SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
Schedule 13G
(Rule 13d-102)
INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(Amendment No.1 and Restatement)*
Network Appliance, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
64120L104
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(CUSIP Number)
*The remainder of this cover page shall be filled out for a reporting person's
initial filing on this form with respect to the subject class of securities, and
for any subsequent amendment containing information which would alter
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 13 Pages
Exhibit Index Contained on Page 11
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CUSIP NO. 64120L104 13 G Page 2 of 13 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Vanguard IV, L.P. ("Vanguard")
Tax ID Number: 77-0316839
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF 5 SOLE VOTING POWER
SHARES 351,817 shares, except that VVP, the general partner of Vanguard, and
BENEFICIALLY Gill, Higgerson, and Myers, the general partners of VVP, may be
OWNED BY EACH deemed to have shared voting power with respect to such shares.
REPORTING
PERSON
WITH
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6 SHARED VOTING POWER
See response to row 5.
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7 SOLE DISPOSITIVE POWER
351,817 shares, except that VVP, the general partner of Vanguard, and
Gill, Higgerson, and Myers, the general partners of VVP, may be deemed
to have shared dispositive power with respect to such shares.
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8 SHARED DISPOSITIVE POWER
See response to row 7.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 351,817
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.18%
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12 TYPE OF REPORTING PERSON*
PN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 64120L104 13 G Page 3 of 13 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Vanguard Venture Partners ("VVP")
Tax ID Number: 77-0316838
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF 5 SOLE VOTING POWER
SHARES 25,239 shares.
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
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6 SHARED VOTING POWER
351,817 shares, of which all are directly owned by Vanguard. VVP is the
general partner of Vanguard and may be deemed to have shared voting
power with respect to such shares.
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7 SOLE DISPOSITIVE POWER
25,239
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8 SHARED DISPOSITIVE POWER
351,817 shares, of which all are directly owned by Vanguard. VVP is the
general partner of Vanguard and may be deemed to have shared
dispositive power with respect to such shares.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 377,056
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.34%
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12 TYPE OF REPORTING PERSON*
PN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 64120L104 13 G Page 4 of 13 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Jack M. Gill ("Gill")
Tax ID Number: ###-##-####
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF 5 SOLE VOTING POWER
SHARES 8,419 shares.
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
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6 SHARED VOTING POWER
377,056 Shares, of which 351,817 are directly owned by Vanguard and
25,239 are directly owned by VVP. Gill is a general partner of VVP, the
general partner of Vanguard, and may be deemed to have shared voting
power with respect to such shares.
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7 SOLE DISPOSITIVE POWER
8,419 shares
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8 SHARED DISPOSITIVE POWER
377,056 Shares, of which 351,817 are directly owned by Vanguard and
25,239 are directly owned by VVP. Gill is a general partner of VVP, the
general partner of Vanguard, and may be deemed to have shared
dispositive power with respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 385,475
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.39%
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12 TYPE OF REPORTING PERSON*
IN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 64120L104 13 G Page 5 of 13 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Clifford H. Higgerson ("Higgerson")
Tax ID Number: ###-##-####
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF 5 SOLE VOTING POWER
SHARES 7,215 shares.
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
377,056 Shares, of which 351,817 are directly owned by Vanguard and
25,239 are directly owned by VVP. Higgerson is a general partner of
VVP, the general partner of Vanguard, and may be deemed to have shared
voting power with respect to such shares.
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7 SOLE DISPOSITIVE POWER
7,215 shares.
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8 SHARED DISPOSITIVE POWER
377,056 Shares, of which 351,817 are directly owned by Vanguard and
25,239 are directly owned by VVP. Higgerson is a general partner of
VVP, the general partner of Vanguard, and may be deemed to have shared
dispositive power with respect to such shares.
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 384,271
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.38%
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12 TYPE OF REPORTING PERSON*
IN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP NO. 64120L104 13 G Page 6 of 13 Pages
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1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Curtis K. Myers ("Myers")
Tax ID Number: ###-##-####
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a)[ ] (b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
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NUMBER OF 5 SOLE VOTING POWER
SHARES 3,513 shares.
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
377,056 Shares, of which 351,817 are directly owned by Vanguard and
25,239 are directly owned by VVP. Myers is a general partner of VVP,
the general partner of Vanguard, and may be deemed to have shared
voting power with respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
3,513 shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
377,056 Shares, of which 351,817 are directly owned by Vanguard and
25,239 are directly owned by VVP. Myers is a general partner of VVP,
the general partner of Vanguard, and may be deemed to have shared
dispositive power with respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 380,569
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
2.36%
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12 TYPE OF REPORTING PERSON*
IN
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* SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 7 of 13 Pages
This statement is an amendment and restatement of the Statement on
Schedule 13(G) (the "Original Statement") filed by Vanguard IV, L.P., Vanguard
Venture Partners, Jack M. Gill, Clifford H. Higgerson and Curtis K. Myers (the
"Reporting Persons").
