| Prospectus Supplement No. 2 (To Prospectus dated April 15, 2003) |
Filed Pursuant to Rule 424(b)(3) and (c) SEC File No. 333-104119 |
27,281,687 Shares
Common Stock
This is a supplement to the prospectus, dated April 15, 2003 forming a part of the Registration Statement on Form S-3 (Registration No. 333-104119) filed by Aradigm Corporation relating to the offering and sale by selling stockholders of Aradigm (or by donees, pledgees, transferees and other successors in interest that receive such shares as a gift, pledge, partnership distribution or other non-sale transfer) of up to 27,281,687 shares of our common stock, which includes 4,016,124 shares of common stock issuable to the selling stockholders upon the exercise of warrants to purchase common stock. This prospectus supplement should be read in conjunction with the prospectus, and this prospectus supplement is qualified by reference to the prospectus, except to the extent that the information provided by this prospectus supplement supersedes the information contained in the prospectus.
The purpose of this prospectus supplement is to supplement the information set forth in the Prospectus regarding the selling security holders and to replace the selling security holder table set forth in the Prospectus Supplement No. 1 filed with the Securities and Exchange Commission on June 9, 2003. The table below includes (1) a correction to the footnote set forth in the prospectus for Penn Footwear Co., (2) the change in the holdings for New Enterprise Associates 10, Limited Partnership to reflect the distribution of an aggregate of 4,000,000 additional shares of our common stock to its partners and (3) for the selling security holders who received shares from New Enterprise Associates in this distribution:
| • | their name | ||
| • | the shares of common stock beneficially owned as of June 17, 2003 | ||
| • | the shares of our common stock offered under the Prospectus | ||
| • | the shares of our common stock owned after the offering |
All of the information regarding beneficial ownership was furnished to us by or on behalf of the selling security holders. Beneficial ownership of the common stock listed in the table has been determined in accordance with the applicable rules and regulations under the Exchange Act of 1934.
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
Penn Footwear Co. (3) |
930,378 | 1.6 | % | 930,378 | — | -- | ||||||||||||||
New Enterprise Associates 10, Limited
Partnership (4) |
9,080,373 | 14.7 | 2,198,605 | 6,881,768 | 11.2 | % | ||||||||||||||
NEA Partners 10, Limited Partnership |
70,027 | * | 70,027 | — | — | |||||||||||||||
California State Teachers Retirement System |
344,393 | * | 344,393 | — | — | |||||||||||||||
Washington State Investment Board |
331,478 | * | 331,478 | — | — | |||||||||||||||
BSNEA I, L.L.C |
301,343 | * | 301,343 | — | — | |||||||||||||||
California Emerging Ventures II, LLC |
226,007 | * | 226,007 | — | — | |||||||||||||||
Procific |
150,672 | * | 150,672 | — | — | |||||||||||||||
Commonwealth of Pennsylvania State Employees’ Retirement
System |
105,471 | * | 105,471 | — | — | |||||||||||||||
J.P. Morgan Pooled Venture Capital Institutional Investors II
LLP |
105,408 | * | 105,408 | — | — | |||||||||||||||
Boston Safe Deposit and Trust, not individually but solely in
its capacity as trustee of the Lucent Technologies Inc.
