-----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, I38HguOpapDREOEL8W7Q8In6fP+8qCtyqflFKPplhfyCutUSJ5+a7SheVhcHSpmX HIYZb1v/17N9PG6pUoM4ZQ== 0000891618-97-000574.txt : 19970222 0000891618-97-000574.hdr.sgml : 19970222 ACCESSION NUMBER: 0000891618-97-000574 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ADVENT SOFTWARE INC /DE/ CENTRAL INDEX KEY: 0001002225 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 942901952 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46001 FILM NUMBER: 97532703 BUSINESS ADDRESS: STREET 1: 301 BRANNAN ST CITY: SAN FRANCISCO STATE: CA ZIP: 94107 BUSINESS PHONE: 4155437696 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MAYFIELD VII CENTRAL INDEX KEY: 0000895003 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943167809 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 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 AMENDMENT NO. 1 TO SCHEDULE 13G 1 OMB APPROVAL OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response.............14.90 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* Advent Software, Inc. - -------------------------------------------------------------------------------- (NAME OF ISSUER) Common Stock - -------------------------------------------------------------------------------- (TITLE OF CLASS OF SECURITIES) 007974108 - -------------------------------------------------------------------------------- (CUSIP NUMBER) *The remainder of this cover page shall be filled out for a reporting person's initial filing of 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). SEC 1745 (2-95) 2 - ------------------- CUSIP NO. 007974108 13G - ------------------- - -------------------------------------------------------------------------------- 1. NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 --------------------------------------------------- SHARES BENEFICIALLY 6. SHARED VOTING POWER OWNED BY 642,278 EACH --------------------------------------------------- REPORTING 7. SOLE DISPOSITIVE POWER PERSON WITH --------------------------------------------------- 8. SHARED DISPOSITIVE POWER 642,278 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 642,278 - -------------------------------------------------------------------------------- 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 3 - ------------------- CUSIP NO. 007974108 13G - ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 SHARES --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 642,278 EACH REPORTING --------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER --------------------------------------------------- 8 SHARED DISPOSITIVE POWER 642,278 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 642,278 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 4 - ------------------- CUSIP NO. 007974108 13G - ------------------- - ---------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 --------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 29,098 OWNED BY EACH --------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH --------------------------------------------------- 8 SHARED DISPOSITIVE POWER 29,098 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 29,098 - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 5 - ------------------- CUSIP NO. 007974108 13G - ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 9,944 NUMBER OF --------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 671,376 OWNED BY EACH --------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 9,944 --------------------------------------------------- 8 SHARED DISPOSITIVE POWER SEE NUMBER 6 ABOVE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 681,320 - -------------------------------------------------------------------------------- 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* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 6 - ------------------- CUSIP NO. 007974108 13G - ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 24,133 NUMBER OF --------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 671,376 OWNED BY EACH --------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH 24,133 --------------------------------------------------- 8 SHARED DISPOSITIVE POWER SEE NUMBER 6 ABOVE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 695,509 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 7 - ------------------- CUSIP NO. 007974108 13G - ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 500 NUMBER OF SHARES --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 671,376 EACH REPORTING --------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 500 --------------------------------------------------- 8 SHARED DISPOSITIVE POWER SEE NUMBER 6 ABOVE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 671,876 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.4% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 8 - ------------------- CUSIP NO. 007974108 13G - ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 