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. 3 and Restatement)*
Vical, Inc.
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock
- --------------------------------------------------------------------------------
(Title of Class of Securities)
0009256021
- --------------------------------------------------------------------------------
(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 20 Pages
Exhibit Index Contained on Page 17
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CUSIP NO. 0009256021 13 G Page 2 of 20 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
U.S. Venture Partners III, A California Limited Partnership ("USVP III")
Tax ID Number: 94-3038926
- ----------- --------------------------------------------------------------------------------------------------------
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
- ----------------------------------- -------- -----------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 576,686 shares, except that BHMS
BENEFICIALLY Partners III, A California Limited
Partnership ("BHMS III"), the
OWNED BY EACH REPORTING general partner of USVP III, and
PERSON Bowes, Federman, Krausz, Vogel and
WITH Young, the general partners of BHMS
III, may be deemed to have shared
voting power with respect to such
shares.
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
576,686 shares, except that BHMS
III, the general partner of USVP
III, and Bowes, Federman, Krausz,
Vogel and Young, the general
partners of BHMS III, may be deemed
to have shared dispositive power
with respect to such shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 576,686
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.75%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- ----------- --------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0009256021 13 G Page 3 of 20 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Second Ventures Limited Partnership ("SVLP")
Tax ID Number: 94-3060758
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
- ----------------------------------- -------- -----------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 18,022 shares, except that BHMS
BENEFICIALLY III, the general partner of SVLP,
OWNED BY EACH REPORTING and Bowes, Federman, Krausz, Vogel
PERSON and Young, the general partners of
WITH BHMS III, may be deemed to have
shared voting power with respect to
such shares.
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
18,022 shares, except that BHMS
III, the general partner of SVLP,
and Bowes, Federman, Krausz, Vogel
and Young, the general partners of
BHMS III, may be deemed to have
shared dispositive power with
respect to such shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ----------- --------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 18,022
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.12%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- ----------- --------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0009256021 13 G Page 4 of 20 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
USV Entrepreneur Partners, A California Limited Partnership ("USVEP")
Tax ID Number: 94-3050240
- ----------- --------------------------------------------------------------------------------------------------------
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
- ----------------------------------- -------- -----------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 6,008 shares, except BHMS III, the
BENEFICIALLY general partner of USVEP, and
OWNED BY EACH REPORTING Bowes, Federman, Krausz, Vogel and
PERSON Young, the general partners of BHMS
WITH III, may be deemed to have shared
voting power with respect to such
shares.
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
See response to row 5.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
6,008 shares, except that BHMS III,
the general partner of USVEP, and
Bowes, Federman, Krausz, Vogel and
Young, the general partners of BHMS
III, may be deemed to have shared
dispositive power with respect to
such shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
See response to row 7.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 6,008
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.04%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- ----------- --------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0009256021 13 G Page 5 of 20 Pages
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- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
BHMS Partners III, A California Limited Partnership ("BHMS III")
Tax ID Number: 94-3038927
- ----------- --------------------------------------------------------------------------------------------------------
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
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF SHARES 5 SOLE VOTING POWER
BENEFICIALLY 0 shares.
OWNED BY EACH REPORTING PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and 6,008 shares are
directly owned by USVEP. BHMS III
is the general partner of USVP III,
SVLP, and USVEP and may be deemed
to have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
600,716 shares, of which 576,686
Shares are directly owned by USVP
III, 18,022 Shares are directly
owned by SVLP, and 6,008 Shares are
directly owned by USVEP. BHMS III
is the general partner of USVP III,
SVLP, and USVEP and may be deemed
to have shared dispositive power
with respect to such shares.
- ----------- --------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 600,716
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.90%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
PN
- ----------- --------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0009256021 13 G Page 6 of 20 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
William K. Bowes, Jr. ("Bowes")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares.
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Bowes is a
general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Bowes is a
general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared dispositive power with
respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 600,716
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.90%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0009256021 13 G Page 7 of 20 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Irwin Federman ("Federman")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------------------------------- -------- -----------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Federman
is a general partner of BHMS III,
the general partner of USVP III,
SVLP, and USVEP, and may be deemed
to have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Federman
is a general partner of BHMS III,
the general partner of USVP III,
SVLP, and USVEP, and may be deemed
to have shared dispositive power
with respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 600,716
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.90%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0009256021 13 G Page 8 of 20 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Steven M. Krausz ("Krausz")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------- --------------------------------------------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares.
