) pursuant to Section 16(a) of the Exchange Act (collectively, the "Reports") with respect to the securities of the entity listed in Column I of SCHEDULE 1 hereto and with respect to the securities of any other entity whose securities are now, or hereafter become, publicly traded and whose securities are beneficially owned (directly or indirectly) both by such Reporting Person and by such Designated Entity (collectively, the "Companies"). Each Reporting Person hereby further authorizes and designates GEORGE A. PAVLOV (the "Authorized Signatory") to execute and file on behalf of such Reporting Person the Reports with respect to the securities of the Companies, including all Schedules 13D and 13G and Forms 3, 4 and 5, and any amendments thereto, that the Reporting Person may be required to file with the United States Securities and Exchange Commission as a result of the Reporting Person's ownership of, or transactions in securities of the Companies. The authority of the Designated Filer and the Authorized Signatory under this document with respect to each Reporting Person shall continue until such Reporting Person is no longer required to file Schedules 13D or 13G or Forms 3, 4 and 5 with respect to the Reporting Person's ownership of, or transactions in, the securities of the Companies, unless earlier revoked in writing. Each Reporting Person acknowledges that the Designated Filer and the Authorized Signatory are not assuming any of the Reporting Person's responsibilities to comply with Section 13(d) of Section 16 of the Exchange Act. Date: February 17, 1998 MAYFIELD VI INVESTMENT PARTNERS, a California Limited Partnership By: Mayfield VI Management Partners, a California Limited Partnership, Its General Partner By: /s/ George A. Pavlov ------------------------------------------ Authorized Signatory Date: February 17, 1998 MAYFIELD VI MANAGEMENT PARTNERS A California Limited Partnership By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Authorized Signatory Page 22 of 28 pages. 23 Date: February 17, 1998 MAYFIELD VII A California Limited Partnership By: Mayfield VII Management Partners, a California Limited Partnership, Its General Partner By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Authorized Signatory Date: February 17, 1998 MAYFIELD VII MANAGEMENT PARTNERS A California Limited Partnership By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Authorized Signatory Date: February 17, 1998 MAYFIELD ASSOCIATES FUND II A California Limited Partnership By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Authorized Signatory Date: February 17, 1998 MAYFIELD MEDICAL PARTNERS (1992) A California Partnership By: Mayfield VII, a California Limited Partnership, Its General Partner By: Mayfield VII Management Partners, a California Limited Partnership, Its General Partner By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Authorized Signatory Date: February 17, 1998 MAYFIELD ASSOCIATES FUND A California Limited Partnership By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Authorized Signatory Page 23 of 28 pages. 24 Date: February 17, 1998 MAYFIELD MEDICAL PARTNERS A California Partnership By: Mayfield VI Investment Partners, a California Limited Partnership, Its General Partner By: Mayfield VI Management Partners, a California Limited Partnership, Its General Partner By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Authorized Signatory Date: February 17, 1998 YOGEN K. DALAL By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Attorney In Fact Date: February 17, 1998 F. GIBSON MYERS, JR. By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Attorney In Fact Date: February 17, 1998 KEVIN A. FONG By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Attorney In Fact Page 24 of 28 pages. 25 Date: February 17, 1998 WILLIAM D. UNGER By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Attorney In Fact Date: February 17, 1998 WENDELL G. VAN AUKEN By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Attorney In Fact Date: February 17, 1998 MICHAEL J. LEVINTHAL By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Attorney In Fact Date: February 17, 1998 A. GRANT HEIDRICH, III By: /s/ George A. Pavlov ------------------------------------------ George A. Pavlov, Attorney In Fact Page 25 of 28 pages. 26 SCHEDULE 1
