<PAGE> 1
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) AND (c) AND AMENDMENTS THERETO FILED
PURSUANT TO 13d-2(b)
(Amendment No. _____)(1)
Focal, Inc
(Name of Issuer)
Common Stock, par value $.01 per share
(Title of Class of Securities)
343909107
(CUSIP Number)
(1) 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> 2
CUSIP NO. 343909107 13G PAGE 2 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
MAYFIELD VI INVESTMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
94-3060511
---------------------------------------------------------------------
(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
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 904,711
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
904,711
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
904,711
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.0%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
PN
---------------------------------------------------------------------
<PAGE> 3
CUSIP NO. 343909107 13G PAGE 3 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
MAYFIELD VI MANAGEMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
94-3058675
---------------------------------------------------------------------
(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
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 904,711
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
904,711
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
904,711
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.0%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
PN
---------------------------------------------------------------------
<PAGE> 4
CUSIP NO. 343909107 13G PAGE 4 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
MAYFIELD VII, A CALIFORNIA LIMITED PARTNERSHIP 94-3167809
---------------------------------------------------------------------
(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
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 382,567
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
382,567
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
382,567
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.9%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
PN
---------------------------------------------------------------------
<PAGE> 5
CUSIP NO. 343909107 13G PAGE 5 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
MAYFIELD VII MANAGEMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
94-3167811
---------------------------------------------------------------------
(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
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 382,567
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
382,567
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
382,567
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
2.9%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
PN
---------------------------------------------------------------------
<PAGE> 6
CUSIP NO. 343909107 13G PAGE 6 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
MAYFIELD MEDICAL PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
94-3141068
---------------------------------------------------------------------
(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
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 130,435
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
130,435
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
130,435
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
1.0%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
PN
---------------------------------------------------------------------
<PAGE> 7
CUSIP NO. 343909107 13G PAGE 7 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
MAYFIELD MEDICAL PARTNERS(1992), A CALIFORNIA LIMITED PARTNERSHIP
94-3170955
---------------------------------------------------------------------
(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
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 48,675
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
48,675
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
48,675
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.4%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
PN
---------------------------------------------------------------------
<PAGE> 8
CUSIP NO. 343909107 13G PAGE 8 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
MAYFIELD ASSOCIATES FUND, A CALIFORNIA LIMITED PARTNERSHIP
94-3062897
---------------------------------------------------------------------
(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
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 43,129
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
43,129
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
43,129
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.3%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
PN
---------------------------------------------------------------------
<PAGE> 9
CUSIP NO. 343909107 13G PAGE 9 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
MAYFIELD ASSOCIATES FUND II, A CALIFORNIA LIMITED PARTNERSHIP
94-3191510
---------------------------------------------------------------------
(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
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 20,808
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
20,808
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
20,808
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.2%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
PN
---------------------------------------------------------------------
<PAGE> 10
CUSIP NO. 343909107 13G PAGE 10 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
YOGEN K. DALAL SOCIAL SECURITY 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.
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 1,530,325
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
1,530,325
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,530,325
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.9%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
IN
---------------------------------------------------------------------
<PAGE> 11
CUSIP NO. 343909107 13G PAGE 11 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
F. GIBSON MYERS, JR. SOCIAL SECURITY 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.
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 1,530,325
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
1,530,325
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,530,325
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.9%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
IN
---------------------------------------------------------------------
<PAGE> 12
CUSIP NO. 343909107 13G PAGE 12 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
KEVIN A. FONG SOCIAL SECURITY 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.
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 1,530,325
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
1,530,325
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,530,325
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.9%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
IN
---------------------------------------------------------------------
<PAGE> 13
CUSIP NO. 343909107 13G PAGE 13 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
WILLIAM D.UNGER SOCIAL SECURITY 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.
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 1,530,325
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
1,530,325
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,530,325
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.9%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
IN
---------------------------------------------------------------------
<PAGE> 14
CUSIP NO. 343909107 13G PAGE 14 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
WENDELL G. VAN AUKEN
SOCIAL SECURITY 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.
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 1,530,325
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
1,530,325
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,530,325
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.9%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
IN
---------------------------------------------------------------------
<PAGE> 15
CUSIP NO. 343909107 13G PAGE 15 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
MICHAEL J. LEVINTHAL
SOCIAL SECURITY 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.
