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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. )*
---
RF Micro Devices, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, no par value
- --------------------------------------------------------------------------------
(Title of Class of Securities)
0007499411
-------------------------------
(CUSIP Number)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter 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 14 pages
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 0007499411 13G PAGE 2 OF 14 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Advanced Techology Ventures III, L.P.
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [_]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
Delaware
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF 0 shares
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
943,313 shares
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 0 shares
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
943,313 shares
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
943,313 shares
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
6.0%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
PN
- ------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 2 of 14 pages
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 0007499411 13G PAGE 3 OF 14 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
ATV Associates III, L.P.
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [_]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
Delaware
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF 0 shares
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
943,313 shares
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 0 shares
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
943,313 shares
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
943,313 shares
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
6.0%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
PN
- ------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 3 of 14 pages
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 0007499411 13G PAGE 4 OF 14 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Albert E. Paladino
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [_]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF 0 shares
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
943,313 shares
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 0 shares
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
943,313 shares
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
943,313 shares
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
6.0%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 4 of 14 pages
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 0007499411 13G PAGE 5 OF 14 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Pieter J. Schiller
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [_]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF 0 shares
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
943,313 shares
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 0 shares
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
943,313 shares
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
943,313 shares
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
6.0%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 5 of 14 pages
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 0007499411 13G PAGE 6 OF 14 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Jos C. Henkens
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [_]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF 0 shares
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
943,313 shares
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING 0 shares
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
943,313 shares
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
943,313 shares
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
6.0%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 6 of 14 pages
<PAGE>
Schedule 13G
------------
Item 1(a). Name of Issuer: RF Micro Devices, Inc.
--------------
Item 1(b). Address of Issuer's Principal Executive Offices:
-----------------------------------------------
7625 Thorndike Road, Greensboro, NC 27409-9421.
Item 2(a). Names of Persons Filing: Advanced Technology
-----------------------
Ventures III, L.P., ATV Associates III, L.P.,
Albert E. Paladino, Pieter J. Schiller and Jos
C. Henkens.
ATV Associates III, L.P. is the sole general
partner of Advanced Technology Ventures III,
L.P. Messrs. Paladino, Schiller and Henkens are
individual general partners of ATV Associates
III, L.P.
Item 2(b). Address of Principal Business Office or, if None, Residence:
-----------------------------------------------------------
The address of the principal business office of Advanced Technology
Ventures III, L.P., ATV Associates III, L.P., Albert E. Paladino and
Pieter J. Schiller is 281 Winter Street, Waltham, MA 02154. The
address of Jos C. Henkens is 485 Ramona Street, Suite 200, Palo
Alto, California 94301.
Item 2(c). Citizenship: Advanced Technology Ventures III,
-----------
L.P. and ATV Associates III, L.P. are limited
partnerships organized under the laws of the
State of Delaware. Each of Messrs. Paladino,
Schiller and Henkens is a United States citizen.
Item 2(d). Title of Class of Securities: Common Stock, no par value per share
----------------------------
Item 2(e). CUSIP Number: 0007499411
------------
Item 3. If this statement if filed pursuant to Rules 13d-1(b), or
---------------------------------------------------------
13d-2(b), check whether the person filing is a:
----------------------------------------------
(a) [_] Broker or Dealer registered under Section 15 of the
Securities Exchange Act of 1934 (the "Act").
(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 of 1940.
Page 7 of 14 pages
<PAGE>
(e) [_] Investment Advisor 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 Rule
13d-1(b)(1)(ii)(f) of
the Act.
(g) [_] Parent Holding Company, in accordance with Rule
13d-1(b)(ii)(G) of the Act.
(h) [_] Group, in accordance with Rule 13d-1(b)(1)(ii)(H) of
the Act.
Not Applicable.
Item 4. Ownership.
---------
(a) Amount Beneficially Owned
Each of Advanced Technology
Ventures III, L.P., ATV Associates III, L.P.
