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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 2)*
Cardima, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
14147M106
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(CUSIP Number)
January 1, 2000
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(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).
Potential persons who are to respond to the collection of information contained
in this form are not required to respond unless the form displays a currently
valid OMB control number.
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SEC 1745 (3-98) Page 1 of 10 pages
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SCHEDULE 13G
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Issuer: Cardima, Inc. CUSIP No.: 14147M106
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1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Chase Venture Capital Associates, L.L.C.
13-337-6808
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [ ]
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3. SEC Use Only
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4. Citizenship or Place of Organization
California
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5. Sole Voting Power
505,069
Number of -----------------------------------------------------
Shares 6. Shared Voting Power
Beneficially Not applicable.
Owned by -----------------------------------------------------
Each 7. Sole Dispositive Power
Reporting 505,069
Person -----------------------------------------------------
With: 8. Shared Dispositive Power
Not applicable.
- --------------------------- ----------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person
505,069
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions) [ ]
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11. Percent of Class Represented by Amount in Row (9)
3.1%
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12. Type of Reporting Person (See Instructions)
LLC
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SEC 1745 (3-98) Page 2 of 10 pages
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SCHEDULE 13G
------------
Issuer: Cardima, Inc. CUSIP No.: 14147M106
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Preliminary Note:
- ----------------
The information contained herein has been amended to reflect a change
in the name and controlling persons of the reporting person.
Item 1.
(a) Name of Issuer:
--------------
Cardima, Inc.
(b) Address of Issuer's Principal Executive Offices:
-----------------------------------------------
47266 Benicia Street
Freemont, California 94538
Item 2.
(a) Name of Person Filing:
---------------------
Chase Venture Capital Associates, L.L.C.
Supplemental information relating to the ownership and control of
the person filing this statement is included in Exhibit 2(a)
attached hereto.
(b) Address of Principal Business Office or, if none, Residence:
-----------------------------------------------------------
380 Madison Avenue, 12th Floor
New York, New York 10017
(c) Citizenship:
-----------
See Row 4 on cover page.
(d) Title of Class of Securities (of Issuer):
----------------------------------------
Common Stock
(e) CUSIP Number:
------------
14147M106
Item 3. If this statement is filed pursuant toss.ss. 240.13d-1(b) or 240.13d-2
(b) or (c), check whether the person filing is a:
Not applicable.
Item 4. Ownership
(a) Amount Beneficially Owned:
-------------------------
505,069 (as of December 31, 1999)
(b) Percent of Class:
----------------
3.1% (as of December 31, 1999)
SEC 1745 (3-98) Page 3 of 10 pages
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SCHEDULE 13G
------------
Issuer: Cardima, Inc. CUSIP No.: 14147M106
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(c) Number of shares as to which such person has:
--------------------------------------------
(i) 505,069
(ii) Not applicable.
(iii) 505,069
(iv) Not applicable.
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
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
SEC 1745 (3-98) Page 4 of 10 pages
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SCHEDULE 13G
------------
Issuer: Cardima, Inc. CUSIP No.: 14147M106
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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: February 10, 2000
CHASE VENTURE CAPITAL ASSOCIATES, L.L.C.
By: CHASE CAPITAL PARTNERS, its Manager
By: /s/ Jeffrey C. Walker
------------------------------------
Name: Jeffrey C. Walker
Title: Managing General Partner
SEC 1745 (3-98) Page 5 of 10 pages
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SCHEDULE 13G
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Issuer: Cardima, Inc. CUSIP No.: 14147M106
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EXHIBIT 2(a)
Item 2. Identity and Background.
- --------------------------------
This statement is being filed by Chase Venture Capital Associates, LLC,
a Delaware limited liability company, formerly Chase Venture Capital Associates,
L.P., a California limited partnership (hereinafter referred to as "CVCA"),
whose principal office is located at c/o Chase Capital Partners, 380 Madison
Avenue, 12th Floor, New York, New York 10017.
CVCA is engaged in the venture capital and leveraged buyout business.