Master Pension Trust |
103,318 | * | 103,318 | — | — | |||||||||||||||
HarbourVest Partners VI-Partnership Fund L.P. |
95,569 | * | 95,569 | — | — | |||||||||||||||
The Chase Manhattan Bank, as Trustee for First Plaza Group
Trust |
86,098 | * | 86,098 | — | — | |||||||||||||||
Top Tier Investments, LLC |
86,098 | * | 86,098 | — | — | |||||||||||||||
Deutsche Banc Alex Brown Venture Investors Portfolio, LLC |
75,336 | * | 75,336 | — | — | |||||||||||||||
Danske Private Equity Partners K/S by Danske Private Equity
A/S, its general partner |
68,879 | * | 68,879 | — | — | |||||||||||||||
Crossroads Constitution Limited Partnership |
60,269 | * | 60,269 | — | — | |||||||||||||||
Mellon Bank, N.A., as Trustee for the Bell Atlantic Master
Trust |
60,268 | * | 60,268 | — | — | |||||||||||||||
CDB Web Tech International LP |
60,268 | * | 60,268 | — | — | |||||||||||||||
Asset Management Private Equity, L.P. |
60,268 | * | 60,268 | — | — | |||||||||||||||
The Norinchukin Bank |
60,268 | * | 60,268 | — | — | |||||||||||||||
State Teachers Retirement System of Ohio |
60,268 | * | 60,268 | — | — | |||||||||||||||
Salomon Smith Barney Venture Opportunities Fund III, L.P. |
60,268 | * | 60,268 | — | — | |||||||||||||||
Pension Reserves Investment Management Board |
51,659 | * | 51,659 | — | — | |||||||||||||||
Virginia Retirement System |
51,659 | * | 51,659 | — | — | |||||||||||||||
Citigroup Employee Fund of Funds I, L.P. |
45,290 | * | 45,290 | — | — | |||||||||||||||
Partners Group Private Equity Performance Holding Limited |
45,201 | * | 45,201 | — | — | |||||||||||||||
Private Equity Technology Partners III, C.V. |
45,201 | * | 45,201 | — | — | |||||||||||||||
Saratoga Investments, LP |
45,201 | * | 45,201 | — | — | |||||||||||||||
University Technology Ventures, L.P. |
45,201 | * | 45,201 | — | — | |||||||||||||||
Old Westbury Venture Capital Fund II, LLC |
39,349 | * | 39,349 | — | — | |||||||||||||||
Fort Washington Private Equity Investors III, L.P. |
34,439 | * | 34,439 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
Barr Foundation |
34,439 | * | 34,439 | — | — | |||||||||||||||
Mellon Bank, N.A., solely in its capacity as Trustee for the
Bayer Corporation Master Trust, (as directed by Bayer
Corporation), and not in its individual capacity |
34,439 | * | 34,439 | — | — | |||||||||||||||
Northwestern University |
34,439 | * | 34,439 | — | — | |||||||||||||||
Wilshire U.S. Private Markets Fund IV, L.P. (A) |
34,439 | * | 34,439 | — | — | |||||||||||||||
Pine Street I Holdings LLC |
31,325 | * | 31,325 | — | — | |||||||||||||||
DLJ Private Equity Partners Fund II, L.P. |
31,124 | * | 31,124 | — | — | |||||||||||||||
The New Mexico State Investment Council Land Grant Permanent
Fund |
30,285 | * | 30,285 | — | — | |||||||||||||||
BSNEA II, L.L.C |
30,135 | * | 30,135 | — | — | |||||||||||||||
BSNEA IV, L.L.C |
30,135 | * | 30,135 | — | — | |||||||||||||||
Catherine M. Conover |
30,135 | * | 30,135 | — | — | |||||||||||||||
Castle Private Equity (International) plc |
30,135 | * | 30,135 | — | — | |||||||||||||||
