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OMB APPROVAL
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OMB Number 3235-0145
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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. )*
------
Com21, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, $.001 par value per share
- --------------------------------------------------------------------------------
(Title of Class of Securities)
205937105
----------------------------------
(CUSIP Number)
May 22, 1998
- --------------------------------------------------------------------------------
(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).
Page 1 of 28 pages
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CUSIP NO. 205937105 13G PAGE 2 OF 28 PAGES
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
New Enterprise Associates VI, Limited Partnership
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware Limited Partnership
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
PN
- -------------------------------------------------------------------------------
Page 2 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 3 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
NEA Partners VI, Limited Partnership
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
PN
- -------------------------------------------------------------------------------
Page 3 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 4 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
NEA Enterprise Associates VII, Limited Partnership
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware Limited Partnership
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
PN
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Page 4 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 5 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
NEA Partners VII, Limited Partnership
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
PN
- -------------------------------------------------------------------------------
Page 5 of 28 pages
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CUSIP NO. 205937105 13G PAGE 6 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
NEA Presidents' Fund, L.P.
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware Limited Partnership
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
PN
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Page 6 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 7 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
NEA General Partners, L.P.
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
Delaware Limited Partnership
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
PN
- -------------------------------------------------------------------------------
Page 7 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 8 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Peter J. Barris
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------
Page 8 of 28 pages
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CUSIP NO. 205937105 13G PAGE 9 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Nancy L. Dorman
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------
Page 9 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 10 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Ronald H. Kase
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------
Page 10 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 11 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
C. Richard Kramlich
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------
Page 11 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 12 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Arthur J. Marks
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------
Page 12 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 13 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Thomas C. McConnell
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------
Page 13 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 14 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
John M. Nehra
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------
Page 14 of 28 pages
<PAGE>
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CUSIP NO. 205937105 13G PAGE 15 OF 28 PAGES
- -------------------------------------------------------------------------------
- -------------------------------------------------------------------------------
(1) Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Charles W. Newhall III
- -------------------------------------------------------------------------------
(2) Check the Appropriate Box if a Member (a) / /
of a Group (See Instructions) (b) / /
- -------------------------------------------------------------------------------
(3) SEC Use Only
- -------------------------------------------------------------------------------
(4) Citizenship or Place of Organization
United States
- -------------------------------------------------------------------------------
Number of Shares (5) Sole Voting Power
Beneficially 0
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting Power
Person With: 1,915,483
--------------------------------------------------
(7) Sole Dispositive Power
0
--------------------------------------------------
(8) Shared Dispositive Power
1,915,483
- -------------------------------------------------------------------------------
(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,915,483
- -------------------------------------------------------------------------------
(10) Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See
Instructions) / /
- -------------------------------------------------------------------------------
(11) Percent of Class Represented by Amount in Row (9)
10.3%
- -------------------------------------------------------------------------------
(12) Type of Reporting Person (See Instructions)
IN
- -------------------------------------------------------------------------------
Page 15 of 28 pages
<PAGE>
ITEM 1(a). NAME OF ISSUER: Com21, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
750 Tasman Drive, Milpitas, CA 95035.
ITEM 2(a). NAMES OF PERSONS FILING: New Enterprise Associates VI, Limited
Partnership ("NEA VI"), New Enterprise Associates VII, Limited
Partnership ("NEA VII") and NEA Presidents' Fund, L.P.
("Presidents") (collectively, the "Funds"); NEA Partners VI,
Limited Partnership ("NEA Partners VI), which is the sole general
partner of NEA VI, NEA Partners VII, Limited Partnership ("NEA
Partners VII"), which is the sole general partner of NEA VII, and
NEA General Partners, L.P. ("Presidents Partners"), which is the
sole general partner of Presidents (collectively, the "GPLPs");
and Peter J. Barris ("Barris"), Nancy L. Dorman ("Dorman"),
Ronald H. Kase ("Kase"), C. Richard Kramlich ("Kramlich"), Arthur
J. Marks ("Marks"), Thomas C. McConnell ("McConnell"), John M.
Nehra ("Nehra") and Charles W. Newhall III ("Newhall")
(collectively, the "General Partners"). All of the General
Partners are individual general partners of NEA Partners VI, NEA
Partners VII and Presidents Partners. The persons named in this
paragraph are referred to individually herein as a "Reporting
Person" and collectively as the "Reporting Persons."
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: The
address of the principal business office of NEA VI, NEA Partners
VI, NEA VII, NEA Partners VII, Presidents, Presidents Partners,
Barris, Dorman, Marks, Nehra and Newhall is New Enterprise
Associates, 1119 St. Paul Street, Baltimore, Maryland 21202. The
address of the principal business office of Kase, Kramlich and
McConnell is New Enterprise Associates, 2490 Sand Hill Road,
Menlo Park, California 94025.
