<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. )*
CARDIOGENESIS CORPORATION
- --------------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK
- --------------------------------------------------------------------------------
(Title of Class of Securities)
001415 9K 1
- --------------------------------------------------------------------------------
(CUSIP Number)
Check the following box if a fee is being paid with this statement. (A fee is
not required 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
disclosures provided in a prior cover page.
The information required on 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).
(Continued on following pages)
Page 1 of 21 Pages
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 2 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Kleiner Perkins Caufield & Byers VII, L.P., a California Limited
Partnership ("KPCB VII")
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
California Limited Partnership
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6
991,454
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8
991,454
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
991,454
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.3%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
PN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 3 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
KPCB VII Associates, L.P., a California Limited Partnership ("KPCB
VII Associates")
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
California Limited Partnership
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB Life Sciences Zaibatsu Fund
II, a California Limited Partnership (KPCB ZF II").
KPCB VII Associates is the general partner of KPCB
VII and KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
PN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 4 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Alexander E. Barkas
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Barkas is a general partner of KPCB VII
Associates. Mr. Barkas disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Barkas is a general partner of KPCB VII
Associates. Mr. Barkas disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 5 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Kevin R. Compton
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Compton is a general partner of KPCB VII
Associates. Mr. Compton disclaims beneficial
ownership of shares held directly by KPCB VII and
KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Compton is a general partner of KPCB VII
Associates. Mr. Compton disclaims beneficial
ownership of shares held directly by KPCB VII and
KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 6 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Brook H. Byers
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Byers is a general partner of KPCB VII
Associates. Mr. Byers disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Byers is a general partner of KPCB VII
Associates. Mr. Byers disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 7 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Vinod Khosla
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Khosla is a general partner of KPCB VII
Associates. Mr. Khosla disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Khosla is a general partner of KPCB VII
Associates. Mr. Khosla disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 8 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
William R. Hearst. III
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Hearst is a general partner of KPCB VII
Associates. Mr. Hearst disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Hearst is a general partner of KPCB VII
Associates. Mr. Hearst disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 9 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
L. John Doerr
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Doerr is a general partner of KPCB VII
Associates. Mr. Doerr disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Doerr is a general partner of KPCB VII
Associates. Mr. Doerr disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 10 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Joseph S. Lacob
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Lacob is a general partner of KPCB VII
Associates. Mr. Lacob disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Lacob is a general partner of KPCB VII
Associates. Mr. Lacob disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 11 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Bernard Lacroute
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Lacroute is a general partner of KPCB VII
Associates. Mr. Lacroute disclaims beneficial
ownership of shares held directly by KPCB VII and
KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Lacroute is a general partner of KPCB VII
Associates. Mr. Lacroute disclaims beneficial
ownership of shares held directly by KPCB VII and
KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 12 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
James P. Lally
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Lally is a general partner of KPCB VII
Associates. Mr. Lally disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Lally is a general partner of KPCB VII
Associates. Mr. Lally disclaims beneficial ownership
of shares held directly by KPCB VII and KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 13 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Douglas J. MacKenzie
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. MacKenzie is a general partner of KPCB VII
Associates. Mr. MacKenzie disclaims beneficial
ownership of shares held directly by KPCB VII and
KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. MacKenzie is a general partner of KPCB VII
Associates. Mr. MacKenzie disclaims beneficial
ownership of shares held directly by KPCB VII and
KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
- ----------------------- ---------------------
CUSIP NO. 00014159K1 13G PAGE 14 OF 21 PAGES
- ----------------------- ---------------------
- ------------------------------------------------------------------------------
NAME OF REPORTING PERSON
1 SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
E. Floyd Kvamme
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2 (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4
United States
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5
NUMBER OF - 0 -
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates
is the general partner of KPCB VII and KPCB ZF II.
Mr. Kvamme is a general partner of KPCB VII
Associates. Mr. Kvamme disclaims beneficial
ownership of shares held directly by KPCB VII and
KPCB ZF II.
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7
REPORTING - 0 -
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8 1,043,635 shares of which 991,454 shares are
directly owned by KPCB VII and 52,181 shares are
directly owned by KPCB ZF II. KPCB VII Associates is
the general partner of KPCB VII and KPCB ZF II.
Mr. Kvamme is a general partner of KPCB VII
Associates. Mr. Kvamme disclaims beneficial
ownership of shares held directly by KPCB VII and
KPCB ZF II.
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9
1,043,635
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11
8.7%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
Page 15 of 21
ITEM 1(A). NAME OF ISSUER
--------------
CardioGenesis Corporation
ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
-----------------------------------------------
540 Oakmead Parkway
Sunnyvale, California 94086
ITEM 2(A)-(C). NAME, ADDRESS AND CITIZENSHIP OF PERSONS FILING
-----------------------------------------------
This statement is being filed by KPCB VII Associates, L.P., a
California Limited Partnership ("KPCB VII Associates"), whose principal business
address is 2750 Sand Hill Road, Menlo Park, California 94025. The names,
business addresses and citizenships of all the general partners of KPCB VII
Associates are set forth on Exhibit B hereto.
