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._______)*
Liquid Audio, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
53631T 10 2
- --------------------------------------------------------------------------------
(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-(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 14 Pages
Exhibit Index Contained on Page 13
<PAGE>
<TABLE>
<CAPTION>
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CUSIP NO. 53631T 10 2 13 G Page 2 of 14 Pages
- ---------------------------------------------------------- --------------------------------------
<S> <C> <C> <C>
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Hummer Winblad Venture Partners II, L.P. ("HWVP II")
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
Delaware
- ------------ ---------------------------------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 2,594,411 shares, except that HWEP II, the general partner of HWVP II
SHARES may be deemed to have sole voting power, and John R. Hummer ("Hummer "),
BENEFICIALLY Ann L. Winblad ("Winblad ") and Mark Gorenberg ("Gorenberg"), the
OWNED BY EACH REPORTING members of HWEP II, 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
2,594,411 shares, except that HWEP II, the general partner of HWVP II
may be deemed to have sole dispositive power, and Hummer, Winblad and
Gorenberg, the members of HWEP II, 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 2,594,411
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
16.80%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON*
PN
- ------------ ---------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
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CUSIP NO. 53631T 10 2 13 G Page 3 of 14 Pages
- ---------------------------------------------------------- --------------------------------------
<S> <C> <C> <C>
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Hummer Winblad Technology Fund II, L.P. ("HWTF II")
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
Delaware
- ------------ ---------------------------------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 89,022 shares, except that HWEP II, the general partner of HWTF II, may
SHARES be deemed to have sole voting power, and John R. Hummer ("Hummer "), Ann
BENEFICIALLY L. Winblad ("Winblad "), and Mark Gorenberg ("Gorenberg "), the members
OWNED BY EACH REPORTING of HWEP II, may be deemed to have shared power to vote these shares.
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
89,022 shares, except that HWEP II, the general partner of HWTF II, may
be deemed to have sole dispositive power, and Hummer, Winblad and
Gorenberg, the members of HWEP II, 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 89,022
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.58%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON*
PN
- ------------ ---------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
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CUSIP NO. 53631T 10 2 13 G Page 4 of 14 Pages
- ---------------------------------------------------------- --------------------------------------
<S> <C> <C> <C>
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Hummer Winblad Technology Fund IIA, L.P. ("HWTF IIA")
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
Delaware
- ------------ ---------------------------------------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 16,195 shares, except that HWEP IIA, the general partner of HWTF II, may
SHARES be deemed to have sole voting power, and John R. Hummer ("Hummer "), Ann
BENEFICIALLY L. Winblad ("Winblad "), Mark Gorenberg ("Gorenberg "), the members of
OWNED BY EACH REPORTING HWEP II, may be deemed to have shared power to vote these shares.
PERSON
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
16,195 shares, except that HWEP II, the general partner of HWTF IIA, may
be deemed to have sole dispositve power, and Hummer, Winblad, and
Gorenberg, the members of HWEP II, 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 16,195
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.10%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON*
PN
- ------------ ---------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
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CUSIP NO. 53631T 10 2 13 G Page 5 of 14 Pages
- ---------------------------------------------------------- --------------------------------------
<S> <C> <C> <C>
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Hummer Winblad Equity Partners II, L.L.C. ("HWEP II")
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
Delaware
- ------------ ---------------------------------------------------------------------------------------------------------
5 SOLE VOTING POWER
2,699,628 shares, of which 2,594,411 are directly owned by HWVP II and
NUMBER OF 89,022 shares are directly owned by HWTF II and 16,195 shares owned by
SHARES HWTF IIA. HWEP II, the general partner of HWVP II, HWTF II and HWTF IIA,
BENEFICIALLY may be deemed to have sole voting power, and Hummer, Winblad and
OWNED BY EACH REPORTING Gorenberg the members of HWEP II, may be deemed to have shared power to
PERSON vote these shares.
