<PAGE>
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. 1)*
CARDIOGENESIS CORPORATION
----------------------------------------------------------------------------
(Name of Issuer)
COMMON STOCK
----------------------------------------------------------------------------
(Title of Class of Securities)
001415 9K 1
----------------------------------------------------------------------------
(CUSIP Number)
N/A
----------------------------------------------------------------------------
(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-(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 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 20 Pages
Exhibit Index Contained on Page 17
<PAGE>
CUSIP NO. 001415 9K 1 13G Page 2 of 20 Pages
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Kleiner Perkins Caufield & Byers VII, L.P., a California Limited
Partnership ("KPCB VII") 94-3201863
- --------------------------------------------------------------------------------
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 Limited Partnership
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER - 0 -
NUMBER OF -------------------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY 730,546
OWNED BY -------------------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER - 0 -
REPORTING -------------------------------------------------------------
PERSON 8 SHARED DISPOSITIVE POWER
WITH 730,546
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
730,546
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* / /
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.0%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP NO. 001415 9K 1 13G Page 3 of 20 Pages
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
KPCB VII Associates, L.P., a California Limited Partnership ("KPCB VII
Associates") 94-3203783
- --------------------------------------------------------------------------------
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 Limited Partnership
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER - 0 -
-------------------------------------------------------------
6 SHARED VOTING POWER
NUMBER OF 782,727 shares of which 730,546 shares are directly owned
SHARES by KPCB VII and 52,181 shares are directly owned by KPCB
BENEFICIALLY Life Sciences Zaibatsu Fund II, a California Limited
OWNED BY Partnership ("KPCB ZF II"). KPCB VII Associates is the
EACH general partner of KPCB VII and KPCB ZF II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER - 0 -
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
782,727
- --------------------------------------------------------------------------------
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* / /
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.4%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP NO. 001415 9K 1 13G Page 4 of 20 Pages
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Kevin R. Compton
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / / (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER 68
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 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
NUMBER OF KPCB VII and KPCB ZF II. Mr. Compton is a general
SHARES partner of KPCB VII Associates. Mr. Compton disclaims
BENEFICIALLY beneficial ownership of shares held directly by KPCB VII
OWNED BY EACH and KPCB ZF II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER 68
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON
782,795
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* / /
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
6.4%
- --------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON*
IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
13G Page 5 of 20 Pages
CUSIP NO. 001415 9K 1
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Brook H. Byers
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / / (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER 266
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 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
NUMBER OF KPCB VII and KPCB ZF II. Mr. Byers is a general partner
SHARES of KPCB VII Associates. Mr. Byers disclaims beneficial
BENEFICIALLY ownership of shares held directly by KPCB VII and KPCB ZF
OWNED BY EACH II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER 266
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 782,993
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* / /
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.4%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
13G Page 6 of 20 Pages
CUSIP NO. 001415 9K 1
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Vinod Khosla
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / / (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER - 0 -
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 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
NUMBER OF KPCB VII and KPCB ZF II. Mr. Khosla is a general partner
SHARES of KPCB VII Associates. Mr. Khosla disclaims beneficial
BENEFICIALLY ownership of shares held directly by KPCB VII and KPCB ZF
OWNED BY EACH II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER - 0 -
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 782,727
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* / /
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.4%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
13G Page 7 of 20 Pages
CUSIP NO. 001415 9K 1
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
William R. Hearst, III
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / / (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER 683
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 shares are directly owned
NUMBER OF by KPCB VII and 52,181 shares are directly owned by KPCB
SHARES ZF II. KPCB VII Associates is the general partner of KPCB
BENEFICIALLY VII and KPCB ZF II. Mr. Hearst is a general partner of
OWNED BY EACH KPCB VII Associates. Mr. Hearst disclaims beneficial
REPORTING ownership of shares held directly by KPCB VII and KPCB ZF
PERSON II.
