SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
(Rule 13d-102)
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No. ______)*
Farallon Communications, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
0003073941
- --------------------------------------------------------------------------------
(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
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 17 Pages
Exhibit Index Contained on Page 16
<PAGE>
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CUSIP NO. 0003073941 13 G Page 2 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Technology Venture Investors - 4, L.P. ("TVI-4")
Tax ID Number: 94-3088804
- --------------------------------------------------------------------------------
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 limited partnership
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 1,068,588 shares, except that
BENEFICIALLY TVIM-4, the general partner of
OWNED BY EACH REPORTING TVI-4, and Messrs. Kagle,
PERSON WITH Marquardt, McMurtry, Wilson and
Johnston, the general partners of
TVIM-4, may be deemed to have
shared power to vote these shares.
--------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
1,068,588 shares, except that
TVIM-4, the general partner of
TVI-4, and Messrs. Kagle,
Marquardt, McMurtry, Wilson and
Johnston, the general partners of
TVIM-4, 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 1,068,588
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.60%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ------------------------------- ----------------------------
CUSIP NO. 0003073941 13 G Page 3 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
TVI Partners - 4, L.P. ("TVIP-4")
Tax ID Number: 94-3084677
- --------------------------------------------------------------------------------
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 limited partnership
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 124,899 shares, except that TVIM-4,
BENEFICIALLY the general partner of TVIP-4, and
OWNED BY EACH REPORTING Messrs. Kagle, Marquardt, McMurtry,
PERSON WITH Wilson and Johnston, the general
partners of TVIM-4, may be deemed
to have shared power to vote these
shares.
--------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
124,899 shares, except that TVIM-4,
the general partner of TVIP-4, and
Messrs. Kagle, Marquardt, McMurtry,
Wilson and Johnston, the general
partners of TVIM-4, 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 124,899
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.12%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP NO. 0003073941 13 G Page 4 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
TVI Affiliates - 4, L.P. ("TVIA-4")
Tax ID Number: 94-3154357
- --------------------------------------------------------------------------------
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 limited partnership
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 3,805 shares, except that TVIM-4,
BENEFICIALLY the general partner of TVIA-4, and
OWNED BY EACH REPORTING Messrs. Kagle, Marquardt, McMurtry,
PERSON WITH Wilson and Johnston, the general
partners of TVIM-4, may be deemed
to have shared power to vote these
shares.
--------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
3,805 shares, except that TVIM-4,
the general partner of TVIA-4, and
Messrs. Kagle, Marquardt, McMurtry,
Wilson and Johnston, the general
partners of TVIM-4, 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 3,805
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.03%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP NO. 0003073941 13 G Page 5 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
TVI Affiliates - 4 1988, L.P. ("TVIA-4 1988")
Tax ID Number: 94-3084676
- --------------------------------------------------------------------------------
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 limited partnership
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 4,122 shares, except that TVIM-4,
BENEFICIALLY the general partner of TVIA-4 1988,
OWNED BY EACH REPORTING and Messrs. Kagle, Marquardt,
PERSON WITH McMurtry, Wilson and Johnston, the
general partners of TVIM-4, may be
deemed to have shared power to vote
these shares.
--------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
4,122 shares, except that TVIM-4,
the general partner of TVIA-4 1988,
and Messrs. Kagle, Marquardt,
McMurtry, Wilson and Johnston, the
general partners of TVIM-4, 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 4,122
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.04%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ------------------------------- ----------------------------
CUSIP NO. 0003073941 13 G Page 6 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
TVI Management - 4, L.P. ("TVIM-4")
Tax ID Number: 94-3088676
- --------------------------------------------------------------------------------
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 limited partnership
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares.
BENEFICIALLY --------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON WITH 1,201,414 shares, of which
1,068,588 shares are directly owned
by TVI-4, 124,899 shares are
directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4
and 4,122 shares are directly owned
by TVIA-4 1988. TVIM-4 is the
general partner of TVI-4, TVIP-4,
TVIA-4 and TVIA-4 1988, and may be
deemed to have shared power to vote
such shares.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares.