ITEM 2(c). CITIZENSHIP: Each of NEA VI, NEA Partners VI, NEA VII, NEA
Partners VII, Presidents and Presidents Partners is a limited
partnership organized under the laws of the State of Delaware.
Each of the General Partners is a United States citizen.
ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, $.001 par value
("Common Stock").
ITEM 2(e). CUSIP NUMBER: 205937105
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO SECTIONS 240.13d-1(b) OR
240.13d-2(b) OR (c), CHECK WHETHER THE PERSON FILING IS A:
(a) [ ] Broker or Dealer registered under Section 15 of the
Securities Exchange Act of 1934 (the "Act").
(b) [ ] Bank as defined in Section 3(a)(6) of the Act.
(c) [ ] Insurance Company as defined in Section 3(a)(19) of the
Act.
(d) [ ] Investment Company registered under Section 8 of the
Investment Company Act of 1940.
(e) [ ] Investment Adviser in accordance with Section
240.13d-1(b)(I)(ii)(E).
Page 16 of 28 pages
<PAGE>
(f) [ ] An employee benefit plan or endowment fund in accordance
with Section 240.13d-1(b)(1)(ii)(F).
(g) [ ] A Parent Holding Company, in accordance with Section
240.13d-1(b)(1)(ii)(G).
(h) [ ] A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act.
(i) [ ] A church plan that is excluded from the definition of an
investment company under section 3(c)(14) of the
Investment Company Act of 1940.
(j) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J).
Not applicable. This Schedule 13G is not being filed pursuant to
Rule 13d-1(b) or Rule 13d-2(b) or (c).
ITEM 4. OWNERSHIP.
(a) Amount Beneficially Owned: NEA VI is the record owner of
1,542,629 shares of Common Stock (the "NEA VI Shares") as of
December 31, 1998. NEA VII is the record owner of 369,521
shares of Common Stock (the "NEA VII Shares") as of December
31, 1998. Presidents is the record owner of 3,333 shares of
Common Stock as of December 31, 1998 (the "Partners Shares").
As the sole general partner of NEA VI, NEA Partners VI may be
deemed to own beneficially the NEA VI Shares. As the sole
general partner of NEA VII, NEA Partners VII may be deemed to
own beneficially the NEA VII Shares. As the sole general
partner of Presidents, Presidents Partners may be deemed to
own beneficially the Presidents Shares. By virtue of their
relationship as affiliated limited partnerships, whose
general partners have overlapping individual general
partners, each Fund may be deemed to share the power to
direct the disposition and vote of the NEA VI Shares, the NEA
VII Shares and the Presidents Shares, for an aggregate of
1,915,483 shares (the "Record Shares").
As individual general partners of NEA Partners VI, NEA
Partners VII and Presidents Partners, the general partners of
NEA VI, NEA VII and Presidents, respectively, each of the
General Partners may be deemed to own beneficially all of the
Record Shares.
(b) Precent of Class: Each Reporting Person 10.3%. The foregoing
percentage is calculated based on the 18,562,903 shares of
Common Stock reported to be outstanding in the Quarterly
Report on Form 10-Q of Com21, Inc. for the quarter ended
September 30, 1998, as adjusted pursuant to Rule 13d-13(d)(1).
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote: 0 shares for
each Reporting Person.
Page 17 of 28 pages
<PAGE>
(ii) shared power to vote or to direct the vote: 1,915,483
shares for each Reporting Person.
(iii) sole power to vote or to direct the vote: 0 shares for
each Reporting Person.
(iv) shared power to dispose or to direct the disposition
of: 1,915,483 shares for each Reporting Person
Each Reporting Person disclaims beneficial ownership of such
shares of Common Stock except for the shares, if any, such
Reporting Person holds of record.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
Not applicable.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH
ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING
COMPANY.
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
Not applicable. The Reporting Persons expressly disclaim
membership in a "group" as used in Rule 13d-1(b)(ii)(H).
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10. CERTIFICATION.
Not applicable. This statement on Schedule 13G is not filed
pursuant to Rule 13d-1(b) or Rule 13d-1(c).
Page 18 of 28 pages
<PAGE>
SIGNATURE
After reasonable inquiry and to the best of its knowledge and belief, each
of the undersigned certifies that the information set forth in this statement is
true, complete and correct.
