-----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, Aa65gv4zQTOdlAJr7D5evYSEzlRO3Qo6TmGQHlNOTfEFyy8HKMu1oo9OPxDr6Ark gYnnK8H0gBz36elhPPoWqA== 0001029869-97-000184.txt : 19970222 0001029869-97-000184.hdr.sgml : 19970222 ACCESSION NUMBER: 0001029869-97-000184 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HARMONIC LIGHTWAVES INC CENTRAL INDEX KEY: 0000851310 STANDARD INDUSTRIAL CLASSIFICATION: RADIO & TV BROADCASTING & COMMUNICATIONS EQUIPMENT [3663] IRS NUMBER: 770201147 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-45299 FILM NUMBER: 97533775 BUSINESS ADDRESS: STREET 1: 3005 BUNKER HILL LANE CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089709880 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. 1)* Harmonic Lightwaves, Inc. ------------------------- (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 413160102 -------------- (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 8 Pages - ------------------------- --------------------------- |CUSIP NO. 413160102 | 13G | Page 2 of 8 Pages | | ----------- | | --- --- | - ------------------------- --------------------------- |--------|---------------------------------------------------------------------| | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Aeneas Venture Corporation | |--------|---------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | (b) [ ] | | | | |--------|---------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |--------|---------------------------------------------------------------------| | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | Delaware | |--------|-----------------|--------|------------------------------------------| | | 5 | SOLE VOTING POWER | | | | 0 shares | | NUMBER OF |--------| -----------------------------------------| | SHARES | 6 | SHARED VOTING POWER | | BENEFICIALLY | | -- | | OWNED BY ----------------------------------------------------| | EACH | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | 0 shares | | PERSON ----------------------------------------------------| | 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 8 Pages SCHEDULE 13G ------------ Item 1(a) Name of Issuer: Harmonic Lightwaves, Inc. 1(b) Address of Issuer's Principal Executive Offices: 3005 Bunker Hill Lane Santa Clara, CA 95054 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 2(e) CUSIP Number: 413160102 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: 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 8 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 the date hereof the reporting person 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 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/ Tami E. Nason --------------------------------- Name: Tami E. Nason Title: Authorized Signatory February 12, 1997 Pursuant to Rule 101(a)(2)(ii) of Regulation S-T, attached hereto as Exhibit A to this Schedule 13G-A is a copy of the initial Schedule 13G. Page 4 of 8 Pages Exhibit A --------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Harmonic Lightwaves Inc. ------------------------ (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 413160102 -------------- (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 8 Pages - ------------------------- --------------------------- |CUSIP NO. 413160102 | 13G | Page 6 of 8 Pages | | ----------- | | --- --- | - ------------------------- --------------------------- |--------|---------------------------------------------------------------------| | 1 | NAME OF REPORTING PERSON | | | S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON | | | | | | Aeneas Venture Corporation | |--------|---------------------------------------------------------------------| | 2 | CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] | | | (b) [ ] | | | | |--------|---------------------------------------------------------------------| | 3 | SEC USE ONLY | | | | |--------|---------------------------------------------------------------------| | 4 | CITIZENSHIP OR PLACE OF ORGANIZATION | | | | | | Delaware | |--------|-----------------|--------|------------------------------------------| | | 5 | SOLE VOTING POWER | | | | 935,927 shares | | NUMBER OF |--------| -----------------------------------------| | SHARES | 6 | SHARED VOTING POWER | | BENEFICIALLY | | -- | | OWNED BY ----------------------------------------------------| | EACH | 7 | SOLE DISPOSITIVE POWER | | REPORTING | | 935,927 shares | | PERSON ----------------------------------------------------| | WITH | 8 | SHARED DISPOSITIVE POWER | | | | -- | |--------|---------------------------------------------------------------------| | 9 | AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON | | | | | | 935,927 shares | |--------|- -------------------------------------------------------------------| | 10 | CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN [ ] | | | SHARES* | | | | |--------|- -------------------------------------------------------------------| | 11 | PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) | | | 9.5% | |--------|- -------------------------------------------------------------------| | 12 | TYPE OF REPORTING PERSON * | | | CO | - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Page 6 of 8 Pages SCHEDULE 13G ------------ Item 1(a) Name of Issuer: Harmonic Lightwaves Inc. 1(b) Address of Issuer's Principal Executive Offices: 3005 Bunker Hill Lane Santa Clara, CA 95054 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 2(e) CUSIP Number: 413160102 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: 935,927 shares 4(b) Percent of Class: 9.5% 4(c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 935,927 shares (ii) shared power to vote or to direct the vote: ------ Page 7 of 8 Pages (iii) sole power to dispose or to direct the disposition of: 935,927 shares (iv) shared power to dispose or to direct the disposition of: ------ 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: Authorized Signatory February 13, 1996 Page 8 of 8 Pages -----END PRIVACY-ENHANCED MESSAGE-----