--------------------------------------------
8 SHARED DISPOSITIVE POWER
1,201,414 shares, of which
1,068,588 shares are directly owned
by TVI-4, 124,899 shares are
directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4
and 4,122 shares are directly owned
by TVIA-4 1988. TVIM-4 is the
general partner of TVI-4, TVIP-4,
TVIA-4 and TVIA-4 1988, and may be
deemed to have shared power to
dispose of such shares.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,201,414
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.79%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ------------------------------- ----------------------------
CUSIP NO. 0003073941 13 G Page 7 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Robert C. Kagle ("Kagle")
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 United States
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares
BENEFICIALLY --------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON WITH 1,201,414 shares, of which 1,068,588
shares are directly owned by TVI-4, 124,899
shares are directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4 and
4,122 shares are directly owned by TVIA-4
1988. Kagle is a general partner of TVIM-4,
the general partner of TVI-4, TVIP-4,
TVIA-4 and TVIA-4 1988, and may be deemed
to have shared power to vote such shares.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
--------------------------------------------
8 SHARED DISPOSITIVE POWER
1,201,414 shares, of which 1,068,588 shares
are directly owned by TVI-4, 124,899 shares
are directly owned by TVIP-4, 3,805 shares
are directly owned by TVIA-4 and 4,122
shares are directly owned by TVIA-4 1988.
Kagle is a general partner of TVIM-4, the
general partner of TVI-4, TVIP-4, TVIA-4
and TVIA-4 1988, and may be deemed to have
shared power to dispose of such shares.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,201,414
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
10.79%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP NO. 0003073941 13 G Page 8 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
David F. Marquardt ("Marquardt")
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 United States
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 27,502 shares, of which 25,000 are
BENEFICIALLY issuable upon the exercise of a
OWNED BY EACH REPORTING stock option.
PERSON WITH --------------------------------------------
6 SHARED VOTING POWER
1,201,414 shares, of which
1,068,588 shares are directly owned
by TVI-4, 124,899 shares are
directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4
and 4,122 shares are directly owned
by TVIA-4 1988. Marquardt is a
general partner of TVIM-4, the
general partner of TVI-4, TVIP-4,
TVIA-4 and TVIA-4 1988, and may be
deemed to have shared power to vote
such shares.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
27,502 shares, of which 25,000 are
issuable upon the exercise of a
stock option.
--------------------------------------------
8 SHARED DISPOSITIVE POWER
1,201,414 shares, of which
1,068,588 shares are directly owned
by TVI-4, 124,899 shares are
directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4
and 4,122 shares are directly owned
by TVIA-4 1988. Marquardt is a
general partner of TVIM-4, the
general partner of TVI-4, TVIP-4,
TVIA-4 and TVIA-4 1988, and may be
deemed to have shared power to
dispose of such shares.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,228,916
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 11.03%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ------------------------------- ----------------------------
CUSIP NO. 0003073941 13 G Page 9 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Burton J. McMurtry ("McMurtry")
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 United States
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares
BENEFICIALLY --------------------------------------------
OWNED BY EACH REPORTING
PERSON WITH 6 SHARED VOTING POWER
1,201,414 shares, of which
1,068,588 shares are directly owned
by TVI-4, 124,899 shares are
directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4
and 4,122 shares are directly owned
by TVIA-4 1988. McMurtry is a
general partner of TVIM-4, the
general partner of TVI-4, TVIP-4,
TVIA-4 and TVIA-4 1988, and may be
deemed to have shared power to vote
such shares.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
--------------------------------------------
8 SHARED DISPOSITIVE POWER
1,201,414 shares, of which
1,068,588 shares are directly owned
by TVI-4, 124,899 shares are
directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4
and 4,122 shares are directly owned
by TVIA-4 1988. McMurtry is a
general partner of TVIM-4, the
general partner of TVI-4, TVIP-4,
TVIA-4 and TVIA-4 1988, and may be
deemed to have shared power to
dispose of such shares.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,201,414
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.79%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ------------------------------- ----------------------------
CUSIP NO. 0003073941 13 G Page 10 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Mark G. Wilson ("Wilson")
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
United States
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares
BENEFICIALLY --------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON 1,201,414 shares, of which 1,068,588
WITH shares are directly owned by TVI-4, 124,899
shares are directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4 and
4,122 shares are directly owned by TVIA-4
1988. Wilson is a general partner of
TVIM-4, the general partner of TVI-4,
TVIP-4, TVIA-4 and TVIA-4 1988, and may be
deemed to have shared power to vote such
shares.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
--------------------------------------------
8 SHARED DISPOSITIVE POWER
1,201,414 shares, of which 1,068,588 shares
are directly owned by TVI-4, 124,899 shares
are directly owned by TVIP-4, 3,805 shares
are directly owned by TVIA-4 and 4,122
shares are directly owned by TVIA-4 1988.