20,600 NUMBER OF SHARES --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 671,376 EACH REPORTING --------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 20,600 --------------------------------------------------- 8 SHARED DISPOSITIVE POWER SEE NUMBER 6 ABOVE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 691,976 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 9 - ------------------- CUSIP NO. 007974108 13G - ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Wendell G. Van Auken, 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 24,543 NUMBER OF SHARES --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 671,376 EACH REPORTING --------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 24,543 --------------------------------------------------- 8 SHARED DISPOSITIVE POWER SEE NUMBER 6 ABOVE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 695,919 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 10 - ------------------- CUSIP NO. 007974108 13G - ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 13,645 NUMBER OF SHARES --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 671,376 EACH REPORTING --------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 13,645 --------------------------------------------------- 8 SHARED DISPOSITIVE POWER SEE NUMBER 6 ABOVE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 685,021 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.6% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 11 - ------------------- CUSIP NO. 007974108 13G - ------------------- - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON 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 26,408 NUMBER OF SHARES --------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 671,376 EACH REPORTING --------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 26,408 --------------------------------------------------- 8 SHARED DISPOSITIVE POWER SEE NUMBER 6 ABOVE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 697,784 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 9.8% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT 12 ITEM 1. (a) Name of Issuer: Advent Software, Inc. (b) Address of Issuer's Principal Executive Offices: 301 Brannan Street San Francisco, CA 94107 ITEM 2. (a) Name of Person(s) Filing: Mayfield VII, a California Limited Partnership Mayfield VII Management Partners, a California Limited Partnership Mayfield Associates Fund II, a California Limited Partnership Yogen K. Dalal F. Gibson Myers, Jr. Kevin A. Fong William D. Unger Wendell G. Van Auken, III Michael J. Levinthal A. Grant Heidrich, III (For a list of the General Partners of the limited partnerships listed above, see EXHIBIT C.) (b) Address of Principal Office: The entities and individuals listed in Item 2(a) Share the following business address: The Mayfield Fund 2800 Sand Hill Road Menlo Park, CA 94025 (c) Citizenship: The entities listed in Item 2(a) are California Limited Partnerships. The individuals listed in Item 2(a) are U.S. citizens. (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 007974108 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B), CHECK WHETHER THE PERSON IS A: (a) / / Broker or Dealer registered under Section 15 of the Act 13 (b) / / Bank as defined in section 3(a)(6) of the Act (c) / / Insurance Company as defined in section 3(a)(19) of the Act (d) / / Investment Company registered under section 8 of the Investment Company Act (e) / / Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund, see Section 240.13d-1(b)(1)(ii)(F) (g) / / Parent Holding Company, in accordance with Section 240.13d-1 (b)(ii)(G) (Note: See Item 7) (h) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(H) N/A ITEM 4. OWNERSHIP The information regarding ownership as set forth in Items 5-9 of Pages 2-11 hereto, is hereby incorporated by reference. For a summary of total ownership by all Reporting Persons, see EXHIBIT A hereto, which is hereby incorporated by reference. ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS N/A ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. N/A ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. N/A ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP N/A ITEM 9. NOTICE OF DISSOLUTION OF GROUP N/A ITEM 10. CERTIFICATION N/A 14 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. February 13, 1997 ------------------------- Date 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 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 15 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 A. GRANT HEIDRICH, III By: /s/ George A. Pavlov ---------------------------------- George A. Pavlov, Attorney In Fact EXHIBITS A-Summary of Beneficial Ownership B-Statement Appointing Designated Filer and Authorized Signatory C-List of General Partners 16 EXHIBIT A BENEFICIAL OWNERSHIP OF EACH REPORTING PERSON
