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._______)*
Network Appliance, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
64120L104
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(CUSIP Number)
December 31, 1999
- --------------------------------------------------------------------------------
(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)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed
to be "filed" for the purpose of Section 18 of the Securities Exchange Act of
1934 ("Act") or otherwise subject to the liabilities of that section of the Act
but shall be subject to all other provisions of the Act (however, see the
Notes).
(Continued on following pages)
Page 1 of 12 Pages
Exhibit Index on page 11
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CUSIP NO. 641 20L 104 13 G Page 2 of 12 Pages
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<S> <C>
1 NAME OF REPORTING PERSON
See Item 2 for identification of General Partner
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Vanguard IV, L.P. ("Vanguard IV")
Tax ID Number: 77-0316839
- ------------ ---------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) (b) [X]
- ------------ ---------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------ ---------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- ------------------------------------ -------- ------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 75,144 shares, except that Vanguard Venture Partners, L.P. ("VVP"),
BENEFICIALLY the general partner of Vanguard IV, may be deemed to have sole power
OWNED BY EACH to vote these shares, and Gill, Myers and Higgerson, the general
REPORTING partners of VVP, may be deemed to have shared power to vote these
PERSON shares.
WITH -------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
75,144 shares, except that Vanguard Venture Partners, L.P. ("VVP"), the
general partner of Vanguard IV, may be deemed to have sole power to
dispose of these shares, and Gill, Myers and Higgerson, the general
partners of VVP, may be deemed to have shared power to dispose of these
shares.
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 75,144
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.0%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
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</TABLE>
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<TABLE>
<CAPTION>
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CUSIP NO. 641 20L 104 13 G Page 3 of 12 Pages
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<S> <C>
1 NAME OF REPORTING PERSON
See Item 2 for list of Managing General Partners
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Vanguard Venture Partners, L.P. ("VVP")
Tax ID Number: 77-0316838
- ------------ ---------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) (b) [X]
- ------------ ---------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ------------ ---------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- ------------ ---------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 75,144 shares, all of which are directly owned by Vanguard IV. VVP, the
BENEFICIALLY general partner of Vanguard IV, may be deemed to have sole power to vote
OWNED BY EACH these shares. Gill, Myers, and Higgerson, the members of VVP, may be
REPORTING deemed to have shared power to vote these shares.
PERSON -------- ------------------------------------------------------------------------
WITH 6 SHARED VOTING POWER
See response to row 5.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
75,144 shares, all of which are directly owned by Vanguard IV. VVP, the
general partner of Vanguard IV, may be deemed to have sole power to
dispose of these shares. Gill, Myers, and Higgerson, the members of VVP,
may be deemed to have shared power to dispose of these shares.
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 75,144
- ------------ ---------------------------------------------------------------------------------------------------------
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*
PN
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</TABLE>
<PAGE>
<TABLE>
<CAPTION>
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CUSIP NO. 641 20L 104 13 G Page 4 of 12 Pages
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<S> <C>
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Jack M. Gill ("Gill")
Tax ID 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. Citizen
- ------------ ---------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 62,920 shares
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH 6 SHARED VOTING POWER
REPORTING 75,144 shares, all of which are directly owned by Vanguard IV. Gill is a
PERSON general partner of VVP, the general partner of Vanguard IV, and may be
WITH deemed to have shared power to vote these shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
62,920 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
75,144 shares, all of which are directly owned by Vanguard IV. Gill is a
general partner of VVP, the general partner of Vanguard IV, and may be
deemed to have shared power to dispose of these shares.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 137,064
- ------------ ---------------------------------------------------------------------------------------------------------
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
- ------------ ---------------------------------------------------------------------------------------------------------
</TABLE>
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<TABLE>
<CAPTION>
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CUSIP NO. 641 20L 104 13 G Page 5 of 12 Pages
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<S> <C>
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Curtis K. Myers ("Myers")
Tax ID Number:
- ------------ ---------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) (b) [X]
- ------------ ---------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ------------------------------------ -------- ------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 12,496
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH 6 SHARED VOTING POWER
REPORTING 75,144 shares, all of which are directly owned by Vanguard IV. Myers is
PERSON a general partner of VVP, the general partner of Vanguard IV, and may be
WITH deemed to have shared power to vote these shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
12,496
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
75,144 shares, all of which are directly owned by Vanguard IV. Myers is
a general partner of VVP, the general partner of Vanguard IV, and may be
deemed to have shared power to dispose of these shares.
- ------------ ---------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 87,640
- ------------ ---------------------------------------------------------------------------------------------------------
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
- ------------ ---------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
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CUSIP NO. 641 20L 104 13 G Page 6 of 12 Pages
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<S> <C>
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Clifford H. Higgerson ("Higgerson")
Tax ID 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. Citizen
- ------------------------------------ -------- ------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 268,818
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH 6 SHARED VOTING POWER
REPORTING 75,144 shares, all of which are directly owned by Vanguard IV. Higgerson
PERSON is a general partner of VVP, the general partner of Vanguard IV, and may
WITH be deemed to have shared power to vote these shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
268,818
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
75,144 shares, all of which are directly owned by Vanguard IV. Higgerson
is a general partner of VVP, the general partner of Vanguard IV, and may
be deemed to have shared power to dispose of these shares.