Bankers Trust as a Trustee for an Undisclosed Limited Partner |
30,135 | * | 30,135 | — | — | |||||||||||||||
Robert and Ruth Halperin Foundation |
30,135 | * | 30,135 | — | — | |||||||||||||||
Lansforsakringar Liv Forsakringsaktiebolag (publ) |
30,135 | * | 30,135 | — | — | |||||||||||||||
LGT Capital Invest Limited |
30,135 | * | 30,135 | — | — | |||||||||||||||
Pearl Holding Limited |
30,135 | * | 30,135 | — | — | |||||||||||||||
Private Equity Investor PLC |
30,135 | * | 30,135 | — | — | |||||||||||||||
Private Equity Portfolio Fund III, LLC |
30,135 | * | 30,135 | — | — | |||||||||||||||
U.A. Local 467 Pension Trust Fund |
30,135 | * | 30,135 | — | — | |||||||||||||||
BancBoston Investments Inc. |
26,518 | * | 26,518 | — | — | |||||||||||||||
J.P. Morgan Pooled Venture Capital Private Investors II LLC |
26,467 | * | 26,467 | — | — | |||||||||||||||
DAF Global, LLC |
26,135 | * | 26,135 | — | — | |||||||||||||||
Fairview Ventures Fund I, L.P. |
25,829 | * | 25,829 | — | — | |||||||||||||||
Meyer Memorial Trust |
24,108 | * | 24,108 | — | — | |||||||||||||||
BSC Venture Fund LLC |
20,919 | * | 20,919 | — | — | |||||||||||||||
Abbott Capital Private Equity Fund III, L.P., by Abbott
Capital Management, LLC, its Investment Manager |
20,664 | * | 20,664 | — | — | |||||||||||||||
Commonfund Capital Venture Partners VI, L.P. |
20,664 | * | 20,664 | — | — | |||||||||||||||
Thomas Weisel Global Growth Partners (B), L.P. |
19,549 | * | 19,549 | — | — | |||||||||||||||
Pomona Partnership Holdings III Portfolio, LP |
17,683 | * | 17,683 | — | — | |||||||||||||||
Alaska State Pension Investment Board by Abbott Capital
Management, LLC, its Investment Manager |
17,220 | * | 17,220 | — | — | |||||||||||||||
Tucker Anthony Private Equity Fund IV L.P. |
17,220 | * | 17,220 | — | — | |||||||||||||||
Cornell University |
17,220 | * | 17,220 | — | — | |||||||||||||||
Credit Suisse First Boston Guernsey Branch |
17,220 | * | 17,220 | — | — | |||||||||||||||
Alfred I. DuPont Trust |
17,220 | * | 17,220 | — | — | |||||||||||||||
The Ford Foundation |
17,220 | * | 17,220 | — | — | |||||||||||||||
Iowa Public Employees’ Retirement System |
17,220 | * | 17,220 | — | — | |||||||||||||||
The Mohawk River Fund II L.P. |
17,220 | * | 17,220 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
Montagu Newhall Global Equity Partners LP |
17,220 | * | 17,220 | — | — | |||||||||||||||
Pensioenfonds Metaal en Techniek |
17,220 | * | 17,220 | — | — | |||||||||||||||
Kleinwort Benson (Channel Islands) Limited as Custodian for
Preferential II Limited |
17,220 | * | 17,220 | — | — | |||||||||||||||
Barings (Ireland) Limited as Custodian for Schroder Private
Equity Funds plc |
17,220 | * | 17,220 | — | — | |||||||||||||||
SVB Strategic Investors Fund, L.P. |
17,220 | * | 17,220 | — | — | |||||||||||||||
U.S. Bancorp Piper Jaffray Private Equity Partners I, L.P. |
17,220 | * | 17,220 | — | — | |||||||||||||||
Utah Retirement Systems, by Abbott Capital Management, LLC,
its Investment Manager |
17,220 | * | 17,220 | — | — | |||||||||||||||
