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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. ___________)*
Data Critical Corporation
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(Name of Issuer)
Common Stock, par value $.001
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(Title of Class of Securities)
237622105
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(CUSIP Number)
November 8, 1999
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(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)
*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).
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<TABLE>
CUSIP No. 237622105
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<S> <C>
1. Names of Reporting Persons George M. Middlemas
I.R.S. Identification Nos. of above persons (entities only) 175 38 7894
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [x]
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3. SEC Use Only
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4. Citizenship or Place of Organization United States
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5. Sole Voting Power 34,375
Number of ------------------------------------------------------------------------
Shares
Beneficially 6. Shared Voting Power 691,724
Owned by ------------------------------------------------------------------------
Each Reporting 7. Sole Dispositive Power 34,375
Person With ------------------------------------------------------------------------
8. Shared Dispositive Power 691,724
- -------------------------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person 726,099
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ]
- -------------------------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9) 6.9%
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12. Type of Reporting Person (See Instructions) IN
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</TABLE>
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<TABLE>
CUSIP No. 237622105
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<S> <C>
1. Names of Reporting Persons Apex Investment Fund II, L.P.
I.R.S. Identification Nos. of above persons (entities only) 36 3698753
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2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [x]
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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 691,724
Number of -----------------------------------------------------------------------------------
Shares
Beneficially 6. Shared Voting Power 0
Owned by -----------------------------------------------------------------------------------
Each Reporting 7. Sole Dispositive Power 691,724
Person With -----------------------------------------------------------------------------------
8. Shared Dispositive Power 0
- ------------------------------------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person 691,724
- ------------------------------------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ]
- ------------------------------------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9) 6.6%
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12. Type of Reporting Person (See Instructions) PN
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</TABLE>
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<TABLE>
CUSIP No. 237622105
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<S> <C>
1.
Names of Reporting Persons Environmental Private Equity Fund II, L.P.
I.R.S. Identification Nos. of above persons (entities only) 36 3830765
- ------------------------------------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [x]
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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 348,554.5
Number of -----------------------------------------------------------------------------------
Shares
Beneficially 6. Shared Voting Power 0
Owned by -----------------------------------------------------------------------------------
Each Reporting 7. Sole Dispositive Power 348,554.5
Person With -----------------------------------------------------------------------------------
8. Shared Dispositive Power 0
- ------------------------------------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person 348,554.5
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10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ]
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11. Percent of Class Represented by Amount in Row (9) 3.3%
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12. Type of Reporting Person (See Instructions) PN
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</TABLE>
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<TABLE>
CUSIP No. 237622105
- ------------------------------------------------------------------------------------------------------------
<S> <C>
1. Names of Reporting Persons The Productivity Fund II, L.P.
I.R.S. Identification Nos. of above persons (entities only) 36 3775406
- ------------------------------------------------------------------------------------------------------------
2. Check the Appropriate Box if a Member of a Group (See Instructions)
(a) [ ]
(b) [x]
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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 266,281.25
Number of -----------------------------------------------------------------------------------
Shares
Beneficially 6. Shared Voting Power 0
Owned by -----------------------------------------------------------------------------------
Each Reporting 7. Sole Dispositive Power 266,281.25
Person With -----------------------------------------------------------------------------------
8. Shared Dispositive Power 0
- ------------------------------------------------------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each Reporting Person 266,281.25
- ------------------------------------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares [ ]
- ------------------------------------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (9) 2.5%
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12. Type of Reporting Person (See Instructions) PN
- ------------------------------------------------------------------------------------------------------------
</TABLE>
<PAGE>
Item 1.
(a) Name of Issuer
Data Critical Corporation
(b) Address of Issuer's Principal Executive Offices
19820 North Creek Parkway
Suite 100
Bothell, Washington 98011
Item 2.
(a) Name of Person Filing
George M. Middlemas ("Middlemas"), Apex Investment Fund II,
L.P. ("Apex II"), Environmental Private Equity Fund II, L.P.
("EPEF II") and The Productivity Fund II, L.P. ("PF II")
(b) Address of Principal Business Office or, if none, Residence
Middlemas and Apex II maintain their principal place of
business at 225 W. Washington, Suite 1450, Chicago, Illinois
60606. EPEF II and PF II maintain their principal place of
business at 233 South Wacker Drive, Suite 9500, Chicago,
Illinois 60606.
(c) Citizenship
Middlemas is a citizen of the United States. Apex II, EPEF II
and PF II are Delaware limited partnerships.
(d) Title of Class of Securities
Common Stock, par value $.001
(e) CUSIP Number
237622105
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Item 3. Not applicable
Item 4. Ownership
(a) Amount beneficially owned
Middlemas is the record owner of 34,375 shares (which number includes
12,500 common stock options at an exercise price of $1.60 per share),
and by virtue of his status as a general partner of the general
partner of Apex II, may be deemed the beneficial owner of 691,724
shares (which number includes 28,332 common stock purchase warrants at
an exercise price of $0.40 per share).
Apex II is the record owner of 691,724 shares (which number includes
28,332 common stock purchase warrants at an exercise price of $0.40
per share).
EPEF II is the record owner of 348,554.5 shares (which number includes
30,767.5 common stock purchase warrants at an exercise price of $0.40
per share).
PF II is the record owner of 266,281 shares (which number includes
43,182 common stock purchase warrants at an exercise price of $0.40
per share).
(b) Percent of Class
Middlemas is the record owner of 0.3%, based upon 10,477,288 shares
outstanding, and may be deemed the beneficial owner of 6.9%, based
upon 10,505,620 shares outstanding. Apex II is the beneficial owner
of 6.6%, based upon 10,493,120 shares outstanding. EPEF II is the
beneficial owner of 3.3%, based upon 10,495,555 shares outstanding.