(individually an "Entity" and collectively
the "Entities"), Albert E. Paladino, Pieter
J. Schiller and Jos C. Henkens may be
deemed to own beneficially 943,313 shares
of Common Stock as of December 31, 1997.
As of December 31, 1997, Advanced Technology
Ventures III, L.P. was the record owner of
943,313 shares of Common Stock. (The
shares held of record by Advanced Technology
Ventures III, L.P. are referred to herein
collectively as the "Record Shares"). By
virtue of the affiliate relationships among
the Entities, each Entity may be deemed to
own beneficially all of the Record Shares.
Hence, each Entity may be deemed to own beneficially
943,313 shares of Common Stock. In their capacities
as individual general partners of ATV Associates
III, L.P., each of Messrs. Paladino, Schiller
and Henkens may be deemed to own beneficially
943,313 shares of Common Stock.
Page 8 of 14 pages
<PAGE>
(b) Percent of Class:
Advanced Technology Ventures III, L.P.:
6.0%
ATV Associates III, L.P.: 6.0%
Albert E. Paladino: 6.0%
Pieter J. Schiller: 6.0%
Jos C. Henkens: 6.0%
The foregoing percentages are calculated based on the
15,820,291 shares of Common Stock reported to be outstanding as
of October 17, 1997 in the Form 10Q as filed with the SEC for
the quarterly period ended September 30, 1997.
(c) Number of shares as to which such person has:
(i) sole power to vote or to
direct the vote:
Advanced Technology Ventures III, L.P.: 0 shares
ATV Associates III, L.P.: 0 shares
Albert E. Paladino: 0 shares
Pieter J. Schiller: 0 shares
Jos C. Henkens: 0 shares
(ii) shared power to vote or to direct the vote:
Advanced Technology Ventures III, L.P.: 943,313 shares
ATV Associates III, L.P.: 943,313 shares
Albert E. Paladino: 943,313 shares
Pieter J. Schiller: 943,313 shares
Jos C. Henkens: 943,313 shares
(iii) sole power to dispose or direct the disposition:
Advanced Technology Ventures III, L.P.: 0 shares
ATV Associates III, L.P.: 0 shares
Albert E. Paladino: 0 shares
Pieter J. Schiller: 0 shares
Jos C. Henkens: 0 shares
Page 9 of 14 pages
<PAGE>
(iv) shared power to dispose or direct the disposition:
Advanced Technology Ventures III, L.P.: 943,313 shares
ATV Associates III, L.P.: 943,313 shares
Albert E. Paladino: 943,313 shares
Pieter J. Schiller: 943,313 shares
Jos C. Henkens: 943,313 shares
Each of reporting persons expressly disclaims beneficial ownership
of any shares of Common Stock of RF Micro Devices, Inc., except in
the case of Advanced Technology Ventures III, L.P. for the 943,313
shares which it holds of record.
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.
---------------------------------------------------------------
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. The Reporting Persons expressly
disclaim membership in a "group" within the
meaning of Regulation 13D.
Item 9. Notice of Dissolution of Group.
------------------------------
Not Applicable.
Item 10. Certification.
-------------
Not Applicable. This statement on Schedule 13G
is not filed pursuant to Rule 13d-1(b).
Page 10 of 14 pages
<PAGE>
SIGNATURES
----------
After reasonable inquiry and to the best of my knowledge and belief, we
certify that the information set forth in this statement is true, complete and
correct. We also hereby agree to file this statement jointly pursuant to the
Agreement set forth as Exhibit 1 hereto.
Date: February 10, 1998
ADVANCED TECHNOLOGY VENTURES III, L.P.
By: ATV Associates III, L.P.
By: /s/ Pieter J. Schiller
-----------------------------------
Pieter J. Schiller,
General Partner
ATV ASSOCIATES III, L.P.