The economic member of CVCA is CCP-CMC Consolidating, LLC, a Delaware limited
liability company (hereinafter referred to as "CCP-CMC") and the managing member
of CVCA is CCP-SBIC Manager, LLC ("CCP-SBIC"). The managing member of CCP-CMC is
Chase Capital Partners, a New York general partnership (hereinafter referred to
as "CCP"). Pursuant to a master advisory agreement, CCP-SBIC has delegated its
management authority of CVCA to CCP. CCP is also engaged in the venture capital
and leveraged buyout business. CCP-CMC's and CCP's principal office is located
at the same address as CVCA.
Set forth below are the names of each general partner of CCP who is a
natural person. Each such general partner is a U.S. citizen (except for Messrs.
Britts and Meggs, each of whom are citizens of the United Kingdom and Ms. Aidar
who is a citizen of Brazil), whose principal occupation is general partner of
CCP and whose business address (except for Messrs. Britts, Meggs, Soghikian and
Stuart) is c/o Chase Capital Partners, 380 Madison Avenue, 12th Floor, New York,
New York 10017.
Ana Carolina Aidar
John R. Baron
Christopher C. Behrens
Mitchell J. Blutt, M.D.
David S. Britts
Arnold L. Chavkin
David Gilbert
Eric Green
Michael R. Hannon
Donald J. Hofmann
Jonathan Meggs
Stephen P. Murray
John M.B. O'Connor
Robert Ruggiero
Susan Segal
Shahan D. Soghikian
Lindsay Stuart
Jeffrey C. Walker
Timothy Walsh
Rick Waters
Damion E. Wicker, M.D.
Messrs. Britts' and Soghikian's address is c/o Chase Capital Partners,
50 California Street, Suite 2940, San Francisco, CA 94111. Messrs. Meggs' and
Stuart's address is c/o Chase Capital Partners, 125 London Wall, Level 13,
London, England EC2Y5AJ.
Jeffrey C. Walker is the managing general partner of CCP. The remaining
general partners of CCP are Chase Capital Corporation, a New York corporation
(hereinafter referred to as "Chase Capital"), CCP Principals, L.P., a Delaware
limited partnership (hereinafter referred to as "Principals") and CCP European
Principals, L.P., a Delaware limited partnership (hereinafter referred to as
"European Principals"), each of whose principal office is located at 380 Madison
Avenue, 12th Floor, New York, New York 10017. Chase Capital is a wholly-owned
subsidiary of The Chase Manhattan Corporation. The general partner of each of
Principals and European Principals is Chase Capital. Chase Capital, Principals
and European Principals are each engaged in the venture capital and leveraged
buyout business. Set forth in Schedule A hereto and incorporated herein by
reference are the names, business addresses and principal occupations or
employments of each executive officer and director of Chase Capital, each of
whom is a U.S. citizen.
SEC 1745 (3-98) Page 6 of 10 pages
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SCHEDULE 13G
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Issuer: Cardima, Inc. CUSIP No.: 14147M106
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The Chase Manhattan Corporation (hereinafter referred to as "Chase") is
a Delaware corporation engaged (primarily through subsidiaries) in the
commercial banking business with its principal office located at 270 Park
Avenue, New York, New York 10017. Set forth in Schedule B hereto and
incorporated herein by reference are the names, business addresses, principal
occupations and employments of each executive officer and director of Chase,
each of whom is a U.S. citizen.
SEC 1745 (3-98) Page 7 of 10 pages
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SCHEDULE 13G
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Issuer: Cardima, Inc. CUSIP No.: 14147M106
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SCHEDULE A
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CHASE CAPITAL CORPORATION
-------------------------
Executive Officers
------------------
Chief Executive Officer William B. Harrison, Jr. *
President Jeffrey C. Walker**
Executive Vice President Mitchell J. Blutt, M.D. **
Vice President & Secretary Gregory Meredith*
Vice President and Treasurer Elisa R. Stein**
Vice President Marcia Bateson**
Assistant Secretary Robert C. Carroll*
Assistant Secretary Anthony J. Horan*
Assistant Secretary Denise G. Connors*
Directors
---------
William B. Harrison, Jr.*
Jeffrey C. Walker**
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* Principal occupation is employee and/or officer of Chase. Business address
is c/o The Chase Manhattan Corporation, 270 Park Avenue, New York, New York
10017.
** Principal occupation is employee of Chase and/or general partner of Chase
Capital Partners. Business address is c/o Chase Capital Partners, 380
Madison Avenue, 12th Floor, New York, NY 10017.