Wilson is a general partner of TVIM-4, the
general partner of TVI-4, TVIP-4, TVIA-4
and TVIA-4 1988, and may be deemed to have
shared power to dispose of such shares.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,201,414
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.79%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
- ------------------------------- ----------------------------
CUSIP NO. 0003073941 13 G Page 11 of 17 Pages
- ------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
John R. Johnston ("Johnston")
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
United States
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares
BENEFICIALLY --------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON WITH 1,201,414 shares, of which
1,068,588 shares are directly owned
by TVI-4, 124,899 shares are
directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4
and 4,122 shares are directly owned
by TVIA-4 1988. Johnston is a
general partner of TVIM-4, the
general partner of TVI-4, TVIP-4,
TVIA-4 and TVIA-4 1988, and may be
deemed to have shared power to vote
such shares.
--------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
--------------------------------------------
8 SHARED DISPOSITIVE POWER
1,201,414 shares, of which
1,068,588 shares are directly owned
by TVI-4, 124,899 shares are
directly owned by TVIP-4, 3,805
shares are directly owned by TVIA-4
and 4,122 shares are directly owned
by TVIA-4 1988. Johnston is a
general partner of TVIM-4, the
general partner of TVI-4, TVIP-4,
TVIA-4 and TVIA-4 1988, and may be
deemed to have shared power to
dispose of such shares.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 1,201,414
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.79%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
Page 12 of 17 Pages
ITEM 1(a). NAME OF ISSUER:
---------------
Farallon Communications, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
------------------------------------------------
2470 Mariner Square Loop
Alameda, CA 94501
ITEM 2(a). NAME OF PERSONS FILING:
-----------------------
This Statement is filed Technology Venture Investors-4, L.P.,
a Delaware limited partnership ("TVI-4"), TVI Partners-4,
L.P., a Delaware limited partnership ("TVIP-4"), TVI
Affiliates-4, L.P., a Delaware limited partnership ("TVIA-4"),
TVI Affiliates-4 1988, L.P., a Delaware limited partnership
("TVIA-4 1988"), TVI Management-4, L.P., a Delaware limited
partnership ("TVIM-4"), Robert C. Kagle ("Kagle"), David F.
Marquardt ("Marquardt"), Burton J. McMurtry ("McMurtry"), Mark
G. Wilson ("Wilson") and John R. Johnston ("Johnston"). The
foregoing entities and individuals are collectively referred
to as the "Reporting Persons."
TVIM-4 is the general partner of TVI-4, TVIP-4, TVIA-4 and
TVIA-4 1988, and may be deemed to have shared power to vote
and shared power to dispose of shares of the issuer directly
owned by TVI-4, TVIP-4, TVIA-4 and TVIA-4 1988. Kagle,
Marquardt, McMurtry, Wilson and Johnston are the general
partners of TVIM-4, and may be deemed to have shared power to
vote and shared power to dispose of the shares of issuer
directly owned by TVI-4, TVIP-4, TVIA-4 and TVIA-4 1988.
