UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Netopia, Inc.
(Name of Issuer)
Common Stock Par Value $.001
(Title of Class of Securities)
307394106
(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)
* 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>
Cusip No. 307394106 13G Page 2 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Oak Management Corporation
06-0990851
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power Not applicable
Beneficially Owned (6) Shared Voting Power 10,000 shares of common stock
by Each Reporting (7) Sole Dispositive Power Not applicable
Person With: (8) Shared Dispositive Power 10,000 shares of common stock
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person
10,000 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
CO
<PAGE>
Cusip No. 307394106 13G Page 3 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Oak Investment Partners V, Limited Partnership
06-1332464
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power 9,780 shares of common stock
Beneficially Owned (6) Shared Voting Power Not applicable
by Each Reporting (7) Sole Dispositive Power 9,780 shares of common stock
Person With: (8) Shared Dispositive Power Not applicable
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each
Reporting Person
9,780 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
PN
<PAGE>
Cusip No. 307394106 13G Page 4 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Oak Associates V, LLC
06-1332465
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power Not applicable
Beneficially Owned (6) Shared Voting Power 9,780 shares of common stock
by Each Reporting (7) Sole Dispositive Power Not applicable
Person With (8) Shared Dispositive Power 9,780 shares of common stock
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each
Reporting Person
9,780 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
00-LLC
<PAGE>
Cusip No. 307394106 13G Page 5 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Oak V Affiliates Fund, Limited Partnership
06-1334685
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
Delaware
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power 220 shares of common stock
Beneficially Owned (6) Shared Voting Power Not applicable
by Each Reporting (7) Sole Dispositive Power 220 shares of common stock
Person With: (8) Shared Dispositive Power Not applicable
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each
Reporting Person
220 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
PN
<PAGE>
Cusip No. 307394106 13G Page 6 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Oak V Affiliates
06-1334686
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
Connecticut
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power Not applicable
Beneficially Owned (6) Shared Voting Power 220 shares of common stock
by Each Reporting (7) Sole Dispositive Power Not applicable
Person With: (8) Shared Dispositive Power 220 shares of common stock
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person
220 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
PN
<PAGE>
Cusip No. 307394106 13G Page 7 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Bandel L. Carano
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power Not applicable
Beneficially Owned (6) Shared Voting Power 10,000 shares of common stock
by Each Reporting (7) Sole Dispositive Power Not applicable
Person With: (8) Shared Dispositive Power 10,000 shares of common stock
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person
10,000 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
IN
<PAGE>
Cusip No. 307394106 13G Page 8 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Gerald R. Gallagher
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power Not applicable
Beneficially Owned (6) Shared Voting Power 10,000 shares of common stock
by Each Reporting (7) Sole Dispositive Power Not applicable
Person With: (8) Shared Dispositive Power 10,000 shares of common stock
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person
10,000 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
IN
<PAGE>
Cusip No. 307394106 13G Page 9 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Edward F. Glassmeyer
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power Not applicable
Beneficially Owned (6) Shared Voting Power 10,000 shares of common stock
by Each Reporting (7) Sole Dispositive Power Not applicable
Person With: (8) Shared Dispositive Power 10,000 shares of common stock
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person
10,000 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
IN
<PAGE>
Cusip No. 307394106 13G Page 10 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Fredric W. Harman
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power Not applicable
Beneficially Owned (6) Shared Voting Power 10,000 shares of common stock
by Each Reporting (7) Sole Dispositive Power Not applicable
Person With: (8) Shared Dispositive Power 10,000 shares of common stock
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person
10,000 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
IN
<PAGE>
Cusip No. 307394106 13G Page 11 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Ann H. Lamont
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power Not applicable
Beneficially Owned (6) Shared Voting Power 10,000 shares of common stock
by Each Reporting (7) Sole Dispositive Power Not applicable
Person With: (8) Shared Dispositive Power 10,000 shares of common stock
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person
10,000 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
IN
<PAGE>
Cusip No. 307394106 13G Page 12 of 19 Pages
1 Names of Reporting Persons
S.S. or I.R.S. Identification Nos. of Above Persons (entities only.)
