-----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, I9wV3hqXHKokJ0EoxMcZ3VEn1u6QYFZ65iWQfCXoRb6yQrhjVjzc9tRz1JAKbp6H E58rVSTbPM0wzOxcw2/WUA== 0000950149-99-000246.txt : 19990217 0000950149-99-000246.hdr.sgml : 19990217 ACCESSION NUMBER: 0000950149-99-000246 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 GROUP MEMBERS: A. GRANT HEIDRICH, III GROUP MEMBERS: F. GIBSON MYERS, JR. GROUP MEMBERS: KEVIN A. FONG GROUP MEMBERS: MAYFIELD ASSOCIATES FUND II GROUP MEMBERS: MAYFIELD VII GROUP MEMBERS: MAYFIELD VII MANAGEMENT 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: HEARTSTREAM INC/DE CENTRAL INDEX KEY: 0001004313 STANDARD INDUSTRIAL CLASSIFICATION: ELECTROMEDICAL & ELECTROTHERAPEUTIC APPARATUS [3845] IRS NUMBER: 911577477 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49541 FILM NUMBER: 99540670 BUSINESS ADDRESS: STREET 1: 2401 FOURTH AVENUE STREET 2: STE 300 CITY: SEATTLE STATE: WA ZIP: 98121 BUSINESS PHONE: 2064437630 MAIL ADDRESS: STREET 1: 2401 4TH AVENUE STE 300 CITY: SEATTLE STATE: WA ZIP: 98121 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. 2 TO SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No.2)(1) Heartstream, Inc. (Name of Issuer) Common Stock, par value $.001 per share (Title of Class of Securities) 421963109 (CUSIP Number) December 31, 1998 (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 13G - ------------------- ------------------ CUSIP No. 421963109 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 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 -0- Number of Shares -------------------------------------------------- Beneficially Owned By 6. Shared Voting Power Each Reporting -0- Person With -------------------------------------------------- 7. Sole Dispositive Power -0- -------------------------------------------------- 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 3 13G - ------------------- ------------------ CUSIP No. 421963109 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 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 -0- --------------------------------------------------- 6. Shared Voting Power Number of Shares -0- Beneficially Owned By --------------------------------------------------- Each Reporting 7. Sole Dispositive Power Person With -0- --------------------------------------------------- 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 4 13G - ------------------- ------------------ CUSIP No. 421963109 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 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 -0- --------------------------------------------------- 6. Shared Voting Power Number of Shares Beneficially Owned By -0- Each Reporting --------------------------------------------------- Person With 7. Sole Dispositive Power -0- --------------------------------------------------- 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 5 13G - ------------------- ------------------ CUSIP No. 421963109 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 -0- --------------------------------------------------- 6. Shared Voting Power Number of Shares -0- Beneficially --------------------------------------------------- Owned By 7. Sole Dispositive Power Each Reporting -0- Person --------------------------------------------------- With 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 6 13G - ------------------- ------------------ CUSIP No. 421963109 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 -0- --------------------------------------------------- 6. Shared Voting Power Number of Shares -0- Beneficially --------------------------------------------------- Owned By 7. Sole Dispositive Power Each Reporting -0- Person --------------------------------------------------- With 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 7 13G - ------------------- ------------------ CUSIP No. 421963109 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 -0- --------------------------------------------------- Number of 6. Shared Voting Power Shares Beneficially -0- Owned By --------------------------------------------------- Each 7. Sole Dispositive Power Reporting Person -0- With --------------------------------------------------- 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 8 13G - ------------------- ------------------ CUSIP No. 421963109 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 -0- --------------------------------------------------- 6. Shared Voting Power Number of Shares -0- Beneficially --------------------------------------------------- Owned By 7. Sole Dispositive Power Each Reporting -0- Person --------------------------------------------------- With 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 9 13G - ------------------- ------------------ CUSIP No. 421963109 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 -0- --------------------------------------------------- 6. Shared Voting Power Number of Shares -0- Beneficially --------------------------------------------------- Owned By 7. Sole Dispositive Power Each Reporting -0- Person --------------------------------------------------- With 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 10 13G - ------------------- ------------------- CUSIP No. 421963109 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 -0- --------------------------------------------------- 6. Shared Voting Power Number of Shares -0- Beneficially --------------------------------------------------- Owned By 7. Sole Dispositive Power Each Reporting -0- Person --------------------------------------------------- With 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 11 13G - ------------------- ------------------- CUSIP No. 421963109 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 -0- --------------------------------------------------- 6. Shared Voting Power Number of Shares -0- Beneficially --------------------------------------------------- Owned By 7. Sole Dispositive Power Each Reporting -0- Person --------------------------------------------------- With 8. Shared Dispositive Power -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 - -------------------------------------------------------------------------------- 12 ITEM 1. (a) NAME OF ISSUER: Heartstream, Inc. (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 2401 4th Avenue, Suite 300 Seattle, WA 98121 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 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. The individuals listed in Item 2(a) are U.S. citizens. (d) TITLE OF CLASS OF SECURITIES: Common Stock, par value $.001 per share (e) CUSIP NUMBER: 421963109 Page 12 of 16 pages. 13 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 2-11 hereto, is hereby incorporated by reference. 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. 14 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 16, 1999 MAYFIELD VII A California Limited Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory By: MAYFIELD VII MANAGEMENT PARTNERS A California Limited Partnership By: /s/ George A. Pavlov ----------------------------------------- George A. Pavlov, Authorized Signatory By: 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 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 Page 14 of 16 pages. 15 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 Page 15 of 16 pages. -----END PRIVACY-ENHANCED MESSAGE-----