The Rector & Visitors of the University of Virginia (A) |
17,220 | * | 17,220 | — | — | |||||||||||||||
BSNEA III, L.L.C |
19,067 | * | 15,067 | 4,000 | * | |||||||||||||||
Georgia Tech Foundation, Inc. |
15,067 | * | 15,067 | — | — | |||||||||||||||
Rockefeller Brothers Fund, Inc. |
15,067 | * | 15,067 | — | — | |||||||||||||||
Rockefeller Foundation |
15,067 | * | 15,067 | — | — | |||||||||||||||
Southwestern Medical Foundation |
15,067 | * | 15,067 | — | — | |||||||||||||||
3Com Ventures, Inc. |
15,067 | * | 15,067 | — | — | |||||||||||||||
Citigroup Pension Plan |
15,067 | * | 15,067 | — | — | |||||||||||||||
Crown Premium Private Equity Technology Ventures SICAV |
15,067 | * | 15,067 | — | — | |||||||||||||||
W.K. Kellogg Foundation Trust |
15,067 | * | 15,067 | — | — | |||||||||||||||
John S. and James L. Knight Foundation |
15,067 | * | 15,067 | — | — | |||||||||||||||
Boston Safe Deposit and Trust Company, solely in its capacity
as Trustee of The Kroger Co. Master Retirement Trust, (as
directed by The Kroger Co.), and not in its individual
capacity |
15,067 | * | 15,067 | — | — | |||||||||||||||
MSD Portfolio LP — Investments |
15,067 | * | 15,067 | — | — | |||||||||||||||
myCFO Investment Partners I, L.P. |
15,067 | * | 15,067 | — | — | |||||||||||||||
Nider Investments, LLC |
15,067 | * | 15,067 | — | — | |||||||||||||||
Oberlin College |
15,067 | * | 15,067 | — | — | |||||||||||||||
QP Investments LLC |
15,067 | * | 15,067 | — | — | |||||||||||||||
RMF Private Equity Fund 2001, L.P. |
15,067 | * | 15,067 | — | — | |||||||||||||||
Professor Richard Sapper |
15,067 | * | 15,067 | — | — | |||||||||||||||
Vega Invest (Guernsey), Limited |
15,067 | * | 15,067 | — | — | |||||||||||||||
Citigroup Employee Fund of Funds (Master Fund) I, L.P. |
14,980 | * | 14,980 | — | — | |||||||||||||||
The New Mexico State Investment Council Severance Tax
Permanent Fund |
14,919 | * | 14,919 | — | — | |||||||||||||||
Employees’ Retirement System of the State of Hawaii, by
Abbott Capital Management, LLC, its Investment Manager |
13,776 | * | 13,776 | — | — | |||||||||||||||
Ewing Marion Kauffman Foundation |
13,776 | * | 13,776 | — | — | |||||||||||||||
Nortel Networks, Inc. |
13,776 | * | 13,776 | — | — | |||||||||||||||
AC Private Equity Corp. |
13,561 | * | 13,561 | — | — | |||||||||||||||
Northern Trust Company, Trustee Bristol-Myers Squibb Master
Trust |
13,067 | * | 13,067 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
UBS Global Asset Management Trust Company as Trustee of The
Brinson Partnership Fund Trust - 2001 Primary Fund |
12,963 | * | 12,963 | — | — | |||||||||||||||
Alcyon Ltd. |
12,915 | * | 12,915 | — | — | |||||||||||||||
Johns Hopkins University |
12,054 | * | 12,054 | — | — | |||||||||||||||
2000 Champion Ventures (Q), LP |
11,021 | * | 11,021 | — | — | |||||||||||||||
The Travelers Indemnity Company |
10,045 | * | 10,045 | — | — | |||||||||||||||
Adams Street Partnership Fund - 2002 U.S. Fund |
9,723 | * | 9,723 | — | — | |||||||||||||||
Pratt Street Ventures XIII, LLC |
