<PAGE> 1
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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)*
Advent Software, Inc.
- --------------------------------------------------------------------------------
(NAME OF ISSUER)
Common Stock
- --------------------------------------------------------------------------------
(TITLE OF CLASS OF SECURITIES)
007974108
- --------------------------------------------------------------------------------
(CUSIP NUMBER)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing of 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).
SEC 1745 (2-95)
<PAGE> 2
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- --------------------------------------------------------------------------------
1. NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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 ---------------------------------------------------
SHARES
BENEFICIALLY 6. SHARED VOTING POWER
OWNED BY 642,278
EACH ---------------------------------------------------
REPORTING 7. SOLE DISPOSITIVE POWER
PERSON WITH
---------------------------------------------------
8. SHARED DISPOSITIVE POWER
642,278
- --------------------------------------------------------------------------------
9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
642,278
- --------------------------------------------------------------------------------
10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- --------------------------------------------------------------------------------
11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.0%
- --------------------------------------------------------------------------------
12. TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 3
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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
SHARES ---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 642,278
EACH
REPORTING ---------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
---------------------------------------------------
8 SHARED DISPOSITIVE POWER
642,278
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
642,278
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.0%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 4
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- ----------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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 ---------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY 29,098
OWNED BY
EACH ---------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON WITH
---------------------------------------------------
8 SHARED DISPOSITIVE POWER
29,098
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
29,098
- --------------------------------------------------------------------------------
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
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 5
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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
9,944
NUMBER OF ---------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY 671,376
OWNED BY
EACH ---------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON WITH 9,944
---------------------------------------------------
8 SHARED DISPOSITIVE POWER
SEE NUMBER 6 ABOVE
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
681,320
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.5%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 6
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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
24,133
NUMBER OF ---------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY 671,376
OWNED BY
EACH ---------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON WITH 24,133
---------------------------------------------------
8 SHARED DISPOSITIVE POWER
SEE NUMBER 6 ABOVE
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
695,509
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.7%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 7
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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
500
NUMBER OF
SHARES ---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 671,376
EACH
REPORTING ---------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
500
---------------------------------------------------
8 SHARED DISPOSITIVE POWER
SEE NUMBER 6 ABOVE
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
671,876
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.4%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 8
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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
20,600
NUMBER OF
SHARES ---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 671,376
EACH
REPORTING ---------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
20,600
---------------------------------------------------
8 SHARED DISPOSITIVE POWER
SEE NUMBER 6 ABOVE
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
691,976
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.7%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 9
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Wendell G. Van Auken, 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
24,543
NUMBER OF
SHARES ---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 671,376
EACH
REPORTING ---------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
24,543
---------------------------------------------------
8 SHARED DISPOSITIVE POWER
SEE NUMBER 6 ABOVE
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
695,919
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.7%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 10
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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
13,645
NUMBER OF
SHARES ---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 671,376
EACH
REPORTING ---------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
13,645
---------------------------------------------------
8 SHARED DISPOSITIVE POWER
SEE NUMBER 6 ABOVE
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
685,021
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.6%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 11
- -------------------
CUSIP NO. 007974108 13G
- -------------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
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
26,408
NUMBER OF
SHARES ---------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY 671,376
EACH
REPORTING ---------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
26,408
---------------------------------------------------
8 SHARED DISPOSITIVE POWER
SEE NUMBER 6 ABOVE
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
697,784
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
9.8%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
<PAGE> 12
ITEM 1.
(a) Name of Issuer:
Advent Software, Inc.
(b) Address of Issuer's Principal Executive Offices:
301 Brannan Street
San Francisco, CA 94107
ITEM 2.
(a) Name of Person(s) Filing:
Mayfield VII, a California Limited Partnership
Mayfield VII Management Partners, a California Limited Partnership
Mayfield Associates Fund II, a California Limited Partnership
Yogen K. Dalal F. Gibson Myers, Jr.
Kevin A. Fong William D. Unger
Wendell G. Van Auken, III Michael J. Levinthal
A. Grant Heidrich, III
(For a list of the General Partners of the limited
partnerships listed above, see EXHIBIT C.)
(b) Address of Principal Office:
The entities and individuals listed in Item 2(a)
Share the following business address:
The Mayfield Fund
2800 Sand Hill Road
Menlo Park, CA 94025
(c) Citizenship:
The entities listed in Item 2(a) are California Limited
Partnerships.
