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. ______)*
Garden Botanika, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
0003648541
- --------------------------------------------------------------------------------
(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 19 Pages
Exhibit Index Contained on Page 16
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0003648541 13 G Page 2 of 19 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
U.S. Venture Partners III, A California Limited Partnership ("USVP III")
Tax ID Number: 94-3038926
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 463,218 shares, except that BHMS
BENEFICIALLY Partners III, A California Limited
OWNED BY EACH REPORTING Partnership ("BHMS III"), the
PERSON general partner of USVP III, and
WITH Bowes, Federman, Krausz, Vogel and
Young, the general partners of BHMS
III, may be deemed to have shared
voting power with respect to such
shares.
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
463,218 shares, except that BHMS
Partners III, A California Limited
Partnership ("BHMS III"), the
general partner of USVP III, and
Bowes, Federman, Krausz, Vogel and
Young, the general partners of BHMS
III, may be deemed to have shared
dispositive power with respect to
such shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 463,218
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.04%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0003648541 13 G Page 3 of 19 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Second Ventures Limited Partnership ("SVLP")
Tax ID Number: 94-3060758
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 14,476 shares, except that BHMS
BENEFICIALLY Partners III, A California Limited
OWNED BY EACH REPORTING Partnership ("BHMS III"), the
PERSON general partner of SVLP, and Bowes,
WITH Federman, Krausz, Vogel and Young,
the general partners of BHMS III,
may be deemed to have shared voting
power with respect to such shares.
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
14,476 shares, except that BHMS
III, the general partner of SVLP,
and Bowes, Federman, Krausz, Vogel
and Young, the general partners of
BHMS III, may be deemed to have
shared dispositive power with
respect to such shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 14,476
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.19%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0003648541 13 G Page 4 of 19 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
USV Entrepreneur Partners, A California Limited Partnership ("USVEP")
Tax ID Number: 94-3050240
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 4,825 shares, except BHMS III, the
BENEFICIALLY general partner of USVEP, and
OWNED BY EACH REPORTING Bowes, Federman, Krausz, Vogel and
PERSON Young, the general partners of BHMS
WITH III, may be deemed to have shared
voting power with respect to such
shares.
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
4,825 shares, except that BHMS III,
the general partner of USVEP, and
Bowes, Federman, Krausz, Vogel and
Young, the general partners of BHMS
III, may be deemed to have shared
dispositive power with respect to
such shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 4,825
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.06%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0003648541 13 G Page 5 of 19 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
BHMS Partners III, A California Limited Partnership ("BHMS III")
Tax ID Number: 94-3038927
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF SHARES 5 SOLE VOTING POWER
BENEFICIALLY 0 shares.
OWNED BY EACH REPORTING PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
482,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, and 4,825 shares are
directly owned by USVEP. BHMS III
is the general partner of USVP III,
SVLP, and USVEP and may be deemed
to have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
482,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, and 4,825 shares are
directly owned by USVEP. BHMS III
is the general partner of USVP III,
SVLP, and USVEP and may be deemed
to have shared dispositive power
with respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 482,519
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.29%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0003648541 13 G Page 6 of 19 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
William K. Bowes, Jr. ("Bowes")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares.
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
483,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, 4,825 shares are
directly owned by USVEP, and 1,000
shares are directly owned by Bowes'
spouse. Bowes is a general partner
of BHMS III, the general partner of
USVP III, SVLP, and USVEP, and may
be deemed to have shared voting
power with respect to such shares.
Bowes may be deemed to have shared
voting power with respect to shares
held by his spouse.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
482,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, 4,825 shares are
directly owned by USVEP, and 1,000
shares are directly owned by Bowes'
spouse. Bowes is a general partner
of BHMS III, the general partner of
USVP III, SVLP, and USVEP, and may
be deemed to have shared
dispositive power with respect to
such shares. Mr. Bowes may be
deemed to have shared dispositive
power with respect to shares held
by his spouse.