ITEM 1(a). NAME OF ISSUER:
Network Appliance, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
319 North Bernardo Avenue
Mountain View, CA 94043
ITEM 2(a). NAME OF PERSONS FILING:
This Amendment No. 1 and Restatement is filed by Vanguard IV,
L.P. ("Vanguard"), Vanguard Venture Partners ("VVP"), Jack M. Gill ("Gill"),
Clifford H. Higgerson ("Higgerson") and Curtis K. Myers ("Myers"). The foregoing
entities and individuals are collectively referred to as the "Reporting
Persons".
VVP is the general partner of Vanguard and may be deemed to
have shared power to vote and shared poser to dispose of shares of the issuer
directly owned by Vanguard. Gill, Higgerson and Myers are general partners of
VVP, and may be deemed to have shared power to vote and shared power to dispose
of the shares of issuer directly owned by Vanguard.
ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE, OR, IF NONE, RESIDENCE:
The address of the principal business office for each of the
Reporting Persons is:
525 University Avenue, Suite 600
Palo Alto, California 94301
ITEM 2(c) CITIZENSHIP:
Vanguard and VVP are Delaware limited partnerships. Gill,
Higgerson and Myers are United States Citizens.
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock
ITEM 2(e). CUSIP NUMBER:
CUSIP # 64120L104
ITEM 3. Not Applicable
Page 8 of 13 Pages
ITEM 4. OWNERSHIP:
The following information with respect to the ownership of the
Common Stock of the issuer by the persons filing this
Statement is provided as of December 31, 1996:
(a) Amount beneficially owned:
See Row 9 of cover page for each Reporting
Person.
(b) Percent of Class:
See Row 11 of cover page for each Reporting
Person.
(c) Number of shares as to which such person has:
(i) Sole power to vote or to
direct the vote:
See Row 5 of cover page for
each Reporting Person.
(ii) Shared power to vote or to
direct the vote:
See Row 6 of cover page for
each Reporting Person.
(iii) Sole power to dispose or to
direct the disposition of:
See Row 7 of cover page for
each Reporting Person.
(iv) Shared power to dispose or
to direct the disposition
of:
See Row 8 of cover page for
each Reporting Person.
Page 9 of 13 Pages
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS:
If this statement is being filed to report the fact that as of
the date hereof, the reporting person has ceased to be the
beneficial owner of more than five percent of the class of
securities, check the following: [X]
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER
PERSON:
Under certain circumstances set forth in the
limited partnership agreement of Vanguard, the general and
limited partners of such entity may be deemed to have the
right to receive dividends from, or the proceeds from, the
sale of shares of the issuer owned by such entity of which
they are a partner.
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 10 of 13 Pages
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 1, 1997
Vanguard IV, L.P. /s/ Curtis K. Myers
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Signature
Curtis K. Myers
General Partner
Vanguard Venture Partners /s/ Curtis K. Myers
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Signature
Curtis K. Myers
General Partner
Jack M. Gill /s/ Curtis K. Myers
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Signature
Curtis K. Myers
Attorney-In-Fact
Clifford H. Higgerson /s/ Curtis K. Myers
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Signature
Curtis K. Myers
Attorney-In-Fact
Curtis K. Myers /s/ Curtis K. Myers
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Signature
Page 11 of 13 Pages
EXHIBIT INDEX
Found on
Sequentially
Exhibit Numbered Page
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Exhibit A: Agreement of Joint Filing 9
Exhibit B: Reference to Curtis K. Myers as Attorney-in-Fact 13
Page 12 of 13 Pages
EXHIBIT A
Agreement of Joint Filing
The undersigned hereby agree that a single Schedule 13G (or
any amendment thereto) relating to the Common Stock of Network Appliance, Inc.
shall be filed on behalf of each of the undersigned and that this Agreement
shall be filed as an exhibit to such Schedule 13G.
Date: February 13, 1996
Vanguard IV, L.P. Jack M. Gill
By: /s/ Curtis K. Myers By: */s/ Curtis K. Myers
-------------------------- --------------------------
Curtis K. Myers Attorney-in-Fact
General Partner
Vanguard Venture Partners Curtis K. Myers
By: /s/ Curtis K. Myers By: /s/ Curtis K. Myers
-------------------------- --------------------------
Curtis K. Myers
General Partner
Clifford H. Higgerson
By: */s/ Curtis K. Myers
---------------------------
Attorney-in-Fact
This Agreement was executed pursuant to Powers of Attorney filed with the
Securities and Exchange Commission on February 12, 1996, in connection with a
Schedule 13G for Network Appliance, Inc., which Powers of Attorney are
incorporated herein by reference and copies of which are attached hereto as
Exhibit B.
Page 13 of 13 Pages
EXHIBIT B
POWER OF ATTORNEY
KNOW ALL MEN BY THESE PRESENTS, that each person whose signature
appears below hereby constitutes and appoints Clifford H. Higgerson, Jack M.
Gill and Curtis K. Myers 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 Bylaws 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
12th day of February, 1996.
/s/ Clifford H. Higgerson
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Clifford H. Higgerson
/s/ Jack M. Gill
-----------------------------
Jack M. Gill
/s/ Curtis K. Myers
-----------------------------
Curtis K. Myers