KPCB VII Associates is general partner to Kleiner Perkins Caufield
& Byers VII, L.P., a California limited partnership ("KPCB VII") and KPCB Life
Sciences Zaibatsu Fund II, L.P., a California limited partnership ("KPCB ZF
II"). With respect to KPCB VII Associates, this statement relates only to KPCB
VII Associates' indirect, beneficial ownership of shares of Common Stock of
CardioGenesis Corporation held directly by KPCB VII and KPCB ZF II (the
"Shares"). Management of the business affairs of KPCB VII Associates, including
decisions respecting disposition and/or voting of the Shares, is by majority
decision of the general partners of KPCB VII Associates listed on Exhibit B
hereto, each of whom disclaims beneficial ownership of the Shares.
ITEM 2(D) AND (E). TITLE OF CLASS OF SECURITIES AND CUSIP NUMBER
---------------------------------------------
Common Stock
CUSIP # 001415 9K 1
ITEM 3. Not Applicable
--------------
ITEM 4. OWNERSHIP See rows 5-11 of cover pages. Each individual general
---------
partner of KPCB VII Associates disclaims beneficial ownership of
the Shares.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
---------------------------------------------
Not applicable.
<PAGE>
Page 16 of 21
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
----------------------------------------------------------------
Under certain circumstances set forth in the limited partnership
agreements of KPCB VII, KPCB ZF II and KPCB VII Associates, the
general and limited partners of such entities may have the right to
receive dividends from, or the proceeds from, the sale of the Shares
of CardioGenesis Corporation owned by each such entity. No such
partner's right relates to more than five percent of the class.
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>
Page 17 of 21
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.
Dated: February 13, 1997
KPCB VII ASSOCIATES, L.P., A
CALIFORNIA LIMITED PARTNERSHIP
By:__________________________________
A General Partner
KLEINER PERKINS CAUFIELD & BYERS VII,
L.P., A CALIFORNIA LIMITED PARTNERSHIP
By KPCB VII Associates, L.P., a
California Limited Partnership, its
General Partner
By:___________________________________
A General Partner
ALEXANDER E. BARKAS
BROOK H. BYERS
KEVIN R. COMPTON
L. JOHN DOERR
WILLIAM R. HEARST III
VINOD KHOSLA
JOSEPH S. LACOB
BERNARD J. LACROUTE
JAMES P. LALLY
DOUGLAS P. MACKENZIE
E. FLOYD KVAMME
By:___________________________________
Michael S. Curry
Attorney-in-Fact
<PAGE>
Page 18 0f 21
EXHIBIT INDEX
-------------
<TABLE>
<CAPTION>
Found on
Sequentially
Exhibit Numbered Page
- ------- -------------
<S> <C>
Exhibit A: Agreement of Joint Filing 19
Exhibit B: List of General Partners of KPCB VII Associates 20
</TABLE>
<PAGE>
Page 19 of 21
EXHIBIT A
---------
Agreement of Joint Filing
-------------------------
The undersigned hereby agree that they are filing jointly pursuant to
Rule 13d-1 of the Act the statement dated February 13, 1997, containing the
information required by Schedule 13G, for the 1,043,635 Shares of CardioGenesis
Corporation held by Kleiner Perkins Caufield & Byers VII, L.P., a California
Limited Partnership and KPCB Life Sciences Zaibatsu Fund II, L.P., a California
Limited Partnership.
Dated: February 13, 1997
KPCB VII ASSOCIATES, L.P., A
CALIFORNIA LIMITED PARTNERSHIP
By:_____________________________________
A General Partner
KLEINER PERKINS CAUFIELD & BYERS VII,
L.P., A CALIFORNIA LIMITED PARTNERSHIP
By KPCB VII Associates, L.P., a
California Limited Partnership, its
General Partner
By:_____________________________________
A General Partner
ALEXANDER E. BARKAS
BROOK H. BYERS
KEVIN R. COMPTON
L. JOHN DOERR
WILLIAM R. HEARST III
VINOD KHOSLA
JOSEPH S. LACOB
BERNARD J. LACROUTE
JAMES P. LALLY
DOUGLAS P. MACKENZIE
E. FLOYD KVAMME
By:_____________________________________
Michael S. Curry
Attorney-in-Fact
<PAGE>
Page 20 of 21
EXHIBIT B
---------
General Partners of
KPCB VII Associates, a California limited partnership
-----------------------------------------------------
Set forth below, with respect to each general partner of KPCB VII
Associates, is the following: (a) name; (b) business address; and (c)
citizenship.
1. (a) Alexander E. Barkas
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
2. (a) Brook H. Byers
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
3. (a) Kevin R. Compton
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
4. (a) L. John Doerr
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
5. (a) William R. Hearst III
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
<PAGE>
Page 21 of 21
6. (a) Vinod Khosla
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
7. (a) Joseph S. Lacob
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
8. (a) Bernard J. Lacroute
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
9. (a) James P. Lally
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
10. (a) Douglas P. MacKenzie
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
11. (a) E. Floyd Kvamme
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