Eileen M. More
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group (See Instructions)
(a) |_|
(b) |_|
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power Not applicable
Beneficially Owned (6) Shared Voting Power 10,000 shares of common stock
by Each Reporting (7) Sole Dispositive Power Not applicable
Person With: (8) Shared Dispositive Power 10,000 shares of common stock
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person
10,000 shares of common stock
- --------------------------------------------------------------------------------
10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) |_|
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row 9
0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person (See Instructions)
IN
<PAGE>
Page 13 of 19 Pages
Schedule 13G
Amendment No. 2
Common Stock, Par Value $.001
CUSIP No. 307394106
Item 1(a) Name of Issuer:
Netopia, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
2470 Mariner Square Loop
Alameda, CA 94501
Item 2(a) Name of Person filing:
Oak Investment Partners V, Limited Partnership
Oak Associates V, LLC
Oak V Affiliates Fund, Limited Partnership
Oak V Affiliates
Oak Management Corporation
Bandel L. Carano
Gerald R. Gallagher
Edward F. Glassmeyer
Fredric W. Harman
Ann H. Lamont
Eileen M. More
Item 2(b) Address of Principal Business Office or, if none, Residence:
c/o Oak Management Corporation
One Gorham Island
Westport, CT 06880
Item 2(c) Citizenship:
Please refer to Item 4 on each cover sheet for each filing person
Item 2(d) Title of Class of Securities:
Common stock, $.001 par value
<PAGE>
Item 2(e) CUSIP Number: 307394106
Item 3 Not Applicable.
Item 4 Ownership.
The approximate percentages of shares of Common Stock reported as
beneficially owned by the Reporting Entities is based upon 12,036,566 shares
outstanding as of December 1, 1998, as reported in the Issuer's Form 10-K for
the fiscal year ended September 30, 1998, plus the shares issuable upon exercise
of the options described in the following sentence. Amounts shown as
beneficially owned include currently exercisable options to purchase 9,780
shares of Common Stock and 220 shares of Common Stock which may be deemed to be
held by Bandel L. Carano on behalf of Oak Investment Partners V, Limited
Partnership, and Oak V Affiliates Fund, Limited Partnership, respectively.
Please see Items 5, 6, 7, 8, 9 and 11 for each cover sheet for each filing
entity.
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>
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.
Dated February 16, 1999
Oak Investment Partners V, Limited Partnership
By: Oak Associates V, LLC,
As General Partner
By: /s/ Edward F. Glassmeyer
-----------------------------
Managing Member
Oak Associates V, LLC
By: /s/ Edward F. Glassmeyer
-----------------------------
Managing Member
Oak V Affiliates Fund, Limited
Partnership
By: Oak V Affiliates, As General
Partner
By: /s/ Edward F. Glassmeyer
-----------------------------
General Partner
Oak V Affiliates
By: /s/ Edward F. Glassmeyer
-----------------------------
General Partner
<PAGE>
OAK MANAGEMENT CORPORATION
By: /s/ Edward F. Glassmeyer
-------------------------------
Name: Edward F. Glassmeyer
Title: President
/s/ Bandel L. Carano
-------------------------------
Bandel L. Carano
/s/ Fredric W. Harman
-------------------------------
Fredric W. Harman
/s/ Gerald R. Gallagher
-------------------------------
Gerald R. Gallagher
/s/ Edward F. Glassmeyer
-------------------------------
Edward F. Glassmeyer
/s/ Ann H. Lamont
-------------------------------
Ann H. Lamont
/s/ Eileen M. More
-------------------------------
Eileen M. More
<PAGE>
INDEX TO EXHIBITS
Page
----
EXHIBIT A Agreement of Reporting Persons 18
<PAGE>
Exhibit A
Each of the undersigned hereby agrees that Amendment No. 2 to the Schedule
13G filed on the date hereof with respect to the shares of Common Stock of
Netopia, Inc. has been filed on behalf of the undersigned.
Signature:
Dated February 16, 1999
Oak Investment Partners V, Limited Partnership
By: Oak Associates V, LLC,
As General Partner
By: /s/ Edward F. Glassmeyer
-----------------------------
Managing Member
Oak Associates V, LLC
By: /s/ Edward F. Glassmeyer
-----------------------------
Managing Member
Oak V Affiliates Fund, Limited
Partnership
By: Oak V Affiliates, As General
Partner
By: /s/ Edward F. Glassmeyer
-----------------------------
General Partner
Oak V Affiliates
By: /s/ Edward F. Glassmeyer
-----------------------------
General Partner
<PAGE>
OAK MANAGEMENT CORPORATION
By: /s/ Edward F. Glassmeyer
-------------------------------
Name: Edward F. Glassmeyer
Title: President
/s/ Bandel L. Carano
-------------------------------
Bandel L. Carano
/s/ Fredric W. Harman
-------------------------------
Fredric W. Harman
/s/ Gerald R. Gallagher
-------------------------------
Gerald R. Gallagher
/s/ Edward F. Glassmeyer
-------------------------------
Edward F. Glassmeyer
/s/ Ann H. Lamont
-------------------------------
Ann H. Lamont
/s/ Eileen M. More
-------------------------------
Eileen M. More
