-----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, RMTHEgUqYv+DRBsqcfH0FijTzlu+CshaQuQ51no0DE5QEbc15b/w4y0++EaZiVfP I7+Y+6Wi6Pc4uhKjNL0MXw== 0000950149-00-000302.txt : 20000215 0000950149-00-000302.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950149-00-000302 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 GROUP MEMBERS: A. GRANT HEIDRICH, III GROUP MEMBERS: F. GIBSON MYERS, JR. GROUP MEMBERS: KEVIN A. FONG GROUP MEMBERS: MAYFIELD ASSOCIATES FUND GROUP MEMBERS: MAYFIELD ASSOCIATES FUND II GROUP MEMBERS: MAYFIELD MEDICAL PARTNERS GROUP MEMBERS: MAYFIELD MEDICAL PARTNERS (1992) GROUP MEMBERS: MAYFIELD VI INVESTMENT PARTNERS GROUP MEMBERS: MAYFIELD VI MANAGEMENT PARTNERS GROUP MEMBERS: MAYFIELD VII GROUP MEMBERS: MAYFIELD VII MANAGMENT PARTNERS GROUP MEMBERS: MICHAEL J. LEVINTHAL GROUP MEMBERS: WENDELL G. VAN AUKEN, III GROUP MEMBERS: WILLIAM D. UNGER GROUP MEMBERS: YOGEN K. DALAL 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/A SEC ACT: SEC FILE NUMBER: 005-52517 FILM NUMBER: 544088 BUSINESS ADDRESS: STREET 1: 4 MAGUIRE ROAD CITY: LEXINGTON STATE: MA ZIP: 02421 BUSINESS PHONE: 7812807800 MAIL ADDRESS: STREET 1: 4 MAGUIRE ROAD CITY: LEXINGTON STATE: MA ZIP: 02421 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/A 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/A 1 SCHEDULE 13G, AMENDMENT #2 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)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 2)(1) Focal, Inc. (Name of Issuer) Common Stock, par value $.01 per share (Title of Class of Securities) 343909107 (CUSIP Number) December 31, 1999 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) (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 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MAYFIELD VI INVESTMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 535,154 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 535,154 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 535,154 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- 3 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 3 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MAYFIELD VI MANAGEMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 535,154 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 535,154 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 535,154 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 4.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- 4 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 4 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MAYFIELD VII, A CALIFORNIA LIMITED PARTNERSHIP - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 406,246 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 406,246 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 406,246 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- 5 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 5 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MAYFIELD VII MANAGEMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 406,246 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 406,246 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 406,246 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- 6 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 6 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MAYFIELD MEDICAL PARTNERS, A CALIFORNIA PARTNERSHIP - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 67,162 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 67,162 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 67,162 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.5% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON PN - -------------------------------------------------------------------------------- 7 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 7 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MAYFIELD MEDICAL PARTNERS (1992), A CALIFORNIA PARTNERSHIP - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 48,676 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 48,676 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 48,676 - -------------------------------------------------------------------------------- 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 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MAYFIELD ASSOCIATES FUND, A CALIFORNIA LIMITED PARTNERSHIP - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 23,130 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 23,130 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 23,130 - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 9 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 9 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MAYFIELD ASSOCIATES FUND II, A CALIFORNIA LIMITED PARTNERSHIP - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 20,808 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 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 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) YOGEN K. DALAL - -------------------------------------------------------------------------------- 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 SHARES 534 ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 985,338 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING 534 ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 985,338 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 985,872 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.3% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- 11 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 11 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) F. GIBSON MYERS, JR. - -------------------------------------------------------------------------------- 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 SHARES 32,826 ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 985,338 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING 32,826 ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 985,338 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,018,164 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.6% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- 12 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 12 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) KEVIN A. FONG - -------------------------------------------------------------------------------- 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 