- ------------ ---------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 343,962
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.5%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ------------ ---------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE>
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CUSIP NO. 641 20L 104 13 G Page 7 of 12 Pages
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ITEM 1(a). NAME OF ISSUER:
---------------
Network Appliance, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
------------------------------------------------
495 East Java Drive
Sunnyvale, CA 94089
ITEM 2(a). NAME OF PERSON FILING:
----------------------
This statement is filed by Vanguard Associates IV, L.P., a
Delaware limited partnership, ("Vanguard IV"), Vanguard
Venture Partners, L.P., a Delaware limited partnership,
("VVP"), and Jack M. Gill ("Gill"), Curtis K. Myers ("Myers"),
and Clifford H. Higgerson ("Higgerson"), the general partners
of VVP. The foregoing entities and individuals are
collectively referred to as the "Reporting Persons".
VVP is the general partner of Vanguard IV, and may be deemed
to have sole power to vote and sole power to dispose of shares
of the issuer directly owned by Vanguard IV. Gill, Myers and
Higgerson are the general partners of VVP, and may be deemed
to have shared power to vote and shared power to dispose of
the shares of issuer directly owned by VVP.
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE:
-------------------------------------------------------------
The address of the principal business office for each of the
Reporting Persons is:
Vanguard Venture Partners
525 University Avenue, Suite 600
Palo Alto, California 94301
ITEM 2(c) CITIZENSHIP:
------------
Vanguard IV and VVP are Delaware limited partnerships. Gill,
Myers and Higgerson are United States citizens
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
-----------------------------
Common Stock
ITEM 2(e). CUSIP NUMBER:
-------------
64120L104
ITEM 3. Not Applicable
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CUSIP NO. 641 20L 104 13 G Page 8 of 12 Pages
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ITEM 4. OWNERSHIP:
----------
The following information with respect to the ownership of the
Common Stock of the issuer by the persons filing this
Statement is provided as of December 31, 1999:
ITEM 1. (a) Amount beneficially owned:
-------------------------
See Row 9 of cover page for each Reporting
Person.
ITEM 2. (b) Percent of Class:
----------------
See Row 11 of cover page for each Reporting
Person.
ITEM 3. (c) Number of shares as to which such person has:
--------------------------------------------
(i) Sole power to vote or to direct the vote:
----------------------------------------
See Row 5 of cover page for each Reporting
Person.
(ii) Shared power to vote or to direct the vote:
------------------------------------------
See Row 6 of cover page for each Reporting
Person.
(iii) Sole power to dispose or to
direct the disposition of:
See Row 7 of cover page for
each Reporting Person.
(iv) Shared power to dispose or to direct the
disposition of:
------------------------------------------
See Row 8 of cover page for each Reporting
Person.
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CUSIP NO. 641 20L 104 13 G Page 9 of 12 Pages
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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] Yes
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON:
---------------------------------------------------------------
Under certain circumstances set forth in the limited partnership
agreements of Vanguard IV and VVP, the general and limited
partners, as the case may be, of each of such entities may be
deemed to have the right to receive dividends from, or the
proceeds from, the sale of shares of the issuer owned by each
such entity of which they are a partner.
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>
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CUSIP NO. 641 20L 104 13 G Page 10 of 12 Pages
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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.
Dated: February 10, 2000
VANGUARD IV, a Delaware
Limited Partnership
By: /s/ Clifford H. Higgerson
------------------------------
Clifford H. Higgerson
Authorized Signatory
VANGUARD VENTURE PARTNERS, a Delaware
Limited Partnership
By: /s/ Clifford H. Higgerson
------------------------------
Clifford H. Higgerson
Authorized Signatory
Jack M. Gill
By: /s/ Jack M. Gill
------------------------------
Jack M. Gill
Curtis K. Myers
By: /s/ Curtis K Myers
------------------------------
Curtis K. Myers
Clifford H. Higgerson
By: /s/ Clifford H. Higgerson
------------------------------
Clifford H. Higgerson
<PAGE>
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CUSIP NO. 641 20L 104 13 G Page 11 of 12 Pages
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EXHIBIT INDEX
Found on
Sequentially
Exhibit Numbered Page
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Exhibit A: Agreement of Joint Filing 12
<PAGE>
EXHIBIT A
Agreement of Joint Filing
The undersigned hereby agree that a single Schedule 13G (or any
amendment thereto) relating to the Common Stock of Network Appliances, Inc.
shall be filed on behalf of each of the undersigned and that this Agreement
shall be filed as an exhibit to such Schedule 13G.
Dated: February 10, 2000
February 10, 2000 VANGUARD IV, a Delaware
Limited Partnership
By: /s/ Clifford H. Higgerson
------------------------------
Clifford H. Higgerson
Authorized Signatory
February 10, 2000 VANGUARD VENTURE PARTNERS, a Delaware
Limited Partnership
By: /s/ Clifford H. Higgerson
------------------------------
Clifford H. Higgerson
Authorized Signatory
February 10, 2000 Jack M. Gill
By: /s/ Jack M. Gill
------------------------------
Jack M. Gill
February 10, 2000 Curtis K. Myers
By: /s/ Curtis K Myers
------------------------------
Curtis K. Myers
February 10, 2000 Clifford H. Higgerson
By: /s/ Clifford H. Higgerson
------------------------------
Clifford H. Higgerson