Date: February 10, 1999
NEW ENTERPRISE ASSOCIATES VI, LIMITED PARTNERSHIP
By: NEA PARTNERS VI, LIMITED PARTNERSHIP
By: *
------------------------------------------
Charles W. Newhall III
General Partner
NEA PARTNERS VI, LIMITED PARTNERSHIP
By: *
------------------------------------------------
Charles W. Newhall III
General Partner
NEW ENTERPRISE ASSOCIATES VII, LIMITED PARTNERSHIP
By: NEA PARTNERS VII, LIMITED PARTNERSHIP
By: *
------------------------------------------
Charles W. Newhall III
General Partner
NEA PARTNERS VII, LIMITED PARTNERSHIP
By: *
------------------------------------------------
Charles W. Newhall III
General Partner
NEA PRESIDENTS' FUND L.P.
By: NEA GENERAL PARTNERS, L.P.
By: *
------------------------------------------------
Charles W. Newhall III
General Partner
Page 19 of 28 pages
<PAGE>
NEA GENERAL PARTNERS, L.P.
By: *
------------------------------------------------
Charles W. Newhall III
General Partner
*
- -----------------------------------------------
Peter J. Barris
*
- -----------------------------------------------
Ronald H. Kase
*
- -----------------------------------------------
C.Richard Kramlich
*
- -----------------------------------------------
John M. Nehra
*
- -----------------------------------------------
Arthur J. Marks
*
- -----------------------------------------------
Thomas C. McConnell
Page 20 of 28 pages
<PAGE>
*
- -----------------------------------------------
Charles W. Newhall III
*By: /s/ Nancy L. Dorman
-----------------------------------
Nancy L. Dorman, in her individual
capacity and as Attorney-in-Fact
- -------------------------------------------------------------------------------
This Schedule 13G was executed by Nancy L. Dorman pursuant to Powers of
Attorney filed with the Securities and Exchange Commission on February 13,
1992 in connection with a Schedule 13G for Advanced Interventional Systems
Inc., and on February 13, 1995 in connection with a Schedule 13G for Acuity
Imaging, Inc., which Powers of Attorney are incorporated herein by reference
and copies of which are attached hereto as Exhibit 2.
Page 21 of 28 pages
<PAGE>
EXHIBIT 1
AGREEMENT
Pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934,
the undersigned hereby agree that only one statement containing the
information required by Schedule 13G need be filed with respect to the
ownership by each of the undersigned of shares of Common Stock of Com21, Inc.
EXECUTED as a sealed instrument this 10th day of February, 1999
NEW ENTERPRISE ASSOCIATES VI, LIMITED PARTNERSHIP
By: NEA PARTNERS VI, LIMITED PARTNERSHIP
By: *
------------------------------------------
Charles W. Newhall III
General Partner
NEA PARTNERS VI, LIMITED PARTNERSHIP
By: *
------------------------------------------------
Charles W. Newhall III
General Partner
NEW ENTERPRISE ASSOCIATES VII, LIMITED PARTNERSHIP
By: NEA PARTNERS VII, LIMITED PARTNERSHIP
By: *
------------------------------------------
Charles W. Newhall III
General Partner
NEA PARTNERS VII, LIMITED PARTNERSHIP
By: *
------------------------------------------------
Charles W. Newhall III
General Partner
Page 22 of 28 pages
<PAGE>
NEA PRESIDENTS' FUND, L.P.
By: NEA GENERAL PARTNERS, L.P.
By: *
------------------------------------------------
Charles W. Newhall III
General Partner
NEA GENERAL PARTNERS, L.P.
By: *
------------------------------------------------
Charles W. Newhall III
General Partner
*
- -----------------------------------------------
Peter J. Barris
*
- -----------------------------------------------
Ronald H. Kase
*
- -----------------------------------------------
C.Richard Kramlich
*
- -----------------------------------------------
John M. Nehra
*
- -----------------------------------------------
Arthur J. Marks
*
- -----------------------------------------------
Thomas C. McConnell
Page 23 of 28 pages
<PAGE>
*
- -----------------------------------------------
Charles W. Newhall III
*By: /s/ Nancy L. Dorman
-----------------------------------
Nancy L. Dorman, in her individual
capacity and as Attorney-in-Fact
- -------------------------------------------------------------------------------
This Agreement was executed by Nancy L. Dorman pursuant to Powers of
Attorney filed with the Securities and Exchange Commission on February 13,
1992 in connection with a Schedule 13G for Advanced Interventional Systems
Inc., and on February 13, 1995 in connection with a Schedule 13G for Acuity
Imaging, Inc., which Powers of Attorney are incorporated herein by reference
and copies of which are attached hereto as Exhibit 2.