The individuals listed in Item 2(a) are U.S. citizens.
(d) Title of Class of Securities:
Common Stock
(e) CUSIP Number: 007974108
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(B), OR 13D-2(B),
CHECK WHETHER THE PERSON IS A:
(a) / / Broker or Dealer registered under Section 15 of the Act
<PAGE> 13
(b) / / Bank as defined in section 3(a)(6) of the Act
(c) / / Insurance Company as defined in section 3(a)(19) of the Act
(d) / / Investment Company registered under section 8 of the Investment
Company Act
(e) / / Investment Adviser registered under section 203 of the
Investment Advisers Act of 1940
(f) / / Employee Benefit Plan, Pension Fund which is subject to the
provisions of the Employee Retirement Income Security Act of
1974 or Endowment Fund, see Section 240.13d-1(b)(1)(ii)(F)
(g) / / Parent Holding Company, in accordance with Section 240.13d-1
(b)(ii)(G) (Note: See Item 7)
(h) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(H)
N/A
ITEM 4. OWNERSHIP
The information regarding ownership as set forth in Items 5-9 of Pages
2-11 hereto, is hereby incorporated by reference.
For a summary of total ownership by all Reporting Persons, see EXHIBIT A
hereto, which is hereby incorporated by reference.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
N/A
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
N/A
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
N/A
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
N/A
ITEM 9. NOTICE OF DISSOLUTION OF GROUP
N/A
ITEM 10. CERTIFICATION
N/A
<PAGE> 14
SIGNATURE
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.
February 13, 1997
-------------------------
Date
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
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
<PAGE> 15
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
A. GRANT HEIDRICH, III
By: /s/ George A. Pavlov
----------------------------------
George A. Pavlov, Attorney In Fact
EXHIBITS
A-Summary of Beneficial Ownership
B-Statement Appointing Designated Filer and Authorized Signatory
C-List of General Partners
<PAGE> 16
EXHIBIT A
BENEFICIAL OWNERSHIP OF EACH REPORTING PERSON
<TABLE>
<CAPTION>
- ----------------------------------------------------------------------------------------------------------------
NAME OF REPORTING PERSON NUMBER OF NUMBER OF PERCENT OF CLASS
SHARES HELD SHARES HELD BENEFICIALLY OWNED(1)
- ----------------------------------------------------------------------------------------------------------------
OF RECORD BENEFICIALLY
- ----------------------------------------------------------------------------------------------------------------
<S> <C> <C> <C>
Mayfield VII, 642,278 642,278 9.0%
a California Limited Partnership
- ----------------------------------------------------------------------------------------------------------------
Mayfield VII Management Partners, 0 642,278(2) 9.0%
a California Limited Partnership
- ----------------------------------------------------------------------------------------------------------------
Mayfield Associates Fund II, 29,098 29,098 0.4%
a California Limited Partnership
- ----------------------------------------------------------------------------------------------------------------
Yogen K. Dalal 9,944 681,230(3) 9.5%
- ----------------------------------------------------------------------------------------------------------------
F. Gibson Myers, Jr. 24,133 695,509(3) 9.7%
- ----------------------------------------------------------------------------------------------------------------
Kevin A. Fong 500 671,876(3) 9.3%
- ----------------------------------------------------------------------------------------------------------------
William D. Unger 20,600 691,976(3) 9.7%
- ----------------------------------------------------------------------------------------------------------------
Wendell G. Van Auken, III 24,543 695,919(3) 9.7%
- ----------------------------------------------------------------------------------------------------------------
Michael J. Levinthal 13,645 685,021(3) 9.6%
- ----------------------------------------------------------------------------------------------------------------
A. Grant Heidrich, III 26,408 697,784(3) 9.8%
- ----------------------------------------------------------------------------------------------------------------
-------- --------- ------
- ----------------------------------------------------------------------------------------------------------------
Total 791,149 791,149 11.1%
- ----------------------------------------------------------------------------------------------------------------
</TABLE>
(1) The respective percentages set forth in this column were obtained by
dividing the number of shares in the third column by the aggregate number of
outstanding shares of Common Stock, which aggregate amount, according to the
cover page of the Issuer's Quarterly Report on Form 10-Q for the three month
period ended September 30, 1996, was 7,148,658.
(2) Represents shares held of record by Mayfield VII, of which Mayfield VII
Management Partners is the sole General Partner.