9,040 | * | 9,040 | — | — | |||||||||||||||
Frank Russell Global Private Equity Fund of Funds, L.P. |
8,610 | * | 8,610 | — | — | |||||||||||||||
The Bunting Family II, LLC |
8,610 | * | 8,610 | — | — | |||||||||||||||
California Institute of Technology |
8,610 | * | 8,610 | — | — | |||||||||||||||
Carnegie Mellon University |
8,610 | * | 8,610 | — | — | |||||||||||||||
Trustees of the Cheyne Walk Trust |
8,610 | * | 8,610 | — | — | |||||||||||||||
Community Foundation Silicon Valley |
8,610 | * | 8,610 | — | — | |||||||||||||||
Glenmede Private Equity Fund II LLC |
8,610 | * | 8,610 | — | — | |||||||||||||||
G. Grandchildren 1986 Trust George P. Levendis, Trustee |
8,610 | * | 8,610 | — | — | |||||||||||||||
Northern Trust Company as Trustee for the Illinois Municipal
Retirement Fund, by Abbott Capital Management, LLC, its
Investment Manager |
8,610 | * | 8,610 | — | — | |||||||||||||||
The James Irvine Foundation |
8,610 | * | 8,610 | — | — | |||||||||||||||
Board of Fire & Police Pensions Commissioners of the City of
Los Angeles, by Abbott Capital Management, LLC, as Investment
Manager |
8,610 | * | 8,610 | — | — | |||||||||||||||
Munder NetNet Fund, a series of The Munder Funds, Inc. |
8,610 | * | 8,610 | — | — | |||||||||||||||
Novell, Inc. |
8,610 | * | 8,610 | — | — | |||||||||||||||
Pension Private Equity K/S II |
8,610 | * | 8,610 | — | — | |||||||||||||||
University of Pittsburgh — of the Commonwealth System of
Higher Education |
8,610 | * | 8,610 | — | — | |||||||||||||||
The Northern Trust Company as Trustee of the Vulcan Materials
Company Master Pension Trust |
8,610 | * | 8,610 | — | — | |||||||||||||||
University of Washington |
8,610 | * | 8,610 | — | — | |||||||||||||||
Capita Trust Company Limited as Trustee of Westport US
Private Equity Fund II |
8,610 | * | 8,610 | — | — | |||||||||||||||
The President and Trustees of Williams College |
8,610 | * | 8,610 | — | — | |||||||||||||||
Wilshire Australia Private Markets Fund |
8,610 | * | 8,610 | — | — | |||||||||||||||
Wilshire IAM Fund, L.P. |
8,610 | * | 8,610 | — | — | |||||||||||||||
Commerce & Industry Company |
7,850 | * | 7,850 | — | — | |||||||||||||||
HarbourVest Partners VI-Parallel Partnership Fund L.P. |
7,749 | * | 7,749 | — | — | |||||||||||||||
EFG Trust II, Edward M. Glassmeyer, Trustee |
7,534 | * | 7,534 | — | — | |||||||||||||||
Emont Ltd. |
7,534 | * | 7,534 | — | — | |||||||||||||||
522 Fifth Avenue Fund, L.P. |
7,517 | * | 7,517 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
UBS Global Asset Management Trust Company as Trustee of The
Brinson Partnership Fund Trust - 2002 Secondary Fund |
6,956 | * | 6,956 | — | — | |||||||||||||||
Trustees of Amherst College |
6,888 | * | 6,888 | — | — | |||||||||||||||
Trustees of Boston University |
6,888 | * | 6,888 | — | — | |||||||||||||||
Kleinwort Benson (Channel Islands) Limited as Custodian for
MC Partners Limited |
6,888 | * | 6,888 | — | — | |||||||||||||||
Frank Russell Capital/OMERS, L.P. |
6,888 | * | 6,888 | — | — | |||||||||||||||
Private Equity Access Fund II, LLC |