- ----------- --------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 483,519
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.30%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0003648541 13 G Page 7 of 19 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Irwin Federman ("Federman")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares.
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
482,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, and 4,825 shares are
directly owned by USVEP. Federman
is a general partner of BHMS III,
the general partner of USVP III,
SVLP, and USVEP, and may be deemed
to have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
8,000 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
482,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, and 4,825 shares are
directly owned by USVEP. Federman
is a general partner of BHMS III,
the general partner of USVP III,
SVLP, and USVEP, and may be deemed
to have shared dispositive power
with respect to such shares.
- ----------- --------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 482,519
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.29%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0003648541 13 G Page 8 of 19 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Steven M. Krausz ("Krausz")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares.
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
482,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, and 4,825 shares are
directly owned by USVEP. Krausz is
a general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
482,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, and 4,825 shares are
directly owned by USVEP. Krausz is
a general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared dispositive power with
respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 482,519
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.29%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0003648541 13 G Page 9 of 19 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Dale J. Vogel ("Vogel")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 2,000 shares.
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
483,186 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, 4,825 shares are
directly owned by USVEP, and 667
are directly owned by Vogel's
spouse. Vogel is a general partner
of BHMS III, the general partner of
USVP III, SVLP, and USVEP, and may
be deemed to have shared voting
power with respect to such shares.
Vogel may be deemed to have shared
voting power with respect to shares
held by his spouse.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
2,000 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
483,186 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, 4,825 shares are
directly owned by USVEP, and 667
shares are directly owned by
Vogel's spouse. Vogel is a general
partner of BHMS III, the general
partner of USVP III, SVLP, and
USVEP, and may be deemed to have
shared dispositive power with
respect to such shares. Mr. Vogel
may be deemed to have shared
dispositive power with respect to
shares held by his spouse.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 485,186
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.33%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
<TABLE>
<CAPTION>
<S> <C> <C>
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0003648541 13 G Page 10 of 19 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Phillip M. Young ("Young")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares.
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
482,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, and 4,825 shares are
directly owned by USVEP. Young is a
general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
482,519 shares, of which 463,218
shares are directly owned by USVP
III, 14,476 shares are directly
owned by SVLP, and 4,825 shares are
directly owned by USVEP. Young is a
general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared dispositive power with
respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 482,519
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.29%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
<FN>
* SEE INSTRUCTIONS BEFORE FILLING OUT!
</FN>
</TABLE>
<PAGE>
Page 11 of 19
ITEM 1(a). NAME OF ISSUER:
Garden Botanika, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
8624 154th Avenue Northeast
Redmond, WA 98052
(206) 881-9603
ITEM 2(a). NAME OF PERSONS FILING:
This Statement is filed by U.S. Venture Partners III, A
California Limited Partnership ("USVP III"), Second Ventures
Limited Partnership ("SVLP"), USV Entrepreneur Partners, A
California Limited Partnership ("USVEP"), BHMS Partners III, A
California Limited Partnership ("BHMS III"), William K. Bowes,
Jr. ("Bowes"), Irwin Federman ("Federman"), Steven M. Krausz
("Krausz"), Dale J. Vogel ("Vogel"), and Phillip M. Young
("Young"). The foregoing entities and individuals are
collectively referred to as the "Reporting Persons.
BHMS III is the general partner of USVP III, SVLP and USVEP,
and may be deemed to have shared power to vote and shared
power to dispose of shares of the issuer directly owned by
USVP III, SVLP and USVEP. Bowes, Federman, Krausz, Vogel and
Young are general partners of BHMS III, and may be deemed to
have shared power to vote and shared power to dispose of the
shares of issuer directly owned by USVP III, SVLP and USVEP.
