<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)(c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO 13d-2(b)
(Amendment No. 2)(1)
Focal, Inc.
(Name of Issuer)
Common Stock, par value $.01 per share
(Title of Class of Securities)
343909107
(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-1(c)
[X] Rule 13d-1(d)
(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 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MAYFIELD VI INVESTMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 535,154
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
535,154
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
535,154
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.0%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
PN
- --------------------------------------------------------------------------------
<PAGE> 3
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 3 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MAYFIELD VI MANAGEMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 535,154
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
535,154
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
535,154
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
4.0%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
PN
- --------------------------------------------------------------------------------
<PAGE> 4
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 4 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MAYFIELD VII, A CALIFORNIA LIMITED PARTNERSHIP
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 406,246
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
406,246
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
406,246
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
3.0%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
PN
- --------------------------------------------------------------------------------
<PAGE> 5
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 5 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MAYFIELD VII MANAGEMENT PARTNERS, A CALIFORNIA LIMITED PARTNERSHIP
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 406,246
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
406,246
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
406,246
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
3.0%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
PN
- --------------------------------------------------------------------------------
<PAGE> 6
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 6 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MAYFIELD MEDICAL PARTNERS, A CALIFORNIA PARTNERSHIP
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 67,162
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
67,162
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
67,162
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
0.5%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
PN
- --------------------------------------------------------------------------------
<PAGE> 7
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 7 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MAYFIELD MEDICAL PARTNERS (1992), A CALIFORNIA PARTNERSHIP
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 48,676
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
48,676
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
48,676
- --------------------------------------------------------------------------------
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 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MAYFIELD ASSOCIATES FUND, A CALIFORNIA LIMITED PARTNERSHIP
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 23,130
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
23,130
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
23,130
- --------------------------------------------------------------------------------
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> 9
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 9 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MAYFIELD ASSOCIATES FUND II, A CALIFORNIA LIMITED PARTNERSHIP
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 20,808
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
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 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
YOGEN K. DALAL
- --------------------------------------------------------------------------------
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
SHARES 534
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 985,338
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING 534
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
985,338
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
985,872
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.3%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 11
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 11 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
F. GIBSON MYERS, JR.
- --------------------------------------------------------------------------------
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
SHARES 32,826
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 985,338
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING 32,826
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
985,338
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,018,164
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.6%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 12
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 12 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
KEVIN A. FONG
- --------------------------------------------------------------------------------
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
SHARES 19,906
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 985,338
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING 19,906
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
985,338
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,005,244
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.5%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 13
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 13 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
WILLIAM D. UNGER
- --------------------------------------------------------------------------------
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
SHARES 20,493
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 985,338
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING 20,493
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
985,338
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,005,831
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.5%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 14
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 14 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
WENDELL G. VAN AUKEN, III
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 985,338
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
985,338
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
985,338
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.3%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 15
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 15 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
MICHAEL J. LEVINTHAL
- --------------------------------------------------------------------------------
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
SHARES 36,324 (INCLUDES OPTIONS TO PURCHASE 14,598 SHARES)
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 985,338
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING 36,324 (INCLUDES OPTIONS TO PURCHASE 14,598 SHARES)
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
985,338
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,021,662 (INCLUDES OPTIONS TO PURCHASE 14,598 SHARES)
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.6%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON
IN
- --------------------------------------------------------------------------------
<PAGE> 16
- ------------------------------------- ----------------------------
CUSIP NO. 343909107 13G PAGE 16 OF 24 PAGES
- ------------------------------------- ----------------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
A. GRANT HEIDRICH, III
- --------------------------------------------------------------------------------
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
SHARES -0-
----------------------------------------------------------------
6. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 985,338
----------------------------------------------------------------
7. SOLE DISPOSITIVE POWER
EACH
REPORTING -0-
----------------------------------------------------------------
PERSON 8. SHARED DISPOSITIVE POWER
WITH
985,338
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
985,338
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
7.3%
- --------------------------------------------------------------------------------
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, III
A. Grant Heidrich, III
F. Gibson Myers, Jr.
William D. Unger
Michael J. Levinthal
(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE:
c/o 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.
Page 17 of 24 pages.
<PAGE> 18
(d) TITLE OF CLASS OF SECURITIES:
Common Stock, par value $.01 per share.
(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 24 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 14, 2000
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 24 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, III
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 24 pages.
<PAGE> 21
A. GRANT HEIDRICH, III
By: /s/ George A. Pavlov
----------------------------------------
George A. Pavlov, Attorney In Fact
Page 21 of 24 pages.
<PAGE> 22
EXHIBIT 1
Exhibit 1 "Statement Appointing Designated Filer and Authorized Signatory" is
hereby incorporated by reference to Exhibit 1 to the Statement on
Schedule 13G dated February 17, 1998.
Page 22 of 24 pages.
<PAGE> 23
EXHIBIT 2
<TABLE>
<CAPTION>
PERCENT OF
CLASS
BENEFICIALLY
NUMBER OF SHARES NUMBER OF SHARES OWNED (DIRECT
NAME OF REPORTING PERSON (DIRECT) (INDIRECT) AND INDIRECT)(1)
------------------------ ---------------- ---------------- ----------------
<S> <C> <C> <C>
Mayfield VI Investment
Partners, a California Limited 467,992(2) 67,162(4) 4.0%
Partnership
Mayfield VI Management
Partners, a California Limited -0- 535,154(2)(4) 4.0%
Partnership
Mayfield VII,
a California Limited Partnership 357,570(3) 48,676(5) 3.0%
Mayfield VII Management
Partners, a California Limited -0- 406,246(3)(5) 3.0%
Partnership
Mayfield Medical Partners, a
California Partnership 67,162(4) -0- 0.5%
Mayfield Medical Partners
(1992), a California Partnership 48,676(5) -0- 0.4%
Mayfield Associates Fund, a
California Limited Partnership 23,130(6) -0- 0.2%
Mayfield Associates Fund II , a
California Limited Partnership 20,808(7) -0- 0.2%
Yogen K. Dalal 534(9) 985,338(8) 7.3%
F. Gibson Myers 32,826(9) 985,338(8) 7.6%
Kevin A. Fong 19,906(9) 985,338(8) 7.5%
William D. Unger 20,493(9) 985,338(8) 7.5%
Wendell G. Van Auken, III -0- 985,338(8) 7.3%
Michael J. Levinthal 36,324(9)(10) 985,338(8) 7.6%
A. Grant Heidrich, III -0- 985,338(8) 7.3%
Total 1,096,190 8.1%
</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, par value $.01, as of October 31, 1999 as reported in the issuer's
Form 10-Q for the quarter ended September 30, 1999.
Page 23 of 24 pages.
<PAGE> 24
(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.
(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 above are General Partners of
Mayfield VII Management Partners, which is the general partner of Mayfield VII
which is the General Partner of Mayfield Medical Partners (1992). The individual
Reporting Persons listed above, 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 listed above 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
above 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.
(9) 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. Includes shares held by each of the
individual Reporting Persons as trustee.
(10) Excludes unvested director options to purchase 2,709 shares, of which 104
shares become exercisable on a monthly basis.
Page 24 of 24 pages.