(3) The individual Reporting Persons listed in column one are General Partners
of the General Partner of Mayfield VII and General Partners of Mayfield
Associates Fund II. The shares indicated in column two represent shares held of
record by such individual Reporting Person, with sole voting and investment
power with respect thereto. The individual Reporting Persons listed in column
one may be deemed to have shared voting and dispositive power over the 642,278
shares held of record by Mayfield VII and the 29,098 shares held of record by
Mayfield Associates Fund II.
<PAGE> 17
EXHIBIT B
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 EXHIBIT
A 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 entities listed in Column I of EXHIBIT A 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) or Section 16 of the Exchange Act.
Date: February 10, 1997 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
1
<PAGE> 18
Date: February 10, 1997 MAYFIELD VI MANAGEMENT
PARTNERS,
a California Limited Partnership
By: /s/ George A. Pavlov
---------------------
Authorized Signatory
Date: February 10, 1997 MAYFIELD VII
a California Limited Partnership
By: Mayfield VII Management Partners,
a California Limited Partnership,
Its General Partner
By: /s/ George A. Pavlov
---------------------
Authorized Signatory
Date: February 10, 1997 MAYFIELD VII MANAGEMENT
PARTNERS,
a California Limited Partnership
By: /s/ George A. Pavlov
---------------------
Authorized Signatory
Date: February 10, 1997 MAYFIELD VIII,
a California Limited Partnership
By: Mayfield VIII Management, L.L.C.,
Its General Partner
By: /s/ George A. Pavlov
---------------------
Authorized Signatory
2
<PAGE> 19
Date: February 10, 1997 MAYFIELD VIII MANAGEMENT, L.L.C.,
a Delaware Limited Liability Company
By: /s/ George A. Pavlov
-------------------------------
Authorized Signatory
Date: February 10, 1997 MAYFIELD SOFTWARE TECHNOLOGY
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
--------------------------------
Authorized Signatory
Date: February 10, 1997 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
---------------------------------
Authorized Signatory
3
<PAGE> 20
Date: February 10, 1997 MAYFIELD MEDICAL PARTNERS 1992,
a California Partnership
By: Mayfield VII,
a California Limited Partnership,
Its General Partner
By: Mayfield VI Management Partners,
a California limited partnership,
Its General Partner
By: /s/ George A. Pavlov
-----------------------------
Authorized Signatory
Date: February 10, 1997 MAYFIELD ASSOCIATES FUND,
a California Limited Partnership
By: /s/ George A. Pavlov
-----------------------------
Authorized Signatory
Date: February 10, 1997 MAYFIELD ASSOCIATES FUND II,
a California Limited Partnership
By: /s/ George A. Pavlov
-----------------------------
Authorized Signatory
Date: February 10, 1997 /s/ Yogen K. Dalal
---------------------------------
YOGEN K. DALAL
Date: February 10, 1997 /s/ Kevin A. Fong
---------------------------------
KEVIN A. FONG
4
<PAGE> 21
Date: February 10, 1997 /s/ A. Grant Heidrich III
---------------------------------
A. GRANT HEIDRICH III
Date: February 10, 1997 /s/ Russell C. Hirsch
---------------------------------
RUSSELL C. HIRSCH
Date: February 10, 1997 /s/ Wende S. Hutton
---------------------------------
WENDE S. HUTTON
Date: February 10, 1997 /s/ Michael J. Levinthal
---------------------------------
MICHAEL J. LEVINTHAL
Date: February 10, 1997 /s/ F. Gibson Myers, Jr.