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Krausz is
a general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Krausz is
a general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared dispositive power with
respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 600,716
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.90%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0009256021 13 G Page 9 of 20 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Dale J. Vogel ("Vogel")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------------------------------- -------- -----------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 0 shares
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Vogel is a
general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0 shares
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Vogel is a
general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared dispositive power with
respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 600,716
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
3.90%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
- -------------------------------------------------------- ---------------------------------------
CUSIP NO. 0009256021 13 G Page 10 of 20 Pages
- -------------------------------------------------------- ---------------------------------------
- ----------- --------------------------------------------------------------------------------------------------------
1 NAME OF REPORTING PERSONS
SS OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Phillip M. Young ("Young")
Tax ID Number:
- ----------- --------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ] (b) [X]
- ----------- --------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ----------- --------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S. Citizen
- ----------------------------------- -------- -----------------------------------------------------------------------
NUMBER OF 5 SOLE VOTING POWER
SHARES 30,000 shares issuable upon the exercise of a stock option.
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON
WITH
-------- -----------------------------------------------------------------------
6 SHARED VOTING POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Young is a
general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared voting power with
respect to such shares.
-------- -----------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
30,000 shares issuable upon the
exercise of a stock option.
-------- -----------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
600,716 shares, of which 576,686
shares are directly owned by USVP
III, 18,022 shares are directly
owned by SVLP, and6,008 shares are
directly owned by USVEP. Young is a
general partner of BHMS III, the
general partner of USVP III, SVLP,
and USVEP, and may be deemed to
have shared dispositive power with
respect to such shares.
- ----------------------------------- -------- -----------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH
REPORTING PERSON 630,716
- ----------- --------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9)
EXCLUDES CERTAIN SHARES* [ ]
- ----------- --------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.09%
- ----------- --------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- ----------- --------------------------------------------------------------------------------------------------------
* SEE INSTRUCTIONS BEFORE FILLING OUT!
Page 11 of 20
This is an amendment and restatement to the Statement on
Schedule 13G (the "Original Statement") filed by U.S. Venture
Partners III, A California Limited Partnership ("USVP III"),
Second Ventures Limited Partnership ("SVLP"), USV Entrepreneur
Partners, A California Limited Partnership ("USVEP"), BHMS
Partners III, A California Limited Partnership ("BHMS III"),
William K. Bowes, Jr. ("Bowes"), Irwin Federman ("Federman"),
Steven M. Krausz ("Krausz"), Phil S. Schlein ("Schlein"), Dale
J. Vogel ("Vogel"), and Phillip M. Young ("Young")
(collectively referred to as the "Reporting Persons").
ITEM 1(a). NAME OF ISSUER:
Vical, Inc.
ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
9373 Towne Centre Drive, Suite 100
San Diego, CA 92121-3027
(619) 453-9900
ITEM 2(a). NAME OF PERSONS FILING:
This Statement is filed by U.S. Venture Partners III, A
California Limited Partnership ("USVP III"), Second Ventures
Limited Partnership ("SVLP"), USV Entrepreneur Partners, A
California Limited Partnership ("USVEP"), BHMS Partners III, A
California Limited Partnership ("BHMS III"), William K. Bowes,
Jr. ("Bowes"), Irwin Federman ("Federman"), Steven M. Krausz
("Krausz"), Dale J. Vogel ("Vogel"), and Phillip M. Young
("Young"). The foregoing entities and individuals are
collectively referred to as the "Reporting Persons.
BHMS III is the general partner of USVP III, SVLP and USVEP,
and may be deemed to have shared power to vote and shared
power to dispose of shares of the issuer directly owned by
USVP III, SVLP and USVEP. Bowes, Federman, Krausz, Vogel and
Young are general partners of BHMS III, and may be deemed to
have shared power to vote and shared power to dispose of the
shares of issuer directly owned by USVP III, SVLP and USVEP.