SHARES 19,906 ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 985,338 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING 19,906 ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 985,338 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,005,244 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.5% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- 13 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 13 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) WILLIAM D. UNGER - -------------------------------------------------------------------------------- 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 SHARES 20,493 ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 985,338 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING 20,493 ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 985,338 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,005,831 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.5% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- 14 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 14 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) WENDELL G. VAN AUKEN, III - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 985,338 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 985,338 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 985,338 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.3% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- 15 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 15 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) MICHAEL J. LEVINTHAL - -------------------------------------------------------------------------------- 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 SHARES 36,324 (INCLUDES OPTIONS TO PURCHASE 14,598 SHARES) ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 985,338 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING 36,324 (INCLUDES OPTIONS TO PURCHASE 14,598 SHARES) ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 985,338 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,021,662 (INCLUDES OPTIONS TO PURCHASE 14,598 SHARES) - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.6% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- 16 - ------------------------------------- ---------------------------- CUSIP NO. 343909107 13G PAGE 16 OF 24 PAGES - ------------------------------------- ---------------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) A. GRANT HEIDRICH, III - -------------------------------------------------------------------------------- 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 SHARES -0- ---------------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY 985,338 ---------------------------------------------------------------- 7. SOLE DISPOSITIVE POWER EACH REPORTING -0- ---------------------------------------------------------------- PERSON 8. SHARED DISPOSITIVE POWER WITH 985,338 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 985,338 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.3% - -------------------------------------------------------------------------------- 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, III A. Grant Heidrich, III F. Gibson Myers, Jr. William D. Unger Michael J. Levinthal (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: c/o 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. Page 17 of 24 pages. 18 (d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $.01 per share. (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 24 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 14, 2000 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 24 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, III 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 24 pages. 21 A. GRANT HEIDRICH, III By: /s/ George A. Pavlov ---------------------------------------- George A. Pavlov, Attorney In Fact Page 21 of 24 pages. 22 EXHIBIT 1 Exhibit 1 "Statement Appointing Designated Filer and Authorized Signatory" is hereby incorporated by reference to Exhibit 1 to the Statement on Schedule 13G dated February 17, 1998. Page 22 of 24 pages. 23 EXHIBIT 2
PERCENT OF CLASS BENEFICIALLY NUMBER OF SHARES NUMBER OF SHARES OWNED (DIRECT NAME OF REPORTING PERSON (DIRECT) (INDIRECT) AND INDIRECT)(1) ------------------------ ---------------- ---------------- ---------------- Mayfield VI Investment Partners, a California Limited 467,992(2) 67,162(4) 4.0% Partnership Mayfield VI Management Partners, a California Limited -0- 535,154(2)(4) 4.0% Partnership Mayfield VII, a California Limited Partnership 357,570(3) 48,676(5) 3.0% Mayfield VII Management Partners, a California Limited -0- 406,246(3)(5) 3.0% Partnership Mayfield Medical Partners, a California Partnership 67,162(4) -0- 0.5% Mayfield Medical Partners (1992), a California Partnership 48,676(5) -0- 0.4% Mayfield Associates Fund, a California Limited Partnership 23,130(6) -0- 0.2% Mayfield Associates Fund II , a California Limited Partnership 20,808(7) -0- 0.2% Yogen K. Dalal 534(9) 985,338(8) 7.3% F. Gibson Myers 32,826(9) 985,338(8) 7.6% Kevin A. Fong 19,906(9) 985,338(8) 7.5% William D. Unger 20,493(9) 985,338(8) 7.5% Wendell G. Van Auken, III -0- 985,338(8) 7.3% Michael J. Levinthal 36,324(9)(10) 985,338(8) 7.6% A. Grant Heidrich, III -0- 985,338(8) 7.3% Total 1,096,190 8.1%
(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, par value $.01, as of October 31, 1999 as reported in the issuer's Form 10-Q for the quarter ended September 30, 1999. Page 23 of 24 pages. 24 (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. (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 above are General Partners of Mayfield VII Management Partners, which is the general partner of Mayfield VII which is the General Partner of Mayfield Medical Partners (1992). The individual Reporting Persons listed above, 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 listed above 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 above 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. (9) 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. Includes shares held by each of the individual Reporting Persons as trustee. (10) Excludes unvested director options to purchase 2,709 shares, of which 104 shares become exercisable on a monthly basis. Page 24 of 24 pages. -----END PRIVACY-ENHANCED MESSAGE-----