PUBLICLY TRADED COMPANY DESIGNATED FILER PERSONS/ENTITIES ON WHOSE BEHALF THE DESIGNATED FILER MAY ACT - ----------------------- ------------------- ------------------------------------------------------ Focal, Inc. Mayfield VI Mayfield VI Management Partners, Mayfield Associates Investment Partners Fund II, Mayfield Medical Partners, Mayfield VII, Mayfield VII Management Partners, Mayfield Associates Fund, Mayfield Medical Partners (1992), Yogen K. Dalal, F. Gibson Myers, Kevin A. Fong, William D. Unger, Wendell G. Van Auken, Michael J. Levinthal, A. Grant Heidrich, III
Page 26 of 28 pages. 27 EXHIBIT 2
PERCENT OF CLASS BENEFICIALLY NAME OF REPORTING PERSON NUMBER OF SHARES OWNED(1) - ----------------------------------- ------------------ ---------------- Mayfield VI Investment Partners, a California Limited Partnership 904,711 (2) 7.0% Mayfield VI Management Partners, a California Limited Partnership 904,711 (2) 7.0% Mayfield VII, a California Limited Partnership 382,567 (3) 2.9% Mayfield VII Management Partners, a California Limited Partnership 382,567 (3) 2.9% Mayfield Medical Partners,a California Partnership 130,435 (4) 1.0% Mayfield Medical Partners (1992), a California Partnership 48,675 (5) 0.4% Mayfield Associates Fund,a California Limited Partnership 43,129 (6) 0.3% Mayfield Associates Fund II , a a California Limited Partnership 20,808 (7) 0.2% Yogen K. Dalal 1,530,325 (8) 11.9% F. Gibson Myers 1,530,325 (8) 11.9% Kevin A. Fong 1,530,325 (8) 11.9% William D. Unger 1,530,325 (8) 11.9% Wendell G. Van Auken 1,530,325 (8) 11.9% Michael J. Levinthal 1,537,503 (8)(9) 11.9% A. Grant Heidrich, III 1,530,325 (8) 11.9% Total 1,537,503 11.9%
(1) The respective percentages set forth in this column were obtained by dividing the number of shares by the aggregate number of outstanding shares of Common Stock as of 12/31/97. (2) Represents shares held of record by Mayfield VI Investment Partners, of which Mayfield VI Management Partners is the sole General Partner. (3) Represents shares held of record by Mayfield VII, of which Mayfield VII Management Partners is the sole General Partner. (4) Represents shares held of record by Mayfield Medical Partners, of which Mayfield VI Investment Partners is a General Partner. Page 27 of 28 pages. 28 (5) Represents shares held of record by Mayfield Medical Partners (1992), of which Mayfield VII is a General Partner. (6) Represents shares held of record by Mayfield Associates Fund. (7) Represents shares held of record by Mayfield Associates Fund II. (8) The individual Reporting Persons listed are General Partners of Mayfield VII Management, which is the general partner of Mayfield VII which is the General Partner of Mayfield Medical Partners (1992). The individual Reporting Persons listed in column one, except for Mr. Dalal, are also General Partners of Mayfield VI Management Partners, which is the General Partner of Mayfield VI Investment Partners, which is the General Partner of Mayfield Medical Partners. The individual Reporting Persons are also General Partners of Mayfield Associates Fund II and, except for Mr. Fong and Mr. Dalal, are General Partners of Mayfield Associates Fund. Mr. Fong and Mr. Dalal are limited partners of Mayfield Associates Fund. The individual Reporting Persons listed in column one may be deemed to have shared voting and dispositive power over the shares which are or may be deemed to be beneficially owned by Mayfield VII, Mayfield VI Investment Partners, Mayfield Associates Fund, Mayfield Associates Fund II, Mayfield Medical Partners and Mayfield Medical Partners (1992) but disclaim such beneficial ownership. Each individual Reporting Person expressly disclaims that he is the beneficial owner of any shares which are held by any other individual Reporting Person in his individual capacity. (9) Includes director options to purchase 7,178 shares, which are exercisable prior to March 1, 1998. Excludes options to purchase 5,129 shares, of which 256 will become exercisable every month thereafter. Page 28 of 28 pages. -----END PRIVACY-ENHANCED MESSAGE-----