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF 7,178 (includes options to purchase 7,178 shares)
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 1,530,325
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH 7,178 (includes options to purchase 7,178 shares)
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
1,537,325 (includes options to purchase
7,178 shares)
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,537,503 (includes options to purchase 7,178 shares)
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.9%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
IN
---------------------------------------------------------------------
<PAGE> 16
CUSIP NO. 343909107 13G PAGE 16 OF 28 PAGES
--------------------- ----- -----
(1) NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
A. GRANT HEIDRICH, III SOCIAL SECURITY 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.
---------------------------------------------------------------------
(5) SOLE VOTING POWER
NUMBER OF -0-
SHARES --------------------------------------------------------
BENEFICIALLY (6) SHARED VOTING POWER
OWNED BY 1,530,325
EACH --------------------------------------------------------
REPORTING (7) SOLE DISPOSITIVE POWER
PERSON WITH -0-
--------------------------------------------------------
(8) SHARED DISPOSITIVE POWER
1,530,325
--------------------------------------------------------
(9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,530,325
---------------------------------------------------------------------
(10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES [ ]
---------------------------------------------------------------------
(11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.9%
---------------------------------------------------------------------
(12) TYPE OF REPORTING PERSON
IN
---------------------------------------------------------------------
<PAGE> 17
ITEM 1.
(a) NAME OF ISSUER:
Focal, Inc.
(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
4 Maguire Road
Lexington, MA 02173
ITEM 2.
(a) NAME OF PERSONS FILING:
Mayfield VI Investment Partners, a California Limited
Partnership
Mayfield VI Management Partners, a California Limited
Partnership
Mayfield VII, a California Limited Partnership
Mayfield VII Management Partners, a California Limited
Partnership
Mayfield Medical Partners, a California Partnership
Mayfield Medical Partners (1992), a California Partnership
Mayfield Associates Fund, a California Limited Partnership
Mayfield Associates Fund II, a California Limited Partnership
Yogen K. Dalal
Kevin A. Fong
Wendell G. Van Auken
A. Grant Heidrich, III
F. Gibson Myers, Jr.
William D. Unger
Michael J. Levinthal
(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE:
c/o The Mayfield Fund
2800 Sand Hill Road
Menlo Park, CA 94025
(c) CITIZENSHIP:
The entities listed in Item 2(a) are California Limited
Partnerships except for Mayfield Medical Partners and Mayfield
Medical Partners (1992) which are California Partnerships. The
individuals listed in Item 2(a) are U.S. citizens.
(d) TITLE OF CLASS OF SECURITIES:
Common Stock, par value $.01 per share.
Page 17 of 28 pages.
<PAGE> 18
(e) CUSIP NUMBER:
343909107
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b), CHECK
WHETHER THE PERSON FILING IS A:
Not applicable
ITEM 4. OWNERSHIP
The information regarding ownership as set forth in Items 5-9
of Pages 2-16 hereto, is hereby incorporated by reference.
For a summary of total ownership by all Reporting Persons, see
Exhibit 2 hereto.
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 [].
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 18 of 28 pages.
<PAGE> 19
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 17, 1998
MAYFIELD VI INVESTMENT PARTNERS
A California Limited Partnership
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Authorized Signatory
MAYFIELD VI MANAGEMENT PARTNERS
A California Limited Partnership
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Authorized Signatory
MAYFIELD VII
A California Limited Partnership
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Authorized Signatory
MAYFIELD VII MANAGEMENT PARTNERS
A California Limited Partnership
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Authorized Signatory
MAYFIELD ASSOCIATES FUND II
A California Limited Partnership
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Authorized Signatory
MAYFIELD MEDICAL PARTNERS (1992)
A California Partnership
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Authorized Signatory
Page 19 of 28 pages.
<PAGE> 20
MAYFIELD ASSOCIATES FUND
A California Limited Partnership
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Authorized Signatory
MAYFIELD MEDICAL PARTNERS
A California Partnership
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Authorized Signatory
YOGEN K. DALAL
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Attorney In Fact
F. GIBSON MYERS, JR.
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Attorney In Fact
KEVIN A. FONG
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Attorney In Fact
WILLIAM D. UNGER
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Attorney In Fact
WENDELL G. VAN AUKEN
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Attorney In Fact
MICHAEL J. LEVINTHAL
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Attorney In Fact
Page 20 of 28 pages.
<PAGE> 21
A. GRANT HEIDRICH, III
By: /s/ George A. Pavlov
-----------------------------------------
George A. Pavlov, Attorney In Fact
Page 21 of 28 pages.