---------------------------------
F. GIBSON MYERS, JR.
Date: February 10, 1997 /s/ William D. Unger
---------------------------------
WILLIAM D. UNGER
Date: February 10, 1997 /s/ Wendell G. Van Auken III
---------------------------------
WENDELL G. VAN AUKEN III
5
<PAGE> 22
EXHIBIT A
<TABLE>
<CAPTION>
COLUMN I COLUMN II PERSONS/ENTITIES ON WHOSE BEHALF
- -------- --------- --------------------------------
PUBLICLY TRADED COMPANY DESIGNATED FILER THE DESIGNATED FILER MAY ACT
- ----------------------- ---------------- --------------------------------
<S> <C> <C>
ADVENT SOFTWARE, INC. MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS,
MAYFIELD ASSOCIATES FUND II,
YKD, FGM, KAF, WDU, WVA,
MJL, AGH
BROADVISION, INC. MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS,
MAYFIELD ASSOCIATES FUND II,
YKD, KAF, MJL
DIGITAL GENERATION SYSTEMS, MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS,
INC. MAYFIELD ASSOCIATES FUND II,
YKD, KAF, WDU, WVA, MJL,
AGH
DIGITAL SYSTEMS MAYFIELD VI MAYFIELD VI MANAGEMENT PARTNERS,
INTERNATIONAL, INC. INVESTMENT MAYFIELD VII,
PARTNERS MAYFIELD ASSOCIATES FUND,
MAYFIELD ASSOCIATES FUND II
GYNECARE, INC. MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS,
MAYFIELD ASSOCIATES FUND II,
YKD, FGM, KAF, WDU, MJL,
AGH, WSH
HEARTSTREAM, INC. MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS,
MAYFIELD ASSOCIATES FUND II,
YKD, FGM, KAF, WDU, WVA,
MJL, AGH, WSH
INCONTROL, INC. MAYFIELD VI MAYFIELD VI MANAGEMENT PARTNERS,
INVESTMENT MAYFIELD MEDICAL PARTNERS,
PARTNERS YKD, FGM, KAF, WDU, WVA,
MJL, AGH
MILLENNIUM MAYFIELD VII MAYFIELD VII MANAGEMENT PARTNERS,
PHARMACEUTICALS, INC. MAYFIELD ASSOCIATES FUND II,
MAYFIELD MEDICAL PARTNERS 1992,
YKD, FGM, KAF, WDU, WVA,
MJL, AGH
</TABLE>
6
<PAGE> 23
<TABLE>
<S> <C> <C>
PRISM SOLUTIONS, INC. MAYFIELD VI MAYFIELD VI MANAGEMENT PARTNERS,
INVESTMENT MAYFIELD ASSOCIATES FUND,
PARTNERS MAYFIELD SOFTWARE TECHNOLOGY
PARTNERS,
YKD, FGM, KAF, WDU, WVA,
MJL
SPECTRALINK CORPORATION MAYFIELD VI MAYFIELD VI MANAGEMENT PARTNERS,
INVESTMENT MAYFIELD ASSOCIATES FUND,
PARTNERS YKD
</TABLE>
<TABLE>
<S> <C> <C>
YKD = Yogen K. Dalal FGM = F. Gibson Myers, Jr. KAF = Kevin A. Fong
WDU = William D. Unger WVA = Wendell G. Van Auken III MJL = Michael J. Levinthal
AGH = A. Grant Heidrich III WSH = Wende S. Hutton
</TABLE>
7
<PAGE> 24
EXHIBIT C
LIST OF GENERAL PARTNERS
The following list sets forth the General Partners with respect to certain of
the Mayfield Entities:
The General Partner of Mayfield VI Investment Partners is Mayfield VI Management
Partners. The General Partners of Mayfield VI Management Partners are:
(1) F. Gibson Myers, Jr. (4) William D. Unger
(2) A. Grant Heidrich, III (5) Wendell G. Van Auken, III
(3) Michael J. Levinthal (6) Kevin A. Fong
The General Partner of Mayfield VII is Mayfield VII Management Partners. The
General Partners of Mayfield VII Management Partners are:
(1) F. Gibson Myers, Jr. (4) William D. Unger
(2) A. Grant Heidrich, III (5) Wendell G. Van Auken, III
(3) Michael J. Levinthal (6) Kevin A. Fong
The General Partners of Mayfield Associates Fund are:
(1) F. Gibson Myers, Jr. (4) William D. Unger
(2) A. Grant Heidrich, III (5) Wendell G. Van Auken, III
(3) Michael J. Levinthal
The General Partners of Mayfield Associates Fund II are:
(1) F. Gibson Myers, Jr. (4) William D. Unger
(2) A. Grant Heidrich, III (5) Wendell G. Van Auken, III
(3) Michael J. Levinthal (6) Kevin A. Fong
(7) Yogen K. Dalal
The General Partner of Mayfield Medical Partners is: (1) Mayfield VI Investment
Partners (The General Partner of which has been detailed above)
The General Partner of Mayfield Medical Partners 1992 is:
(1) Mayfield VII (The General Partner of which has been detailed above)
The General Partners of Mayfield Software Technology Partners are:
(1) Mayfield VI Investment Partners (the General Partner of which has been
detailed above)
(2) Yogen K. Dalal