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:
U.S. Venture Partners
2180 Sand Hill Road, Suite 300
Menlo Park, CA 94025
Page 12 of 20
ITEM 2(c) CITIZENSHIP:
USVP III, USVEP and BHMS III are California Limited
Partnerships, SVLP is a Cayman Islands Limited Partnership and
Bowes, Federman, Krausz, Vogel and Young are United States
citizens.
ITEM 2(d). TITLE OF CLASS OF SECURITIES:
Common Stock
ITEM 2(e). CUSIP NUMBER:
CUSIP # 0009256021
ITEM 3. Not Applicable
Page 13 of 20
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 14 of 20
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:
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
ITEM 9. NOTICE OF DISSOLUTION OF GROUP:
Not applicable
ITEM 10. CERTIFICATION:
Not applicable
Page 15 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 11, 1997
U.S. Venture Partners III, /s/ Michael P. Maher
A California Limited Partnership -----------------------------------------
By BHMS III, A California Limited Partnership Signature
Its General Partner
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
Second Ventures Limited Partnership /s/ Michael P. Maher
By BHMS III, A California Limited Partnership -----------------------------------------
Its General Partner Signature
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
U.S.V. Entrepreneur Partners, /s/ Michael P. Maher
A California Limited Partnership -----------------------------------------
By BHMS III, A California Limited Partnership Signature
Its General Partner
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
BHMS Partners III, /s/ Michael P. Maher
A California Limited Partnership -----------------------------------------
Signature
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
William K. Bowes /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
Page 16 of 20
Irwin Federman /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
Steven M. Krausz /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
Dale J. Vogel /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
Phillip M. Young /s/ Michael P. Maher
-----------------------------------------
Michael P. Maher
Attorney-In-Fact
Page 17 of 20
EXHIBIT INDEX
Found on
Sequentially
Exhibit Numbered Page
- ------- -------------
Exhibit A: Agreement of Joint Filing 18
Exhibit B: Reference to Michael P. Maher as Attorney-in-Fact 20
Page 18 of 20
EXHIBIT A
AGREEMENT RELATING TO JOINT FILING
OF SCHEDULE 13G
The undersigned hereby agree that a single Schedule 13G (or
any amendment thereto) relating to the Common Stock of Vical, 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.
This Agreement and the filing of the Schedule 13G shall not be
construed to be an admission that any of the undersigned are members of a
"group" consisting of one or more of such persons pursuant to Section 13(g) of
the Securities Exchange Act of 1934, as amended, and the rules thereunder.
Date: February 10, 1995
U.S. Venture Partners III, /s/ Michael P. Maher
A California Limited Partnership ------------------------------------------
By BHMS Partners III, Signature
A California Limited Partnership
Its General Partner Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
Second Ventures Limited Partnership /s/ Michael P. Maher
By BHMS Partners III, ------------------------------------------
A California Limited Partnership Signature
Its General Partner
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
U.S.V. Entrepreneur Partners, /s/ Michael P. Maher
A California Limited Partnership ------------------------------------------
By BHMS Partners III, Signature
A California Limited Partnership
Its General Partner Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
BHMS Partners III, /s/ Michael P. Maher
A California Limited Partnership ------------------------------------------
Signature
Michael P. Maher
Chief Financial Officer/Attorney-In-Fact
Page 19 of 20 Pages
Phil S. Schlein /s/ Michael P. Maher
------------------------------------------
Michael P. Maher
Attorney-In-Fact
Phil M. Young /s/ Michael P. Maher
------------------------------------------
Michael P. Maher
Attorney-In-Fact
Irwin Federman /s/ Michael P. Maher
------------------------------------------
Michael P. Maher
Attorney-In-Fact
Dale J. Vogel /s/ Michael P. Maher
------------------------------------------
Michael P. Maher
Attorney-In-Fact
William K. Bowes /s/ Michael P. Maher
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Michael P. Maher
Attorney-In-Fact
Steven M. Krausz /s/ Michael P. Maher
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Michael P. Maher
Attorney-In-Fact
Page 20 of 20 Pages
EXHIBIT B
REFERENCE TO MICHAEL MAHER AS ATTORNEY-IN-FACT
Michael P. Maher has signed the enclosed documents as
Attorney-In-Fact. Note that copies of the applicable Power of Attorneys are
already on file with the appropriate agencies.