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:
Technology Venture Investors
2480 Sand Hill Road
Suite 101
Menlo Park, CA 94025
ITEM 2(c) CITIZENSHIP:
------------
TVI-4, TVIM-4, TVIP-4, TVIA-4 and TVIA-4 1988 are Delaware
limited partnerships, and Kagle, Marquardt, McMurtry, Wilson
and Johnston are United States citizens.
<PAGE>
Page 13 of 17 Pages
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
-----------------------------
Common Stock
ITEM 2(e). CUSIP NUMBER:
-------------
CUSIP # 0003073941
ITEM 3. Not Applicable
--------------
ITEM 4. OWNERSHIP:
----------
The following information with respect to the ownership of
Common Stock of the issuer by the persons filing this
Statement is provided as of December 31, 1996:
(a) Amount beneficially owned:
--------------------------
See Row 9 of cover page for each Reporting
Person.
(b) Percent of Class:
-----------------
See Row 11 of cover page for each Reporting
Person.
(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) Sharedpower to dispose or to direct
--------------------------------------
the disposition of:
-------------------
See Row 8 of cover page for each
Reporting Person.
<PAGE>
Page 14 of 17 Pages
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
---------------------------------------------
Not applicable
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF
------------------------------------------------
ANOTHER PERSON:
---------------
Under certain circumstances set forth in the limited
partnership agreements of TVI-4, TVIP-4, TVIA-4, TVIA-4 1988
and TVIM-4, the general and limited partners 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>
Page 15 of 17 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.
Dated: February 12, 1997
/s/ Mark G. Wilson
----------------------------------------
Mark G. Wilson, on behalf of TVI-4, in
his capacity as a general partner of
TVIM-4, the general partner of TVI-4, on
behalf of TVIP-4, in his capacity as a
general partner of TVIM-4, the general
partner of TVIP-4, on behalf of TVIA-4,
in his capacity as a general partner of
TVIM-4, the general partner of TVIA-4,
on behalf of TVIA-4 1988, in his
capacity as a general partner of TVIM-4,
the general partner of TVIA-4 1988, and
on behalf of TVIM-4, in his capacity as
a general partner thereof.
/s/ Robert C. Kagle /s/ Mark G. Wilson
- ---------------------------- ---------------------------
ROBERT C. KAGLE MARK G. WILSON
/s/ David F. Marquardt /s/ John R. Johnston
- ---------------------------- ---------------------------
DAVID F. MARQUARDT JOHN R. JOHNSTON
/s/ Burton J. McMurtry
- ----------------------------
BURTON J. MCMURTRY
<PAGE>
Page 16 of 17 Pages
EXHIBIT INDEX
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Found on
Sequentially
Exhibit Numbered Page
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Exhibit A: Agreement of Joint Filing Page 17
<PAGE>
Page 17 of 17 Pages
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 the Farallon
Communications, 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.
Date: February 12, 1997
/s/ Mark G. Wilson
----------------------------------------
Mark G. Wilson, on behalf of TVI-4, in
his capacity as a general partner of
TVIM-4, the general partner of TVI-4, on
behalf of TVIP-4, in his capacity as a
general partner of TVIM-4, the general
partner of TVIP-4, on behalf of TVIA-4,
in his capacity as a general partner of
TVIM-4, the general partner of TVIA-4,
on behalf of TVIA-4 1988, in his
capacity as a general partner of TVIM-4,
the general partner of TVIA-4 1988, and
on behalf of TVIM-4, in his capacity as
a general partner thereof.
/s/ Robert C. Kagle /s/ Mark G. Wilson
- ---------------------------- ---------------------------
ROBERT C. KAGLE MARK G. WILSON
/s/ David F. Marquardt /s/ John R. Johnston
- ---------------------------- ---------------------------
DAVID F. MARQUARDT JOHN R. JOHNSTON
/s/ Burton J. McMurtry
- ----------------------------
BURTON J. MCMURTRY