WITH -------------------------------------------------------------
7 SOLE DISPOSITIVE POWER 683
-------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 783,410
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.4%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP NO. 001415 9K 1 13G Page 8 of 20 Pages
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
L. John Doerr
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER 982
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 shares are directly
owned by KPCB VII and 52,181 shares are directly owned
by KPCB ZF II. KPCB VII Associates is the general
NUMBER OF partner of KPCB VII and KPCB ZF II. Mr. Doerr is a
SHARES general partner of KPCB VII Associates. Mr. Doerr
BENEFICIALLY disclaims beneficial ownership of shares held directly
OWNED BY EACH by KPCB VII and KPCB ZF II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER 982
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 783,709
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.4%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP NO. 001415 9K 1 13G Page 9 of 20 Pages
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Joseph S. Lacob
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER 208
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 shares are directly owned
by KPCB VII and 52,181 shares are directly owned by KPCB ZF
NUMBER OF II. KPCB VII Associates is the general partner of KPCB VII
SHARES and KPCB ZF II. Mr. Lacob is a general partner of KPCB VII
BENEFICIALLY Associates. Mr. Lacob disclaims beneficial ownership of
OWNED BY EACH shares held directly by KPCB VII and KPCB ZF II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER 208
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 782,935
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* / /
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.4%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP NO. 001415 9K 1 13G Page 10 of 20 Pages
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Bernard Lacroute
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) /X/ (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER 68
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 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
NUMBER OF KPCB VII and KPCB ZF II. Mr. Lacroute is a general
SHARES partner of KPCB VII Associates. Mr. Lacroute disclaims
BENEFICIALLY beneficial ownership of shares held directly by KPCB VII
OWNED BY EACH and KPCB ZF II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER 68
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 782,795
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.4%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP NO. 001415 9K 1 13G Page 11 of 20 Pages
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
James P. Lally
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / / (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER 68
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 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
NUMBER OF VII and KPCB ZF II. Mr. Lally is a general partner of
SHARES KPCB VII Associates. Mr. Lally disclaims beneficial
BENEFICIALLY ownership of shares held directly by KPCB VII and KPCB ZF
OWNED BY EACH II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER 68
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 782,795
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.4%
- --------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP NO. 001415 9K 1 13G Page 12 of 20 Pages
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Douglas J. MacKenzie
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / / (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER 68
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 shares are directly
owned by KPCB VII and 52,181 shares are directly owned
by KPCB ZF II. KPCB VII Associates is the general
NUMBER OF partner of KPCB VII and KPCB ZF II. Mr. MacKenzie is a
SHARES general partner of KPCB VII Associates. Mr. MacKenzie
BENEFICIALLY disclaims beneficial ownership of shares held directly
OWNED BY EACH by KPCB VII and KPCB ZF II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER 68
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 782,795
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.4%
- --------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
CUSIP NO. 001415 9K 1 13G Page 13 of 20 Pages
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
E. Floyd Kvamme
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / / (b) /X/
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
- --------------------------------------------------------------------------------
5 SOLE VOTING POWER 409
-------------------------------------------------------------
6 SHARED VOTING POWER
782,727 shares of which 730,546 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
NUMBER OF KPCB VII and KPCB ZF II. Mr. Kvamme is a general partner
SHARES of KPCB VII Associates. Mr. Kvamme disclaims beneficial
BENEFICIALLY ownership of shares held directly by KPCB VII and KPCB ZF
OWNED BY EACH II.
REPORTING -------------------------------------------------------------
PERSON 7 SOLE DISPOSITIVE POWER 409
WITH -------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
782,727 shares of which 730,546 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.
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 783,136
- --------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES*
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.4%
- --------------------------------------------------------------------------------
12 TYPE OR REPORTING PERSON* IN
- --------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
Page 14 of 20
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"). 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 15 of 20
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 16 of 20
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 12, 1999 KPCB VII ASSOCIATES, L.P., A
CALIFORNIA LIMITED PARTNERSHIP
By:/s/ Brook H. Byers
-----------------------------
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:/s/ Brook H. Byers
-----------------------------
A General Partner
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:/s/ Michael S. Curry
-----------------------------
Michael S. Curry
Attorney-in-Fact
<PAGE>
Page 17 of 20
EXHIBIT INDEX
<TABLE>
<CAPTION>
Found on
Sequentially
Exhibit Numbered Page
- ------- -------------
<S> <C> <C>
Exhibit A: Agreement of Joint Filing 18
Exhibit B: List of General Partners of KPCB VII Associates 19
</TABLE>
<PAGE>
Page 18 of 20
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 12, 1999, containing
the information required by Schedule 13G, for the Shares of CardioGenesis
Corporation held by Kleiner Perkins Caufield & Byers VII, L.P., a California
Limited Partnership.
Dated: February 12, 1999
KPCB VII ASSOCIATES, L.P., A
CALIFORNIA LIMITED PARTNERSHIP
By:/s/ Brook H. Byers
-----------------------------
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:/s/ Brook H. Byers
-----------------------------
A General Partner
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:/s/ Michael S. Curry
-----------------------------
Michael S. Curry
Attorney-in-Fact
<PAGE>
Page 19 of 20
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) Brook H. Byers
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
2. (a) Kevin R. Compton
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
3. (a) L. John Doerr
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
4. (a) William R. Hearst III
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
5. (a) Vinod Khosla
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
6. (a) Joseph S. Lacob
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
<PAGE>
Page 20 of 20
7. (a) Bernard J. Lacroute
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
8. (a) James P. Lally
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
9. (a) Douglas P. MacKenzie
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
10. (a) E. Floyd Kvamme
(b) c/o Kleiner Perkins Caufield & Byers
2750 Sand Hill Road
Menlo Park, CA 94025
(c) United States Citizen