6,780 | * | 6,780 | — | — | |||||||||||||||
David A. Stamm |
6,780 | * | 6,780 | — | — | |||||||||||||||
Bayview (NEA10), L.P. |
6,629 | * | 6,629 | — | — | |||||||||||||||
Thomas Weisel Global Growth Partners (A), L.P. |
6,280 | * | 6,280 | — | — | |||||||||||||||
Katherine S. Ingalls |
6,027 | * | 6,027 | — | — | |||||||||||||||
James T. McManus |
6,027 | * | 6,027 | — | — | |||||||||||||||
O-S Ventures |
6,027 | * | 6,027 | — | — | |||||||||||||||
Theresa W. and Robert J. Ryan, Joint Tenants |
6,027 | * | 6,027 | — | — | |||||||||||||||
Bayview 2000, L.P. |
6,027 | * | 6,027 | — | — | |||||||||||||||
Joshua S. Boger |
6,027 | * | 6,027 | — | — | |||||||||||||||
Edward M. Cluss, Jr. and Patricia A. Cluss |
6,027 | * | 6,027 | — | — | |||||||||||||||
FEA II, L.P. |
6,027 | * | 6,027 | — | — | |||||||||||||||
Fox Family Portfolio Partnership |
6,027 | * | 6,027 | — | — | |||||||||||||||
Legacy I, LLC |
6,027 | * | 6,027 | — | — | |||||||||||||||
The Queen’s Health Systems |
6,027 | * | 6,027 | — | — | |||||||||||||||
Saal Family Partners, L.P. |
6,027 | * | 6,027 | — | — | |||||||||||||||
Pradeep S. Sindhu |
6,027 | * | 6,027 | — | — | |||||||||||||||
Board of Trustees of the Leland Stanford Junior University |
6,027 | * | 6,027 | — | — | |||||||||||||||
Zisman Equities Group, L.P. |
6,027 | * | 6,027 | — | — | |||||||||||||||
Brinson Partnership Fund Program Entity A |
5,875 | * | 5,875 | — | — | |||||||||||||||
Standish Ventures V LLC |
5,756 | * | 5,756 | — | — | |||||||||||||||
Morris Ventures |
5,726 | * | 5,726 | — | — | |||||||||||||||
B&S 2002-C GmbH |
5,682 | * | 5,682 | — | — | |||||||||||||||
Lauer & Co. Agent for: Pew Memorial Trust |
5,682 | * | 5,682 | — | — | |||||||||||||||
Brinson Partnership Fund - 2001 Primary Fund, L.P. |
5,393 | * | 5,393 | — | — | |||||||||||||||
Alps Investment LLC |
5,166 | * | 5,166 | — | — | |||||||||||||||
Paul or Evelyn Baran, as trustee of the PAUL AND EVELYN BARAN
AGRMT of 23 May 1984 |
5,166 | * | 5,166 | — | — | |||||||||||||||
Calconn Private Equities II, LLC |
5,166 | * | 5,166 | — | — | |||||||||||||||
Munder Future Technology Fund, a series of The Munder Funds,
Inc. |
5,166 | * | 5,166 | — | — | |||||||||||||||
PEI Capital Partners, L.P. II |
5,166 | * | 5,166 | — | — | |||||||||||||||
Pension Plan of Piper Marbury Rudnick & Wolfe LLP |
5,166 | * | 5,166 | — | — | |||||||||||||||
Rensselaer Polytechnic Institute |
5,166 | * | 5,166 | — | — | |||||||||||||||
The Rose Hills Foundation |
5,166 | * | 5,166 | — | — | |||||||||||||||
Stuart Foundation |
5,166 | * | 5,166 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
Walton Investment IV, LLC |
5,166 | * | 5,166 | — | — | |||||||||||||||
The Travelers Insurance Company |
5,022 | * | 5,022 | — | — | |||||||||||||||
KFLP-II Limited Partnership |
4,821 | * | 4,821 | — | — | |||||||||||||||
ING Pomona Private Equity Fund |
4,773 | * | 4,773 | — | — | |||||||||||||||
Woodbrook MB LP |
4,735 | * | 4,735 | — | — | |||||||||||||||
Hobart Family Limited #7 |
4,520 | * | 4,520 | — | — | |||||||||||||||