By: /s/ Pieter J. Schiller
-----------------------------------
Pieter J. Schiller,
General Partner
/s/ Pieter J. Schiller
- ----------------------------------------
Pieter J. Schiller
*
- ----------------------------------------
Albert E. Paladino
*
- ----------------------------------------
Jos C. Henkens
*By: /s/ Pieter J. Schiller
----------------------------------
Pieter J. Schiller
Attorney-in-Fact
- --------------------------------------------------------------------------------
This Schedule 13G is executed pursuant to an executed Power of Attorney,
which is attached hereto as Exhibit 2.
---------
Page 11 of 14 pages
<PAGE>
EXHIBIT 1
---------
AGREEMENT
Pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934, the
undersigned hereby agree that only one statement containing the information
required by Schedule 13G need be filed with respect to the ownership by each of
the undersigned of shares of Common Stock of RF Micro Devices, Inc.
This Agreement may be executed in any number of counterparts, each of which
shall be deemed an original.
Date: February 10, 1998
ADVANCED TECHNOLOGY VENTURES III, L.P.
By: ATV Associates III, L.P.
By: /s/ Pieter J. Schiller
---------------------------------------
Pieter J. Schiller,
General Partner
ATV ASSOCIATES III, L.P.
By: /s/ Pieter J. Schiller
---------------------------------------
Pieter J. Schiller,
General Partner
/s/ Pieter J. Schiller
- -------------------------------------------
Pieter J. Schiller
*
- -------------------------------------------
Albert E. Paladino
*
- -------------------------------------------
Jos C. Henkens
*By: /s/ Pieter J. Schiller
----------------------------------
Pieter J. Schiller
Attorney-in-Fact
- --------------------------------------------------------------------------------
This Agreement is executed pursuant to an executed Power of Attorney,
which is attached hereto as Exhibit 2.
---------
Page 12 of 14 pages
<PAGE>
EXHIBIT 2
---------
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears
below hereby constitutes and appoints Pieter J. Schiller his true and lawful
attorney-in fact, with full power of substitution, to sign any and all
instruments, certificates and documents that may be necessary, desirable or
appropriate to be executed on behalf of himself as an individual or in his
capacity as a general partner of any partnership, pursuant to Section 13 or 16
of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and any
and all regulations promulgated thereunder, and to file the same, with all
exhibits thereto, and any other documents in connection therewith, with the
Securities and Exchange Commission, and with any other entity when and if such
is mandated by the Exchange Act or by the By-laws of the National Association of
Securities Dealers, Inc., granting unto said attorney-in-fact full power and
authority to do and perform each and every act and thing necessary, desirable or
appropriate, fully to all intents and purposes as he might or could do in
person, thereby ratifying and confirming all that said attorney-in fact, or his
substitutes, may lawfully do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 10th
day of February, 1998.
By: /s/ Albert E. Paladino
-----------------------------
Albert E. Paladino
By:
------------------------------
Jos C. Henkens
Page 13 of 14 pages
<PAGE>
EXHIBIT 2
---------
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears
below hereby constitutes and appoints Pieter J. Schiller his true and lawful
attorney-in fact, with full power of substitution, to sign any and all
instruments, certificates and documents that may be necessary, desirable or
appropriate to be executed on behalf of himself as an individual or in his
capacity as a general partner of any partnership, pursuant to Section 13 or 16
of the Securities Exchange Act of 1934, as amended (the "Exchange Act"), and any
and all regulations promulgated thereunder, and to file the same, with all
exhibits thereto, and any other documents in connection therewith, with the
Securities and Exchange Commission, and with any other entity when and if such
is mandated by the Exchange Act or by the By-laws of the National Association of
Securities Dealers, Inc., granting unto said attorney-in-fact full power and
authority to do and perform each and every act and thing necessary, desirable or
appropriate, fully to all intents and purposes as he might or could do in
person, thereby ratifying and confirming all that said attorney-in fact, or his
substitutes, may lawfully do or cause to be done by virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 10th
day of February, 1998.
By:
---------------------------
Albert E. Paladino
By: /s/ Jos C. Henkens
---------------------------
Jos C. Henkens
