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OMB APPROVAL
OMB Number 3235-0145
Expires: December 31, 1997
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
General Surgical Innovations, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
371013103
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(CUSIP Number)
Check here if a fee is being paid with this statement: (A fee is not required
only if the filing person: (1) has a previous statement on file reporting
beneficial ownership of more than five percent of the class of securities
described in Item 1; and (2) has filed no amendment subsequent thereto reporting
beneficial ownership of five percent or less of such class.) (See Rule 13d-7).
*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 1 OF 8 PAGES
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<TABLE>
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<S> <C>
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CUSIP No. 371013103 13G Page 2 of 8 Pages
- --------------------------------------- --------------------------------------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Hancock Mutual Life Insurance Company
I.R.S. No. 04-1414660
- --------- ---------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |_|
N/A
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Commonwealth of Massachusetts
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-------- ------------------------------------------------------------------------------------------
5 SOLE VOTING POWER
Number of
Shares -0-
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Beneficially 6 SHARED VOTING POWER
Owned by
Each -0-
-------- ------------------------------------------------------------------------------------------
Reporting 7 SOLE DISPOSITIVE POWER
Person
With -0-
-------- ------------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
-0-
-------- ------------------------------------------------------------------------------------------
- --------- ---------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
None, except through its indirect, wholly-owned subsidiary, Hancock
Venture Partners, Inc.
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
See line 9, above.
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12 TYPE OF REPORTING PERSON*
IC, IA, HC
- --------- ---------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 2 OF 8 PAGES
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<S> <C>
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CUSIP No. 371013103 13G Page 3 of 8 Pages
- --------------------------------------- --------------------------------------
- --------- ---------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
John Hancock Subsidiaries, Inc.
I.R.S. No. 04-2687223
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |_|
N/A
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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-------- ------------------------------------------------------------------------------------------
5 SOLE VOTING POWER
Number of
Shares -0-
-------- ------------------------------------------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned by
Each -0-
-------- ------------------------------------------------------------------------------------------
Reporting 7 SOLE DISPOSITIVE POWER
Person
With -0-
-------- ------------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
-0-
-------- ------------------------------------------------------------------------------------------
- --------- ---------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
799,640 through its direct, wholly-owned subsidiary, Hancock Venture
Partners, Inc.
- --------- ---------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
- --------- ---------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.0 %
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12 TYPE OF REPORTING PERSON*
HC
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 3 OF 8 PAGES
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<S> <C>
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CUSIP No. 371013103 13G Page 4 of 8 Pages
- --------------------------------------- --------------------------------------
- --------- ---------------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Hancock Venture Partners, Inc.
I.R.S. No. 04-2765223
- --------- ---------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |_|
N/A
- --------- ---------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- --------- ---------------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
- --------- ---------------------------------------------------------------------------------------------------------------
-------- ------------------------------------------------------------------------------------------
5 SOLE VOTING POWER
Number of
Shares 799,640
-------- ------------------------------------------------------------------------------------------
Beneficially 6 SHARED VOTING POWER
Owned by
Each
-0-
-------- ------------------------------------------------------------------------------------------
Reporting 7 SOLE DISPOSITIVE POWER
Person
With 799,640
-------- ------------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
-0-
-------- ------------------------------------------------------------------------------------------
- --------- ---------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
799,640
- --------- ---------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
- --------- ---------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.0 %
- --------- ---------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IA
- --------- ---------------------------------------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
PAGE 4 OF 8 PAGES
</TABLE>
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The original statement shall be signed by each person on whose behalf
the statement is filed or his authorized representative. If the statement is
signed on behalf of a person by his authorized representative other than an
executive officer or general partner of the filing person, evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
Note: Six copies of this statement, including all exhibits, should be filed with
the Commission.
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001)
Item 1(a) Name of Issuer:
General Surgical Innovations, Inc.
Item 1(b) Address of Issuer's Principal Executive Offices:
10460 Bubb Road
Cupertino, CA 94304
Item 2(a) Name of Person Filing:
This filing is made on behalf of John Hancock Mutual Life
Insurance Company ("JHMLICO"), JHMLICO's direct,
wholly-owned subsidiary, John Hancock Subsidiaries, Inc.
("JHSI"), and JHSI's wholly-owned subsidiary, Hancock
Venture Partners, Inc. ("Venture").