EDS Retirement Plan Trust |
4,518 | * | 4,518 | — | — | |||||||||||||||
PEI Capital Partners, L.P. |
4,305 | * | 4,305 | — | — | |||||||||||||||
The 2001 Primary Brinson Partnership Fund Offshore Series
Company Ltd. |
4,116 | * | 4,116 | — | — | |||||||||||||||
Picotte Venture Capital Fund I, LLC |
3,616 | * | 3,616 | — | — | |||||||||||||||
Private Equity Portfolio Technology Fund, LLC |
3,616 | * | 3,616 | — | — | |||||||||||||||
State Universities Retirement System |
7,344 | * | 3,444 | 3,900 | * | |||||||||||||||
Iceship & Co. by State Street Bank & Trust Co. as Trustee for
the Brown & Williamson Tobacco Master Retirement Plan |
3,444 | * | 3,444 | — | — | |||||||||||||||
Caravan Trust |
3,444 | * | 3,444 | — | — | |||||||||||||||
Comerica Capital Advisors Incorporated |
3,444 | * | 3,444 | — | — | |||||||||||||||
Siguler Guff Advisors, L.L.C. on behalf of a client |
3,444 | * | 3,444 | — | — | |||||||||||||||
Munder @ Vantage Fund |
3,444 | * | 3,444 | — | — | |||||||||||||||
Timothy J. Rink |
3,444 | * | 3,444 | — | — | |||||||||||||||
Stewardship Foundation |
3,444 | * | 3,444 | — | — | |||||||||||||||
Venture Capital Private Equity Fund |
3,444 | * | 3,444 | — | — | |||||||||||||||
Thomas Weisel Strategic Opportunities Partners, L.P. |
3,444 | * | 3,444 | — | — | |||||||||||||||
Pomona Partnership Holdings III, LP |
3,373 | * | 3,373 | — | — | |||||||||||||||
Cornish & Carey Commercial Venture Fund, LLC |
3,013 | * | 3,013 | — | — | |||||||||||||||
Jennifer Bergantino |
3,013 | * | 3,013 | — | — | |||||||||||||||
Dahl Family Trust dated 10/31/89 as amended 5/3/90, Robert K
Dahl, trustee |
3,013 | * | 3,013 | — | — | |||||||||||||||
Giancarlo Family Trust U/D/T 11/2/98, Charles Giancarlo,
Trustee |
3,013 | * | 3,013 | — | — | |||||||||||||||
Malcolm Hecht, Jr. Revocable Trust B |
3,013 | * | 3,013 | — | — | |||||||||||||||
Hemant Kanakia |
3,013 | * | 3,013 | — | — | |||||||||||||||
Hemant Kanakia, GRAT |
3,013 | * | 3,013 | — | — | |||||||||||||||
Mario M. Morino Trust |
3,013 | * | 3,013 | — | — | |||||||||||||||
Family Neukermans Trust U/A DTD 01/21/93 Armand Neukermans &
Eliane Neukermans, Trustees |
3,013 | * | 3,013 | — | — | |||||||||||||||
James D. Norrod |
3,013 | * | 3,013 | — | — | |||||||||||||||
The Pivotal Trust dated 7/20/2000 |
3,013 | * | 3,013 | — | — | |||||||||||||||
A. Brooke Seawell |
3,013 | * | 3,013 | — | — | |||||||||||||||
D.R. Stephens Separate Property Trust UAD May 1, 1983 D.R
Stephens, Trustee |
3,013 | * | 3,013 | — | — | |||||||||||||||
Jeannette Symons Living Trust |
3,013 | * | 3,013 | — | — | |||||||||||||||
Richard L. Thompson |
3,013 | * | 3,013 | — | — | |||||||||||||||
Phil White |
3,013 | * | 3,013 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
John M. McQuillan IRA Rollover |
3,013 | * | 3,013 | — | — | |||||||||||||||
Joseph W. Alsop |
3,013 | * | 3,013 | — | — | |||||||||||||||
Morteza Ejabat Trust |
3,013 | * | 3,013 | — | — | |||||||||||||||
Robert A. Ellis Revocable Trust |
3,013 | * | 3,013 | — | — | |||||||||||||||