- ---------------------------------------------------------------------------------------------------------------- NAME OF REPORTING PERSON NUMBER OF NUMBER OF PERCENT OF CLASS SHARES HELD SHARES HELD BENEFICIALLY OWNED(1) - ---------------------------------------------------------------------------------------------------------------- OF RECORD BENEFICIALLY - ---------------------------------------------------------------------------------------------------------------- Mayfield VII, 642,278 642,278 9.0% a California Limited Partnership - ---------------------------------------------------------------------------------------------------------------- Mayfield VII Management Partners, 0 642,278(2) 9.0% a California Limited Partnership - ---------------------------------------------------------------------------------------------------------------- Mayfield Associates Fund II, 29,098 29,098 0.4% a California Limited Partnership - ---------------------------------------------------------------------------------------------------------------- Yogen K. Dalal 9,944 681,230(3) 9.5% - ---------------------------------------------------------------------------------------------------------------- F. Gibson Myers, Jr. 24,133 695,509(3) 9.7% - ---------------------------------------------------------------------------------------------------------------- Kevin A. Fong 500 671,876(3) 9.3% - ---------------------------------------------------------------------------------------------------------------- William D. Unger 20,600 691,976(3) 9.7% - ---------------------------------------------------------------------------------------------------------------- Wendell G. Van Auken, III 24,543 695,919(3) 9.7% - ---------------------------------------------------------------------------------------------------------------- Michael J. Levinthal 13,645 685,021(3) 9.6% - ---------------------------------------------------------------------------------------------------------------- A. Grant Heidrich, III 26,408 697,784(3) 9.8% - ---------------------------------------------------------------------------------------------------------------- -------- --------- ------ - ---------------------------------------------------------------------------------------------------------------- Total 791,149 791,149 11.1% - ----------------------------------------------------------------------------------------------------------------
(1) The respective percentages set forth in this column were obtained by dividing the number of shares in the third column by the aggregate number of outstanding shares of Common Stock, which aggregate amount, according to the cover page of the Issuer's Quarterly Report on Form 10-Q for the three month period ended September 30, 1996, was 7,148,658. (2) Represents shares held of record by Mayfield VII, of which Mayfield VII Management Partners is the sole General Partner. (3) The individual Reporting Persons listed in column one are General Partners of the General Partner of Mayfield VII and General Partners of Mayfield Associates Fund II. The shares indicated in column two represent shares held of record by such individual Reporting Person, with sole voting and investment power with respect thereto. The individual Reporting Persons listed in column one may be deemed to have shared voting and dispositive power over the 642,278 shares held of record by Mayfield VII and the 29,098 shares held of record by Mayfield Associates Fund II. 17 EXHIBIT B 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 EXHIBIT A 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 entities listed in Column I of EXHIBIT A 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) or Section 16 of the Exchange Act. Date: February 10, 1997 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 1 18 Date: February 10, 1997 MAYFIELD VI MANAGEMENT PARTNERS, a California Limited Partnership By: /s/ George A. Pavlov --------------------- Authorized Signatory Date: February 10, 1997 MAYFIELD VII a California Limited Partnership By: Mayfield VII Management Partners, a California Limited Partnership, Its General Partner By: /s/ George A. Pavlov --------------------- Authorized Signatory Date: February 10, 1997 MAYFIELD VII MANAGEMENT PARTNERS, a California Limited Partnership By: /s/ George A. Pavlov --------------------- Authorized Signatory Date: February 10, 1997 MAYFIELD VIII, a California Limited Partnership By: Mayfield VIII Management, L.L.C., Its General Partner By: /s/ George A. Pavlov --------------------- Authorized Signatory 2 19 Date: February 10, 1997 MAYFIELD VIII MANAGEMENT, L.L.C., a Delaware Limited Liability Company By: /s/ George A. Pavlov ------------------------------- Authorized Signatory Date: February 10, 1997 MAYFIELD SOFTWARE TECHNOLOGY 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 -------------------------------- Authorized Signatory Date: February 10, 1997 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 --------------------------------- Authorized Signatory 3 20 Date: February 10, 1997 MAYFIELD MEDICAL PARTNERS 1992, a California Partnership By: Mayfield