SC 13G/A 1 dsc13ga.txt AMENDMENT NO. 1 TO SCHEDULE 13G 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. 1) (1) Nuance Communications, Inc. (Name of Issuer) Common Stock, $0.01 par value (Title of Class of Securities) 66996710 (CUSIP Number) December 31, 2001 (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). 13G CUSIP NO. 66996710 Page 2 of 16 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 -0- SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- ------------------------------------------------------------------------------ 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 PN ------------------------------------------------------------------------------ 13G CUSIP NO. 66996710 Page 3 of 16 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 -0- SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- ------------------------------------------------------------------------------ 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 PN ------------------------------------------------------------------------------ 13G CUSIP NO. 66996710 Page 4 of 16 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 -0- SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- ------------------------------------------------------------------------------ 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 PN ------------------------------------------------------------------------------ 13G CUSIP NO. 66996710 Page 5 of 16 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 64,109(INCLUDES OPTIONS TO PURCHASE 15,000 SHARES) SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 64,109(INCLUDES OPTIONS TO PURCHASE 15,000 SHARES) PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 64,109(INCLUDES OPTIONS TO PURCHASE 15,000 SHARES) ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.2% ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IN ------------------------------------------------------------------------------ 13G CUSIP NO. 66996710 Page 6 of 16 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 38,753 SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 38,753 PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 38,753 ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IN ------------------------------------------------------------------------------ 13G CUSIP NO. 66996710 Page 7 of 16 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 14,763 SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 14,763 PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 14,763 ------------------------------------------------------------------------------ 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 IN ------------------------------------------------------------------------------ 13G CUSIP NO. 66996710 Page 8 of 16 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 -0- SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING -0- PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON -0- ------------------------------------------------------------------------------ 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 IN ------------------------------------------------------------------------------ 13G CUSIP NO. 66996710 Page 9 of 16 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 30,358 SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 30,358 PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 30,358 ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IN ------------------------------------------------------------------------------ 13G CUSIP NO. 66996710 Page 10 of 16 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 40,359 SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 40,359 PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 40,359 ------------------------------------------------------------------------------ 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [_] ------------------------------------------------------------------------------ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 0.1% ------------------------------------------------------------------------------ 12. TYPE OF REPORTING PERSON IN ------------------------------------------------------------------------------ 13G CUSIP NO. 66996710 Page 11 of 16 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 102 SHARES ----------------------------------------------------------- 6. SHARED VOTING POWER BENEFICIALLY OWNED BY -0- ----------------------------------------------------------- EACH 7. SOLE DISPOSITIVE POWER REPORTING 102 PERSON ----------------------------------------------------------- 8. SHARED DISPOSITIVE POWER WITH -0- ------------------------------------------------------------------------------ 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 102 ------------------------------------------------------------------------------ 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 IN ------------------------------------------------------------------------------ Item 1. (a) Name of Issuer: Nuance Communications, Inc. (b) Address of Issuer's Principal Executive Offices: 1005 Hamilton Ct. Menlo Park, CA 94025 Item 2. (a) Name of Persons 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 (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. The individuals listed in Item 2(a) are U.S. citizens. (d) Title of Class of Securities: Common Stock, $0.01 par value (e) CUSIP Number: 66996710 Page 12 of 16 pages. Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), 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 2-11 hereto, is hereby incorporated by reference. Shares beneficially owned by each individual reporting person are held as trustee of a trust for the benefit of such reporting person and members of his family (except for 8,750 shares that are beneficially owned by Mr. Dalal directly, 15,000 shares that are subject to options held by Mr. Dalal, 9,207 shares that are held directly by Mr. Fong and 8,777 shares that are beneficially owned by Mr. Van Auken through a family partnership). 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 [|X|]. 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 13 of 16 pages. 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 13, 2002 MAYFIELD VII A California Limited Partnership By: Mayfield VII Management Partners, a California Limited Partnership, Its General Partner By: /s/ James T. Beck -------------------------------------------- James T. Beck, Authorized Signatory MAYFIELD VII MANAGEMENT PARTNERS A California Limited Partnership By: /s/ James T. Beck -------------------------------------------- James T. Beck, Authorized Signatory MAYFIELD ASSOCIATES FUND II A California Limited Partnership By: /s/ James T. Beck -------------------------------------------- James T. Beck, Authorized Signatory YOGEN K. DALAL By: /s/ James T. Beck -------------------------------------------- James T. Beck, Attorney In Fact F. GIBSON MYERS, JR. By: /s/ James T. Beck -------------------------------------------- James T. Beck, Attorney In Fact KEVIN A. FONG By: /s/ James T. Beck -------------------------------------------- James T. Beck, Attorney In Fact WILLIAM D. UNGER By: /s/ James T. Beck -------------------------------------------- James T. Beck, Attorney In Fact Page 14 of 16 pages. WENDELL G. VAN AUKEN, III By: /s/ James T. Beck -------------------------------------------- James T. Beck, Attorney In Fact MICHAEL J. LEVINTHAL By: /s/ James T. Beck -------------------------------------------- James T. Beck, Attorney In Fact A. GRANT HEIDRICH, III By: /s/ James T. Beck -------------------------------------------- James T. Beck, Attorney In Fact Page 15 of 16 pages. EXHIBIT INDEX Exhibit 1 - "JOINT FILING AGREEMENT" is hereby incorporated by reference to Exhibit 1 to the Statement on Schedule 13G dated February 13, 2001. Exhibit 2 - "POWERS OF ATTORNEY" is hereby incorporated by reference to Exhibit 2 to the Statement on Schedule 13G dated February 13, 2001. Page 16 of 16 pages.