<PAGE> 22
EXHIBIT 1
STATEMENT APPOINTING DESIGNATED FILER AND AUTHORIZED SIGNATORY
Each of the undersigned entities and individuals
(collectively, the "Reporting Persons") hereby designates the entity listed in
Column II of SCHEDULE 1 hereto, or such other person or entity as is designated
in writing by George A. Pavlov (any such entity is referred to as the
"Designated Filer") as the beneficial owner to make filings of Schedules 13D and
13G (and any amendments thereto) pursuant to Section 13(d) of the Securities
Exchange Act of 1934 (the "Exchange Act") and of Forms 3, 4 and 5 (and any
amendments thereto) pursuant to Section 16(a) of the Exchange Act (collectively,
the "Reports") with respect to the securities of the entity listed in Column I
of SCHEDULE 1 hereto and with respect to the securities of any other entity
whose securities are now, or hereafter become, publicly traded and whose
securities are beneficially owned (directly or indirectly) both by such
Reporting Person and by such Designated Entity (collectively, the "Companies").
Each Reporting Person hereby further authorizes and designates
GEORGE A. PAVLOV (the "Authorized Signatory") to execute and file on behalf of
such Reporting Person the Reports with respect to the securities of the
Companies, including all Schedules 13D and 13G and Forms 3, 4 and 5, and any
amendments thereto, that the Reporting Person may be required to file with the
United States Securities and Exchange Commission as a result of the Reporting
Person's ownership of, or transactions in securities of the Companies.
The authority of the Designated Filer and the Authorized
Signatory under this document with respect to each Reporting Person shall
continue until such Reporting Person is no longer required to file Schedules 13D
or 13G or Forms 3, 4 and 5 with respect to the Reporting Person's ownership of,
or transactions in, the securities of the Companies, unless earlier revoked in
writing. Each Reporting Person acknowledges that the Designated Filer and the
Authorized Signatory are not assuming any of the Reporting Person's
responsibilities to comply with Section 13(d) of Section 16 of the Exchange Act.
Date: February 17, 1998 MAYFIELD VI INVESTMENT PARTNERS,
a California Limited Partnership
By: Mayfield VI Management Partners,
a California Limited Partnership,
Its General Partner
By: /s/ George A. Pavlov
------------------------------------------
Authorized Signatory
Date: February 17, 1998 MAYFIELD VI MANAGEMENT PARTNERS
A California Limited Partnership
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Authorized Signatory
Page 22 of 28 pages.
<PAGE> 23
Date: February 17, 1998 MAYFIELD VII
A California Limited Partnership
By: Mayfield VII Management Partners,
a California Limited Partnership,
Its General Partner
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Authorized Signatory
Date: February 17, 1998 MAYFIELD VII MANAGEMENT PARTNERS
A California Limited Partnership
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Authorized Signatory
Date: February 17, 1998 MAYFIELD ASSOCIATES FUND II
A California Limited Partnership
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Authorized Signatory
Date: February 17, 1998 MAYFIELD MEDICAL PARTNERS (1992)
A California Partnership
By: Mayfield VII,
a California Limited Partnership,
Its General Partner
By: Mayfield VII Management Partners,
a California Limited Partnership,
Its General Partner
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Authorized Signatory
Date: February 17, 1998 MAYFIELD ASSOCIATES FUND
A California Limited Partnership
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Authorized Signatory
Page 23 of 28 pages.
<PAGE> 24
Date: February 17, 1998 MAYFIELD MEDICAL PARTNERS
A California Partnership
By: Mayfield VI Investment Partners,
a California Limited Partnership,
Its General Partner
By: Mayfield VI Management Partners,
a California Limited Partnership,
Its General Partner
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Authorized Signatory
Date: February 17, 1998 YOGEN K. DALAL
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Attorney In Fact
Date: February 17, 1998 F. GIBSON MYERS, JR.
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Attorney In Fact
Date: February 17, 1998 KEVIN A. FONG
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Attorney In Fact
Page 24 of 28 pages.
<PAGE> 25
Date: February 17, 1998 WILLIAM D. UNGER
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Attorney In Fact
Date: February 17, 1998 WENDELL G. VAN AUKEN
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Attorney In Fact
Date: February 17, 1998 MICHAEL J. LEVINTHAL
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Attorney In Fact
Date: February 17, 1998 A. GRANT HEIDRICH, III
By: /s/ George A. Pavlov
------------------------------------------
George A. Pavlov, Attorney In Fact
Page 25 of 28 pages.