Item 2(b) Address of the Principal Offices:
The principal business offices of JHMLICO and JHSI are
located at John Hancock Place, P.O. Box 111, Boston, MA
02117. The principal business office of Venture is One
Financial Center, Boston, Massachusetts 02111.
Item 2(c) Citizenship:
JHMLICO was organized and exists under the laws of the
Commonwealth of Massachusetts. JHSI and Venture were
organized and exist under the laws of the State of
Delaware.
Item 2(d) Title of Class of Securities:
Common Stock
Item 2(e) CUSIP Number:
371013103
Item 3 If the Statement is being filed pursuant to Rule
13d-1(b), or 13d-2(b), check whether the person filing is
a:
JHMLICO:(c) (X) Insurance Company as defined in ss.3(a)
(19) of the Act.
(e) (X) Investment Adviser registered
under ss.203 of the Investment
Advisers Act of 1940.
JHSI: (g) (X) Parent Holding Company, in accordance
with ss.240.13d-1(b)(ii)(G).
Venture:(e) (X) Investment Adviser registered under ss.203
of the Investment Advisers Act of 1940.
PAGE 5 OF 8 PAGES
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Item 4 Ownership:
(a) Amount Beneficially Owned: Venture has beneficial
ownership of 799,640 shares of Common Stock.
Venture is a managing general partner of the
general partner of HarbourVest Partners IV-Direct
Fund L.P. ("Fund IV") which holds shares of the
Issuer. Venture has sole beneficial ownership of
the shares held in this partnership.
Through their parent-subsidiary relationship to
Venture, JHMLICO and JHSI have indirect beneficial
ownership of the Venture shares.
(b) Percent of Class: 6.0%
(c) (i) sole power to vote or to direct the vote:
Venture has sole power to vote or to direct
the vote of 799,640 shares of Common Stock.
(ii) shared power to vote or to direct the vote: -0-
(iii) sole power to dispose or to direct the
disposition of:
Venture has sole power to dispose or to
direct the disposition of 799,640 shares of
Common Stock.
(iv) shared power to dispose or to direct the
disposition of: -0-
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: See Item 4 above.
Item 7 Identification and Classification of the Subsidiary
which Acquired the Security Being Reported on by the
Parent Holding Company:
See Items 3 and 4 above.
Item 8 Identification and Classification of Members of the Group:
Not applicable.
Item 9 Notice of Dissolution of a Group:
Not applicable.
Item 10 Certification:
By signing below the undersigned certifies that, to the
best of its knowledge and belief, the securities referred
to above were acquired in the ordinary course of business
and were not acquired for the purpose of and do not have
the effect of changing or influencing the control of the
issuer of such securities and were not acquired in
connection with or as a participant in any transaction
having such purpose or effect.
PAGE 6 OF 8 PAGES
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SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief,
each of the undersigned certifies that the information set forth in this
statement is true, complete and correct.
John Hancock Mutual Life Insurance Company
By: /s/John T. Farady
-----------------------------------
Name: John T. Farady
Dated: January 24, 1998 Title: Senior Vice President & Treasurer
John Hancock Subsidiaries, Inc.
By: /s/John T. Farady
-----------------------------------
Name: John T. Farady
Dated: January 24, 1998 Title: Treasurer
Hancock Venture Partners, Inc.
By: /s/Martha D. Vorlicek
-----------------------------------
Name: Martha D. Vorlicek
Dated: January 24, 1998 Title: Managing Director
PAGE 7 OF 8 PAGES
<PAGE>
EXHIBIT A
JOINT FILING AGREEMENT
John Hancock Mutual Life Insurance Company, John Hancock Subsidiaries,
Inc., and Hancock Venture Partners, Inc. agree that the Schedule 13G, (Amendment
No. 1), to which this Agreement is attached, relating to the Common Stock of
General Surgical Innovations, Inc. is filed on behalf of each of them.
John Hancock Mutual Life Insurance Company
By: /s/John T. Farady
-----------------------------------
Name: John T. Farady
Dated: January 24, 1998 Title: Senior Vice President & Treasurer
John Hancock Subsidiaries, Inc.
By: /s/John T. Farady
-----------------------------------
Name: John T. Farady
Dated: January 24, 1998 Title: Treasurer
Hancock Venture Partners, Inc.
By: /s/Martha D. Vorlicek
-----------------------------------
Name: Martha D. Vorlicek
Dated: January 24, 1998 Title: Managing Director
PAGE 8 OF 8 PAGES