VII, a California Limited Partnership, Its General Partner By: Mayfield VI Management Partners, a California limited partnership, Its General Partner By: /s/ George A. Pavlov ----------------------------- Authorized Signatory Date: February 10, 1997 MAYFIELD ASSOCIATES FUND, a California Limited Partnership By: /s/ George A. Pavlov ----------------------------- Authorized Signatory Date: February 10, 1997 MAYFIELD ASSOCIATES FUND II, a California Limited Partnership By: /s/ George A. Pavlov ----------------------------- Authorized Signatory Date: February 10, 1997 /s/ Yogen K. Dalal --------------------------------- YOGEN K. DALAL Date: February 10, 1997 /s/ Kevin A. Fong --------------------------------- KEVIN A. FONG 4 21 Date: February 10, 1997 /s/ A. Grant Heidrich III --------------------------------- A. GRANT HEIDRICH III Date: February 10, 1997 /s/ Russell C. Hirsch --------------------------------- RUSSELL C. HIRSCH Date: February 10, 1997 /s/ Wende S. Hutton --------------------------------- WENDE S. HUTTON Date: February 10, 1997 /s/ Michael J. Levinthal --------------------------------- MICHAEL J. LEVINTHAL Date: February 10, 1997 /s/ F. Gibson Myers, Jr. --------------------------------- F. GIBSON MYERS, JR. Date: February 10, 1997 /s/ William D. Unger --------------------------------- WILLIAM D. UNGER Date: February 10, 1997 /s/ Wendell G. Van Auken III --------------------------------- WENDELL G. VAN AUKEN III 5 22 EXHIBIT A
COLUMN I COLUMN II PERSONS/ENTITIES ON WHOSE BEHALF - -------- --------- -------------------------------- PUBLICLY TRADED COMPANY DESIGNATED FILER THE DESIGNATED FILER MAY ACT - ----------------------- ---------------- -------------------------------- ADVENT SOFTWARE, INC. MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS, MAYFIELD ASSOCIATES FUND II, YKD, FGM, KAF, WDU, WVA, MJL, AGH BROADVISION, INC. MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS, MAYFIELD ASSOCIATES FUND II, YKD, KAF, MJL DIGITAL GENERATION SYSTEMS, MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS, INC. MAYFIELD ASSOCIATES FUND II, YKD, KAF, WDU, WVA, MJL, AGH DIGITAL SYSTEMS MAYFIELD VI MAYFIELD VI MANAGEMENT PARTNERS, INTERNATIONAL, INC. INVESTMENT MAYFIELD VII, PARTNERS MAYFIELD ASSOCIATES FUND, MAYFIELD ASSOCIATES FUND II GYNECARE, INC. MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS, MAYFIELD ASSOCIATES FUND II, YKD, FGM, KAF, WDU, MJL, AGH, WSH HEARTSTREAM, INC. MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS, MAYFIELD ASSOCIATES FUND II, YKD, FGM, KAF, WDU, WVA, MJL, AGH, WSH INCONTROL, INC. MAYFIELD VI MAYFIELD VI MANAGEMENT PARTNERS, INVESTMENT MAYFIELD MEDICAL PARTNERS, PARTNERS YKD, FGM, KAF, WDU, WVA, MJL, AGH MILLENNIUM MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS, PHARMACEUTICALS, INC. MAYFIELD ASSOCIATES FUND II, MAYFIELD MEDICAL PARTNERS 1992, YKD, FGM, KAF, WDU, WVA, MJL, AGH
6 23 PRISM SOLUTIONS, INC. MAYFIELD VI MAYFIELD VI MANAGEMENT PARTNERS, INVESTMENT MAYFIELD ASSOCIATES FUND, PARTNERS MAYFIELD SOFTWARE TECHNOLOGY PARTNERS, YKD, FGM, KAF, WDU, WVA, MJL SPECTRALINK CORPORATION MAYFIELD VI MAYFIELD VI MANAGEMENT PARTNERS, INVESTMENT MAYFIELD ASSOCIATES FUND, PARTNERS YKD
YKD = Yogen K. Dalal FGM = F. Gibson Myers, Jr. KAF = Kevin A. Fong WDU = William D. Unger WVA = Wendell G. Van Auken III MJL = Michael J. Levinthal AGH = A. Grant Heidrich III WSH = Wende S. Hutton
7 24 EXHIBIT C LIST OF GENERAL PARTNERS The following list sets forth the General Partners with respect to certain of the Mayfield Entities: The General Partner of Mayfield VI Investment Partners is Mayfield VI Management Partners. The General Partners of Mayfield VI Management Partners are: (1) F. Gibson Myers, Jr. (4) William D. Unger (2) A. Grant Heidrich, III (5) Wendell G. Van Auken, III (3) Michael J. Levinthal (6) Kevin A. Fong The General Partner of Mayfield VII is Mayfield VII Management Partners. The General Partners of Mayfield VII Management Partners are: (1) F. Gibson Myers, Jr. (4) William D. Unger (2) A. Grant Heidrich, III (5) Wendell G. Van Auken, III (3) Michael J. Levinthal (6) Kevin A. Fong The General Partners of Mayfield Associates Fund are: (1) F. Gibson Myers, Jr. (4) William D. Unger (2) A. Grant Heidrich, III (5) Wendell G. Van Auken, III (3) Michael J. Levinthal The General Partners of Mayfield Associates Fund II are: (1) F. Gibson Myers, Jr. (4) William D. Unger (2) A. Grant Heidrich, III (5) Wendell G. Van Auken, III (3) Michael J. Levinthal (6) Kevin A. Fong (7) Yogen K. Dalal The General Partner of Mayfield Medical Partners is: (1) Mayfield VI Investment Partners (The General Partner of which has been detailed above) The General Partner of Mayfield Medical Partners 1992 is: (1) Mayfield VII (The General Partner of which has been detailed above) The General Partners of Mayfield Software Technology Partners are: (1) Mayfield VI Investment Partners (the General Partner of which has been detailed above) (2) Yogen K. Dalal -----END PRIVACY-ENHANCED MESSAGE-----