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:
U.S. Venture Partners
2180 Sand Hill Road, Suite 300
Menlo Park, CA 94025
ITEM 2(c) CITIZENSHIP:
USVP III, USVEP and BHMS III are California Limited
Partnerships, SVLP is a Cayman Islands Limited Partnership and
Bowes, Federman, Krausz, Vogel and Young are United States
citizens.
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock
ITEM 2(e). CUSIP NUMBER:
CUSIP # 0003648541
<PAGE>
Page 12 of 19
ITEM 3. Not Applicable
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, 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) Shared power to dispose or
to direct the disposition
of:
See Row 8 of cover page for
each Reporting Person.
<PAGE>
Page 13 of 19
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 USVP III, SVLP, USVEP and BHMS III,
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 14 of 19
SIGNATURES
<TABLE>
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.
<CAPTION>
Dated: February 11, 1997
<S> <C>
U.S. Venture Partners III, /s/ Michael P. Maher
A California Limited Partnership ----------------------------------------
By BHMS III, A California Limited Partnership Signature
Its General Partner
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
Second Ventures Limited Partnership /s/ Michael P. Maher
By BHMS III, A California Limited Partnership ----------------------------------------
Its General Partner Signature
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
U.S.V. Entrepreneur Partners, /s/ Michael P. Maher
A California Limited Partnership ----------------------------------------
By BHMS III, A California Limited Partnership Signature
Its General Partner
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
BHMS Partners III, /s/ Michael P. Maher
A California Limited Partnership ----------------------------------------
Signature
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
William K. Bowes /s/ Michael P. Maher
----------------------------------------
Michael P. Maher
Attorney-In-Fact
<PAGE>
Page 15 of 19
Irwin Federman /s/ Michael P. Maher
----------------------------------------
Michael P. Maher
Attorney-In-Fact
Steven M. Krausz /s/ Michael P. Maher
----------------------------------------
Michael P. Maher
Attorney-In-Fact
Dale J. Vogel /s/ Michael P. Maher
----------------------------------------
Michael P. Maher
Attorney-In-Fact
Phillip M. Young /s/ Michael P. Maher
----------------------------------------
Michael P. Maher
Attorney-In-Fact
</TABLE>
<PAGE>
Page 16 of 19
EXHIBIT INDEX
Found on
Sequentially
Exhibit Numbered Page
- ------- -------------
Exhibit A: Agreement of Joint Filing 17
Exhibit B: Reference to Michael P. Maher as Attorney-in-Fact 19
<PAGE>
Page 17 of 19
EXHIBIT A
Agreement of Joint Filing
<TABLE>
The undersigned hereby agree that a single Schedule 13G (or
any amendment thereto) relating to the Common Stock of Garden Botanika, 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.
<CAPTION>
Date: February 11, 1997
<S> <C>
U.S. Venture Partners III, /s/ Michael P. Maher
A California Limited Partnership -----------------------------------------
By BHMS Partners III, Signature
A California Limited Partnership
Its General Partner Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
Second Ventures Limited Partnership /s/ Michael P. Maher
By BHMS Partners III, -----------------------------------------
A California Limited Partnership Signature
Its General Partner
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
U.S.V. Entrepreneur Partners, /s/ Michael P. Maher
A California Limited Partnership -----------------------------------------
By BHMS Partners III, Signature
A California Limited Partnership
Its General Partner Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
BHMS Partners III, /s/ Michael P. Maher
A California Limited Partnership -----------------------------------------
Signature
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
Phil M. Young /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
<PAGE>
Page 18 of 19 Pages
Irwin Federman /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
Dale J. Vogel /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
William K. Bowes /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
Steven M. Krausz /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
</TABLE>
<PAGE>
Page 19 of 19 Pages
EXHIBIT B
REFERENCE TO MICHAEL MAHER AS ATTORNEY-IN-FACT
Michael P. Maher has signed the enclosed documents as
Attorney-In-Fact. Note that copies of the applicable Power of Attorneys are
already on file with the appropriate agencies.