WITH
-------- ------------------------------------------------------------------------
6 SHARED VOTING POWER
0 shares
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
2,699,628 shares, of which 2,594,411 are directly owned by HWVP II,
89,022 shares are directly owned by HWTF II and 16,195 shares owned by
HWTF IIA. HWEP II, the general partner of HWVP II, HWTF II and HWTF IIA,
may be deemed to have sole dispositive power, and Hummer, Winblad and
Gorenberg, the members of HWEP II, may be deemed to have shared power to
vote these shares.
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
0 shares
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,699,628
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES*
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
17.48%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON*
OO
- ------------ ---------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
- ---------------------------------------------------------- --------------------------------------
CUSIP NO. 53631T 10 2 13 G Page 6 of 14 Pages
- ---------------------------------------------------------- --------------------------------------
<S> <C> <C> <C>
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John R. Hummer ("Hummer")
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
- ------------ ---------------------------------------------------------------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING -------- ------------------------------------------------------------------------
PERSON 6 SHARED VOTING POWER
WITH 2,699,628 shares, of which 2,594,411 are directly owned by HWVP II and
PERSON 89,022 shares are directly owned by HWTF II and 16,195 shares
owned by HWTF IIA. Hummer, a member of HWEP II may be deemed to have
shared power to vote these shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,699,628 shares, of which 2,594,411 are directly owned by HWVP II and
89,022 shares are directly owned by HWTF II and 16,195 shares owned by
HWTF IIA. Hummer, a member of HWEP II may be deemed to have shared power
to vote these shares.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,699,628
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
17.48%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON*
IN
- ------------ ---------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
- ---------------------------------------------------------- --------------------------------------
CUSIP NO. 53631T 10 2 13 G Page 7 of 14 Pages
- ---------------------------------------------------------- --------------------------------------
<S> <C> <C> <C>
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ann L. Winblad ("Winblad")
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
- ------------ ---------------------------------------------------------------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
SHARES
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON 2,699,628 shares, of which 2,594,411 are directly owned by HWVP II and
WITH PERSON 89,022 shares are directly owned by HWTF II and 16,195 shares
owned by HWTF IIA. Winblad, a member of HWEP II may be deemed to have
shared power to vote these shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,699,628 shares, of which 2,594,411 are directly owned by HWVP II and
89,022 shares are directly owned by HWTF II and 16,195 shares owned by
HWTF IIA. Winblad, a member of HWEP II may be deemed to have shared
power to vote these shares.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,699,628
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
17.48%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON*
IN
- ------------ ---------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
- ---------------------------------------------------------- --------------------------------------
CUSIP NO. 53631T 10 2 13 G Page 8 of 14 Pages
- ---------------------------------------------------------- --------------------------------------
<S> <C> <C> <C>
- ------------ ---------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Mark Gorenberg ("Gorenberg")
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
- ------------------------------------ -------- ------------------------------------------------------------------------
5 SOLE VOTING POWER
0 shares
NUMBER OF
SHARES
BENEFICIALLY -------- ------------------------------------------------------------------------
OWNED BY EACH REPORTING 6 SHARED VOTING POWER
PERSON 2,699,628 shares, of which 2,594,411 are directly owned by HWVP II and
WITH 89,022 shares are directly owned by HWTF II and 16,195 shares owned by
HWTF IIA. Gorenberg, a member of HWEP II, may be deemed to have shared
power to vote these shares.
-------- ------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- ------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
2,699,628 shares, of which 2,594,411 are directly owned by HWVP II,
89,022 shares are directly owned by HWTF II and 16,195 shares owned by
HWTF IIA. Gorenberg, a member of HWEP II, may be deemed to have shared
power to vote these shares.
- ------------------------------------ -------- ------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 2,699,628
- ------------ ---------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ------------ ---------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
17.48%
- ------------ ---------------------------------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON*
IN
- ------------ ---------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
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CUSIP NO. 53631T 10 2 13 G Page 9 of 14 Pages
- ---------------------------- --------------------------------
ITEM 1(A). NAME OF ISSUER
Liquid Audio, Inc.
ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
777 Mariners Island Boulevard
San Mateo, CA 94404
ITEM 2(A). NAME OF PERSONS FILING
This Statement is filed by Hummer Winblad Partners II, L.P., a
Delaware limited partnership ("HWVP II"), Hummer Winblad
Technology Fund, L.P., a Delaware limited partnership ("HWTF
II"), Hummer Winblad Technology Fund IIA, L.P., a Delaware
limited partnership ("HWTF IIA"), Hummer Winblad Equity
Partners II, L.P., a Delaware limited liability company ("HWEP
II"), John R. Hummer ("Hummer"), Ann L. Winblad ("Winblad")
and Mark Gorenberg ("Gorenberg"). The foregoing entities and
individuals are collectively referred to as the "Reporting
Persons."
HWEP II is the general partner of HWVP II, HWTF II and HWTF
IIA, and may be deemed to have indirect beneficial ownership
of shares of the issuer directly owned by HWVP II, HWTF II and
HWTF IIA. Hummer, Winblad and Gorenberg are members of HWEP II
and may be deemed to have indirect beneficial ownership of
shares of the issuer directly owned by HWVP II, HWTF II and
HWTF IIA.
ITEM 2(B). ADDRESS OF PRINCIPAL OFFICE
The address for each of the Reporting Persons is:
Hummer Winblad Venture Partners
2 South Park, 2nd Floor
San Francisco, California 94107
ITEM 2(C) CITIZENSHIP
HWVP II and HWTF II, and HWTF IIA are Delaware limited
partnerships. HWEP II is a Delaware limited liability company.
Hummer, Winblad and Gorenberg are United States citizens.
ITEM 2(D) AND (E). TITLE OF CLASS OF SECURITIES AND CUSIP NUMBER
Common Stock
CUSIP # 53631T 10 2
ITEM 3. Not Applicable
<PAGE>
- ---------------------------- --------------------------------
CUSIP NO. 53631T 10 2 13 G Page 10 of 14 Pages
- ---------------------------- --------------------------------
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:
(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) Shared power to dispose or to direct the
disposition of:
See Row 8 of cover page for each Reporting
Person.
<PAGE>
- ---------------------------- --------------------------------
CUSIP NO. 53631T 10 2 13 G Page 11 of 14 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 HWVP II, HWTF II, HWTF IIA
and the limited liability company agreement of HWEP II, the
general and limited partners or members, 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>
- ---------------------------- --------------------------------
CUSIP NO. 53631T 10 2 13 G Page 12 of 14 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.
Date: February 10, 2000
/s/ John R. Hummer
--------------------------------------------
John R. Hummer, individually, and on behalf
of HWVP II, in his capacity as a managing
member of HWEP II, the general partner of
HWVP II, on behalf of HWTF II, in his
capacity as a managing member of HWEP II,
the general partner of HWTF II, on behalf of
HWTF IIA, in his capacity as managing member
of HWEP II, and on behalf of HWEP II in his
capacity as a managing member thereof.
/s/ Ann L. Winblad
--------------------------------------------
Ann L. Winblad
/s/ Mark Gorenberg
--------------------------------------------
Mark Gorenberg
<PAGE>
- ---------------------------- --------------------------------
CUSIP NO. 53631T 10 2 13 G Page 13 of 14 Pages
- ---------------------------- --------------------------------
EXHIBIT INDEX
Found on
Sequentially
Exhibit Numbered Page
- ------- -------------
Exhibit A: Agreement of Joint Filing 14
<PAGE>
- ---------------------------- --------------------------------
CUSIP NO. 53631T 10 2 13 G Page 14 of 14 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 Liquid Audio, 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 10, 2000
/s/ John R. Hummer
--------------------------------------------
John R. Hummer, individually, and on behalf
of HWVP II, in his capacity as a managing
member of HWEP II, the general partner of
HWVP II, on behalf of HWTF II, in his
capacity as a managing member of HWEP II,
the general partner of HWTF II, on behalf of
HWTF IIA, in his capacity as managing member
of HWEP II, the general partner of HWTF IIA,
and on behalf of HWEP II in his capacity as
a managing member thereof.
/s/ Ann L. Winblad
--------------------------------------------
Ann L. Winblad
/s/ Mark Gorenberg
--------------------------------------------
Mark Gorenberg