<PAGE> 26
SCHEDULE 1
<TABLE>
<CAPTION>
PUBLICLY TRADED COMPANY DESIGNATED FILER PERSONS/ENTITIES ON WHOSE BEHALF THE DESIGNATED
FILER MAY ACT
- ----------------------- ------------------- ------------------------------------------------------
<S> <C> <C>
Focal, Inc. Mayfield VI Mayfield VI Management Partners, Mayfield Associates
Investment Partners Fund II, Mayfield Medical Partners, Mayfield VII,
Mayfield VII Management Partners, Mayfield
Associates Fund, Mayfield Medical Partners (1992),
Yogen K. Dalal, F. Gibson Myers, Kevin A. Fong,
William D. Unger, Wendell G. Van Auken, Michael
J. Levinthal, A. Grant Heidrich, III
</TABLE>
Page 26 of 28 pages.
<PAGE> 27
EXHIBIT 2
<TABLE>
<CAPTION>
PERCENT OF CLASS
BENEFICIALLY
NAME OF REPORTING PERSON NUMBER OF SHARES OWNED(1)
- ----------------------------------- ------------------ ----------------
<S> <C> <C>
Mayfield VI Investment Partners,
a California Limited Partnership 904,711 (2) 7.0%
Mayfield VI Management Partners,
a California Limited Partnership 904,711 (2) 7.0%
Mayfield VII,
a California Limited Partnership 382,567 (3) 2.9%
Mayfield VII Management Partners,
a California Limited Partnership 382,567 (3) 2.9%
Mayfield Medical Partners,a
California Partnership 130,435 (4) 1.0%
Mayfield Medical Partners (1992),
a California Partnership 48,675 (5) 0.4%
Mayfield Associates Fund,a
California Limited Partnership 43,129 (6) 0.3%
Mayfield Associates Fund II , a
a California Limited Partnership 20,808 (7) 0.2%
Yogen K. Dalal 1,530,325 (8) 11.9%
F. Gibson Myers 1,530,325 (8) 11.9%
Kevin A. Fong 1,530,325 (8) 11.9%
William D. Unger 1,530,325 (8) 11.9%
Wendell G. Van Auken 1,530,325 (8) 11.9%
Michael J. Levinthal 1,537,503 (8)(9) 11.9%
A. Grant Heidrich, III 1,530,325 (8) 11.9%
Total 1,537,503 11.9%
</TABLE>
(1) The respective percentages set forth in this column were obtained by
dividing the number of shares by the aggregate number of outstanding shares of
Common Stock as of 12/31/97.
(2) Represents shares held of record by Mayfield VI Investment Partners, of
which Mayfield VI Management Partners is the sole General Partner.
(3) Represents shares held of record by Mayfield VII, of which Mayfield VII
Management Partners is the sole General Partner.
(4) Represents shares held of record by Mayfield Medical Partners, of which
Mayfield VI Investment Partners is a General Partner.
Page 27 of 28 pages.
<PAGE> 28
(5) Represents shares held of record by Mayfield Medical Partners (1992), of
which Mayfield VII is a General Partner.
(6) Represents shares held of record by Mayfield Associates Fund.
(7) Represents shares held of record by Mayfield Associates Fund II.
(8) The individual Reporting Persons listed are General Partners of Mayfield VII
Management, which is the general partner of Mayfield VII which is the General
Partner of Mayfield Medical Partners (1992). The individual Reporting Persons
listed in column one, except for Mr. Dalal, are also General Partners of
Mayfield VI Management Partners, which is the General Partner of Mayfield VI
Investment Partners, which is the General Partner of Mayfield Medical Partners.
The individual Reporting Persons are also General Partners of Mayfield
Associates Fund II and, except for Mr. Fong and Mr. Dalal, are General Partners
of Mayfield Associates Fund. Mr. Fong and Mr. Dalal are limited partners of
Mayfield Associates Fund. The individual Reporting Persons listed in column one
may be deemed to have shared voting and dispositive power over the shares which
are or may be deemed to be beneficially owned by Mayfield VII, Mayfield VI
Investment Partners, Mayfield Associates Fund, Mayfield Associates Fund II,
Mayfield Medical Partners and Mayfield Medical Partners (1992) but disclaim such
beneficial ownership. Each individual Reporting Person expressly disclaims that
he is the beneficial owner of any shares which are held by any other individual
Reporting Person in his individual capacity.
(9) Includes director options to purchase 7,178 shares, which are exercisable
prior to March 1, 1998. Excludes options to purchase 5,129 shares, of which 256
will become exercisable every month thereafter.
Page 28 of 28 pages.