PF II is the beneficial owner of 2.5%, based upon 10,507,970 shares
outstanding. The shares used to calculate these percentages were
reported outstanding on Issuer's 12/22/99 Form 8K EDGAR filing.
(c) Number of shares as to which the person has
(i) Sole power to vote or direct the vote
Middlemas 34,375 shares
Apex II 691,724 shares
EPEF II 348,554.50 shares
PFII 266,281.25 shares
(ii) Shared power to vote or direct the vote
Middlemas 691,724 shares
(iii) Sole power to dispose or to direct the disposition of
<PAGE>
Middlemas 34,375 shares
Apex II 691,724 shares
EPEF II 348,554.50 shares
PF II 266,281.25 shares
(iv) Shared power to dispose or to direct the disposition
of
Middlemas 691,724 shares
Item 5. Not applicable.
Item 6. Not applicable
Item 7. Not applicable
Item 8. See Exhibit I.
Item 9. Not applicable
Item 10. Not applicable
<PAGE>
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.
Date: February 4, 2000
/s/ George M. Middlemas
---------------------------------------------------
GEORGE M. MIDDLEMAS
APEX INVESTMENT FUND II, L.P.
a Delaware Limited Partnership
By: Apex Management Partnership, its general partner
By: /s/ George M. Middlemas
----------------------------------------------
George M. Middlemas, a general partner
ENVIRONMENTAL PRIVATE EQUITY FUND II, L.P.
a Delaware Limited Partnership
By: Environmental Private Equity Management Company
II, L.P., its general partner
By: First Analysis Environmental Management Company
II, its managing general partner
By: /s/ Bret R. Maxwell
----------------------------------------------
Bret R. Maxwell, a general partner
THE PRODUCTIVITY FUND II, L.P.
a Delaware Limited Partnership
By: First Analysis Management Company II, its
general partner
By: /s/ Bret R. Maxwell
----------------------------------------------
Bret R. Maxwell, managing general partner
<PAGE>
EXHIBIT I TO SCHEDULE 13G
IDENTIFICATION OF GENERAL PARTNER
The general partner of Apex Investment Fund II Limited Partnership ("Apex
II") is Apex Management Partnership. Apex Management Partnership's partners
are: First Analysis Corporation, a Delaware corporation ("FAC"); Stellar
Investment Co. ("Stellar"), a corporation controlled by James A. Johnson
("Johnson"); George M. Middlemas ("Middlemas"); and Chartwell Holdings, Inc.
("Chartwell"), a corporation controlled by Paul J. Renze ("Renze").
The general partner of Environmental Private Equity Fund II, L.P. ("EPEF
II") is Environmental Private Equity Management Company II, L.P., whose
ultimate general partners are FAC and Bret R. Maxwell ("Maxwell").
The general partner of The Productivity Fund II, L.P. ("PF II") is First
Analysis Management Company II, whose general partners are FAC and Maxwell.
F. Oliver Nicklin ("Nicklin"), President and Director of FAC, and
Maxwell, Vice Chairman of FAC, take executive actions on behalf of FAC with
respect to FAC's functioning as an ultimate general partner of Apex II, EPEF
II and PF II. Each of Nicklin and Maxwell maintain his principal office at
233 South Wacker Drive, Suite 9500, Chicago, Illinois 60606 ("Suite 9500").
Each of the above is principally employed as an executive of FAC. FAC's
principal business is participation in venture capital partnerships and the
provision of research investment services. Its principal business address is
Suite 9500.
Each of Johnson and Middlemas is principally employed as an executive of
Apex and maintains his business address at 225 W. Washington, Suite 1450,
Chicago, Illinois 60606 ("Suite 1450"). Renze is principally employed as an
independent investor and maintains his business address at 5 Three Lakes
Road, Barrington Hills, Illinois 60010 (the "Barrington Office"). Stellar's
principal business is serving as an ultimate general partner of investment
partnerships. Its business address is maintained at Suite 1450. Chartwell's
principal business is serving as an ultimate general partner of investment
partnerships. Its business address is maintained at the Barrington Office.
To the best of Apex's knowledge, each of the natural persons listed above
is a citizen of the United States.
<PAGE>
EXHIBIT II TO SCHEDULE 13G
17 C.F.R. 240.13d-1(k)(1)(iii)
Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, the
undersigned hereby agree that only one statement containing the information
required on Schedule 13G need be filed with respect to ownership by each of
the undersigned of shares of Common Stock of Data Critical Corporation.
This Agreement may be executed in any number of counterparts, each of which
shall be deemed an original.
Dated: February 4, 2000
/s/ George M. Middlemas
---------------------------------------------------
GEORGE M. MIDDLEMAS
APEX INVESTMENT FUND II, L.P.
a Delaware Limited Partnership
By: Apex Management Partnership, its general partner
By: /s/ George M. Middlemas
----------------------------------------------
George M. Middlemas, a general partner
ENVIRONMENTAL PRIVATE EQUITY FUND II, L.P.
a Delaware Limited Partnership
By: Environmental Private Equity Management Company
II, L.P., its general partner
By: First Analysis Environmental Management Company
II, its managing general partner
By: /s/ Bret R. Maxwell
----------------------------------------------
Bret R. Maxwell, a general partner
THE PRODUCTIVITY FUND II, L.P.
a Delaware Limited Partnership
By: First Analysis Management Company II, its
general partner
By: /s/ Bret R. Maxwell
----------------------------------------------
Bret R. Maxwell, managing general partner