Page 24 of 28 pages
<PAGE>
Exhibit 2
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears
below hereby constitutes and appoints Nancy L. Dorman and Charles W. Newhall
III, and each of them, with full power to act without the other, his true and
lawful attorney-in-fact, with full power of substitution, to sign any and all
instruments, certificates and documents that may be necessary, desirable or
appropriate to be executed on behalf of himself as an individual or in his
capacity as a general partner of any partnership, pursuant to section 13 or
16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"),
and any and all regulations promulgated thereunder, and to file the same,
with all exhibits thereto, and any other documents in connection therewith,
with the Securities and Exchange Commission, and with any other entity when
and if such is mandated by the Exchange Act or by the By-laws of the National
Association of Securities Dealers, Inc., granting unto said attorney-in-fact
full power and authority to do and perform each and every act and thing
necessary, desirable or appropriate, fully to all intents and purposes as he
might or could do in person, thereby ratifying and confirming all that said
attorney-in-fact, or his substitutes, may lawfully do or cause to be done by
virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 23rd
day of April, 1991.
/s/ Raymond L. Bank
------------------------------
Raymond L. Bank
/s/ Thomas R. Baruch
------------------------------
Thomas R. Baruch
/s/ Cornelius C. Bond, Jr.
------------------------------
Cornelius C. Bond, Jr.
/s/ Frank A. Bonsal, Jr.
------------------------------
Frank A. Bonsal, Jr.
/s/ James A. Cole
------------------------------
James A. Cole
Page 25 of 28 pages
<PAGE>
/s/ Nancy L. Dorman
------------------------------
Nancy L. Dorman
/s/ Neal M. Douglas
------------------------------
Neal M. Douglas
/s/ John W. Glynn, Jr.
------------------------------
John W. Glynn, Jr.
/s/ Curran W. Harvey
------------------------------
Curran W. Harvey
/s/ Ronald Kase
------------------------------
Ronald Kase
/s/ C. Richard Kramlich
------------------------------
C. Richard Kramlich
/s/ Robert F. Kuhling
------------------------------
Robert F. Kuhling
/s/ Arthur J. Marks
------------------------------
Arthur J. Marks
/s/ Thomas C. McConnell
------------------------------
Thomas C. McConnell
/s/ Donald L. Murfin
------------------------------
Donald L. Murfin
/s/ H. Leland Murphy
------------------------------
H. Leland Murphy
Page 26 of 28 pages
<PAGE>
/s/ John M. Nehra
------------------------------
John M. Nehra
/s/ Charles W. Newhall III
------------------------------
Charles W. Newhall III
/s/ Terry L. Opdendyk
------------------------------
Terry L. Opdendyk
/s/ Barbara J. Perrier
------------------------------
Barbara J. Perrier
/s/ C. Vincent Prothro
------------------------------
C. Vincent Prothro
/s/ C. Woodrow Rea, Jr.
------------------------------
C. Woodrow Rea, Jr.
/s/ Howard D. Wolfe, Jr.
------------------------------
Howard D. Wolfe, Jr.
/s/ Nora M. Zietz
------------------------------
Nora M. Zietz
Page 27 of 28 pages
<PAGE>
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature appears
below hereby constitutes and appoints Nancy L. Dorman and Charles W. Newhall
III, and each of them, with full power to act without the other, his true and
lawful attorney-in-fact, with full power of substitution, to sign any and all
instruments, certificates and documents that may be necessary, desirable or
appropriate to be executed on behalf of himself as an individual or in his
capacity as a general partner of any partnership, pursuant to section 13 or
16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"),
and any and all regulations promulgated thereunder, and to file the same,
with all exhibits thereto, and any other documents in connection therewith,
with the Securities and Exchange Commission, and with any other entity when
and if such is mandated by the Exchange Act or by the By-laws of the National
Association of Securities Dealers, Inc., granting unto said attorney-in-fact
full power and authority to do and perform each and every act and thing
necessary, desirable or appropriate, fully to all intents and purposes as he
might or could do in person, thereby ratifying and confirming all that said
attorney-in-fact, or his substitutes, may lawfully do or cause to be done by
virtue hereof.
IN WITNESS WHEREOF, this Power of Attorney has been signed as of the 1st
day of January, 1994.
/s/ Peter J. Barris
---------------------------------
Peter J. Barris
/s/ Debra E. King
---------------------------------
Debra E. King
/s/ Peter T. Morris
---------------------------------
Peter T. Morris
/s/ Hugh Y. Rienhoff, Jr.
---------------------------------
Hugh Y. Rienhoff, Jr.
/s/ Alexander Slusky
---------------------------------
Alexander Slusky
/s/ Louis B. Van Dyck
---------------------------------
Louis B. Van Dyck
Page 28 of 28 pages