SEC 1745 (3-98) Page 8 of 10 pages
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SCHEDULE 13G
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Issuer: Cardima, Inc. CUSIP No.: 14147M106
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SCHEDULE B
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THE CHASE MANHATTAN CORPORATION
Executive Officers
------------------
Walter V. Shipley, Chairman of the Board*
William B. Harrison Jr., President and Chief Executive Officer*
Donald L. Boudreau, Vice Chairman*
John J. Farrell, Director of Human Resources*
Neal S. Garonzik, Vice Chairman*
Frederick W. Hill, Director of Corporate Marketing and Communications*
Donald H. Layton, Vice Chairman*
James B. Lee Jr., Vice Chairman*
William H. McDavid, General Counsel*
Denis J. O'Leary, Executive Vice President*
Marc J. Shapiro, Vice Chairman*
Joseph G. Sponholz, Vice Chairman*
Jeffrey C. Walker, Senior Managing Director**
Directors***
---------
Principal Occupation or Employment;
Name Business or Residence Address
---- --------------------------------------------------
Hans W. Becherer Chairman of the Board
Chief Executive Officer
Deere & Company
One John Deere Place
Moline, IL 61265
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Frank A. Bennack, Jr. President and Chief Executive Officer
The Hearst Corporation
959 Eighth Avenue
New York, New York 10019
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Susan V. Berresford President
The Ford Foundation
320 E. 43rd Street
New York, New York 10017
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M. Anthony Burns Chairman of the Board and
Chief Executive Officer
Ryder System, Inc.
3600 N.W. 82nd Avenue
Miami, Florida 33166
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* Principal occupation is executive officer and/or employee of The Chase
Manhattan Bank. Business address is c/o The Chase Manhattan Bank, 270 Park
Avenue, New York, New York 10017. Each executive officer of Chase is a U.S.
citizen.
** Principal occupation is employee of Chase and/or general partner of Chase
Capital Partners. Business address is c/o Chase Capital Partners, 380
Madison Avenue - 12th Floor, New York, New York 10017.
*** Each of the persons named below is a citizen of the United States of
America.
SEC 1745 (3-98) Page 9 of 10 pages
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SCHEDULE 13G
------------
Issuer: Cardima, Inc. CUSIP No.: 14147M106
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Principal Occupation or Employment;
Name Business or Residence Address
---- --------------------------------------------------
H. Laurence Fuller Co-Chairman BP Amoco p.l.c.
1111 Warrenville Road, Suite 25
Chicago, Illinois 60563
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Melvin R. Goodes Retired Chairman of the Board and CEO
Warner-Lambert Company
201 Tabor Road
Morris Plains, NJ 07950
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William H. Gray, III President and Chief Executive Officer
The College Fund/UNCF
9860 Willow Oaks Corporate Drive
P.O. Box 10444
Fairfax, Virginia 22031
- --------------------------------------------------------------------------------
William B. Harrison, Jr. President and Chief Executive Officer
The Chase Manhattan Corporation
270 Park Avenue, 8th Floor
New York, New York 10017-2070
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Harold S. Hook Retired Chairman and Chief Executive Officer
American General Corporation
2929 Allen Parkway
Houston, Texas 77019
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Helene L. Kaplan Of Counsel
Skadden, Arps, Slate, Meagher & Flom LLP
919 Third Avenue - Room 29-72
New York, New York 10022
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Henry B. Schacht Director and Senior Advisor
E.M. Warburg, Pincus & Co., LLC
466 Lexington Avenue, 10th Floor
New York, New York 10017
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Walter V. Shipley Chairman of the Board
The Chase Manhattan Corporation
270 Park Avenue
New York, New York 10017
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Andrew C. Sigler Retired Chairman of the Board and
Chief Executive Officer
Champion International Corporation
One Champion Plaza
Stamford, Connecticut 06921
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John R. Stafford Chairman, President and
Chief Executive Officer
American Home Products Corporation
5 Giralda Farms
Madison, New Jersey 07940
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Marina v.N. Whitman Professor of Business Administration
and Public Policy
The University of Michigan
School of Public Policy
411 Lorch Hall, 611 Tappan Street
Ann Arbor, MI 48109-1220
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SEC 1745 (3-98) Page 10 of 10 pages
