-----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, DkCVwPnGHx0NBD11LX4e1/yknvSk7Ju3Fr5frPjyIuqefn7yF362FYQoOkHUYpVz 27G8GVL6ASXZ5oLRIWzzMQ== 0000950005-98-000218.txt : 19980218 0000950005-98-000218.hdr.sgml : 19980218 ACCESSION NUMBER: 0000950005-98-000218 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: APPLIED MICRO CIRCUITS CORP CENTRAL INDEX KEY: 0000711065 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 942586591 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-53429 FILM NUMBER: 98541715 BUSINESS ADDRESS: STREET 1: 6290 SEQUENCE DR CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 6194509333 MAIL ADDRESS: STREET 1: 6290 SEQUENCE DRIVE CITY: SAN DIEGO STATE: CA ZIP: 92121 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SEQUOIA CAPITAL GROWTH FUND ET AL CENTRAL INDEX KEY: 0000931251 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 954107950 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 3000 SAND HILL ROAD 4-280 CITY: MENCO PARK STATE: CA ZIP: 94025 BUSINESS PHONE: 4158543927 MAIL ADDRESS: STREET 1: 3000 SAND HILL ROAD 4-280 CITY: MENCO PARK STATE: CA ZIP: 94025 SC 13G 1 FORM SC 13G THIS PAPER DOCUMENT IS BEING SUBMITTED PURSUANT TO RULE 902(g) OF REGULATION S-T. SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. ______)* APPLIED MICROCIRCUITS CORPORATION (Name of Issuer) COMMON (Title of Class of Securities) 03822W109 (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 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). Page 1 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 03822W109 13G Page 2 of 13 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS SEQUOIA CAPITAL GROWTH FUND 95-4107950 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] N/A (b) [ ] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH NONE ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,142,856 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER NONE ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,142,856 - ---------------------------- ------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,142,865 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.8% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 2 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 03822W109 13G Page 3 of 13 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS SEQUOIA PARTNERS (CF) 95-4107954 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] N/A (b) [ ] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,142,856 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER NONE ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,142,856 - ---------------------------- ------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,142,856 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.8% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 3 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 03822W109 13G Page 4 of 13 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS SEQUOIA TECHNOLOGY PARTNERS III 95-4121645 - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] N/A (b) [ ] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION California - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH NONE ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 57,136 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER NONE ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 57,136 - ---------------------------- ------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 57,136 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 LESS THAN 1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* PN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 4 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 03822W109 13G Page 5 of 13 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS THOMAS F. STEPHENSON - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] N/A (b) [ ] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION US - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH NONE ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,199,992 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER NONE ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,199,992 - ---------------------------- ------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,199,992 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 5 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 03822W109 13G Page 6 of 13 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS DONALD T. VALENTINE - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] N/A (b) [ ] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION US - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,199,992 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER NONE ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,199,992 - ---------------------------- ------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,199,992 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 6 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 03822W109 13G Page 7 of 13 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS GORDON RUSSELL - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] N/A (b) [ ] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION US - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,199,992 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER NONE ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,199,992 - ---------------------------- ------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,199,992 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 7 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 03822W109 13G Page 8 of 13 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS PIERRE LAMOND - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] N/A (b) [ ] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION US - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,199,992 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER NONE ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,199,992 - ---------------------------- ------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,199,992 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 8 of 13 Pages
- ----------------------------------------------------- ------------------------------------------ CUSIP No. 03822W109 13G Page 9 of 13 Pages - ----------------------------------------------------- ------------------------------------------ - ------------- ---------------------------------------------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. or I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS MICHAEL MORITZ - ------------- ---------------------------------------------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] N/A (b) [ ] - ------------- ---------------------------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------- ---------------------------------------------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UK - ---------------------------- ------- ----------------------------------------------------------------------------------------------- NUMBER OF SHARES 5 SOLE VOTING POWER BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH none ------- ----------------------------------------------------------------------------------------------- 6 SHARED VOTING POWER 1,199,992 ------- ----------------------------------------------------------------------------------------------- 7 SOLE DISPOSITIVE POWER NONE ------- ----------------------------------------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,199,992 - ---------------------------- ------- ----------------------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,199,992 - ------------- ---------------------------------------------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------- ---------------------------------------------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.1% - ------------- ---------------------------------------------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------- ----------------------------------------------------------------------------------------------------------------------
Page 9 of 13 Pages Item 1. (a) Name of Issuer: APPLIED MICROCIRCUITS CORPORATION (b) Address of Issuer's Principal Executive Offices: 6195 LUSK BOULEVARD SAN DIEGO, CALIFORNIA 92121 Item 2. (a) Name of Persons Filing: Sequoia Capital Growth Fund ("SCGF") Sequoia Partners (CF) ("SP(CF)") Sequoia Technology Partners III Pierre Lamond ("PL") Donald T. Valentine ("DTV") Thomas F. Stephenson ("TFS") Gordon Russell ("GR") Michael Moritz ("MM") SP(CF) is the General Partner of SCGF. PL, DTV, TFS, GR AND MM are General Partners of SP(CF) and STP III. (b) Address of Principal Business Office or, if None, Residence: 3000 Sand Hill Road Building 4, Suite 280 Menlo Park, CA 94025 (c) Citizenship: SCGF, SP(CF), STP III: California PL, DTV, TFS, GR: United States; MM - UK (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 85915R105 Item 3. If this statement is filed pursuant to Rules 13d-1(b),or 13d-2(b), check whether the person filing is a: Not applicable Item 4. Ownership See Rows 5 through 11 of cover pages 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. Instruction. Dissolution of a group requires a response to this item. Item 6. Ownership of More than Five Percent on Behalf of Another Person Page 10 of 13 Pages 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 [The following certification shall be included if the statement is filed pursuant to Rule 13d-1(b):] By signing below I certify that, to the best of my 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 purpose or effect.] [EXHIBITS] [A: Joint Filing Statement] Page 11 of 13 Pages 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. Date: , 1998 SEQUOIA CAPITAL GROWTH FUND By its General Partner, Sequoia Partners (CF) - -------------------------------- Thomas F. Stepehenson, General Partner - -------------------------------- Pierre Lamond - -------------------------------- Donald T. Valentine - -------------------------------- Thomas F. Stephenson - -------------------------------- Gordon Russell - -------------------------------- Michael Moritz Page 12 of 13 Pages EXHIBIT A JOINT FILING STATEMENT Pursuant to Rule 13d-1(f)(1), we, the undersigned, hereby express our agreement that the attached Schedule 13G is filed on behalf of each of us. Date: , 1998 SEQUOIA CAPITAL GROWTH FUND SEQUOIA TECHNOLOGY PARTNERS III By its General Partner, Sequoia Partners (FR) - -------------------------------- -------------------------------- Thomas F. Stephenson, General Partner Thomas F. Stephenson, General Partner - -------------------------------- Pierre Lamond - -------------------------------- Donald T. Valentine - -------------------------------- Thomas F. Stephenson - -------------------------------- Gordon Russell - -------------------------------- Michael Moritz Page 13 of 13 Pages -----END PRIVACY-ENHANCED MESSAGE-----