Michael J. Homer, Trust |
3,013 | * | 3,013 | — | — | |||||||||||||||
K&M Family Partners Ltd. |
3,013 | * | 3,013 | — | — | |||||||||||||||
Leslie Investments, LLC |
3,013 | * | 3,013 | — | — | |||||||||||||||
Jonathan MacQuitty |
3,013 | * | 3,013 | — | — | |||||||||||||||
The Poizner Family Trust dated 3/3/98, Stephen L. Poizner,
Trustee |
3,013 | * | 3,013 | — | — | |||||||||||||||
Saal Family Foundation |
3,013 | * | 3,013 | — | — | |||||||||||||||
Thomas H. Scholl |
3,013 | * | 3,013 | — | — | |||||||||||||||
Tomasetta Family Partnership, L.P. |
3,013 | * | 3,013 | — | — | |||||||||||||||
2000 Champion Ventures, LP |
2,755 | * | 2,755 | — | — | |||||||||||||||
Brinson Partnership Fund - 2002 Secondary Fund, L.P. |
2,672 | * | 2,672 | — | — | |||||||||||||||
Orange County Employees Retirement System |
2,583 | * | 2,583 | — | — | |||||||||||||||
The 2002 Secondary Brinson Partnership Fund Offshore Series
Company Ltd. |
2,260 | * | 2,260 | — | — | |||||||||||||||
Northern Trust Bank as Trustee for W. Clement Stone
Children’s Trust Norman C. Stone Trust Share |
2,260 | * | 2,260 | — | — | |||||||||||||||
Avondale LLC |
2,260 | * | 2,260 | — | — | |||||||||||||||
Whitemarsh Associates |
2,260 | * | 2,260 | — | — | |||||||||||||||
DLJ Multi-Manager Private Equity Fund, L.P. |
2,135 | * | 2,135 | — | — | |||||||||||||||
Erik T. Engelson, Trustee of the Erik T. Engelson Trust UDT,
dated March 29, 2000 |
1,958 | * | 1,958 | — | — | |||||||||||||||
ABB Anlagestiftung — Private Equity World 1 |
1,722 | * | 1,722 | — | — | |||||||||||||||
BDB Family L.P. |
1,722 | * | 1,722 | — | — | |||||||||||||||
BNA Associates, L.P. |
1,722 | * | 1,722 | — | — | |||||||||||||||
Mary Morse Cargill Revocable Trust |
1,722 | * | 1,722 | — | — | |||||||||||||||
Chestnut Investor, LLC |
1,722 | * | 1,722 | — | — | |||||||||||||||
Entrepreneurs Endowment Fund LLC |
1,722 | * | 1,722 | — | — | |||||||||||||||
Glynn Investment Co. LLC |
1,722 | * | 1,722 | — | — | |||||||||||||||
KKP Holdings LLC |
1,722 | * | 1,722 | — | — | |||||||||||||||
Meresman Investments LLC |
1,722 | * | 1,722 | — | — | |||||||||||||||
Living Trust of Stephens F. Millard 9/16/91 |
1,722 | * | 1,722 | — | — | |||||||||||||||
Morgan Venture Fund LLC |
1,722 | * | 1,722 | — | — | |||||||||||||||
Quattrone Family Trust UTA DTD 9/4/91 |
1,722 | * | 1,722 | — | — | |||||||||||||||
Kanwal S. Rekhi and Ann H Rekhi as Trustees of the Rekhi
Family Trust DTD 12/15/89 |
1,722 | * | 1,722 | — | — | |||||||||||||||
Trustees of the Ronald Family Trust B |
1,722 | * | 1,722 | — | — | |||||||||||||||
The Rector & Visitors of the University of Virginia (B) |
1,722 | * | 1,722 | — | — | |||||||||||||||
Boston & Co. A/C# WERF 1963002 |
1,722 | * | 1,722 | — | — | |||||||||||||||
Francis H. Zenie |
1,722 | * | 1,722 | — | — | |||||||||||||||
Bayshore Boulevard Associates, LLC |
1,507 | * | 1,507 | — | — | |||||||||||||||
Boutros Family Trust UAD 5/23/00 |
1,507 | * | 1,507 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
William J.B. Brady III |
1,507 | * | 1,507 | — | — | |||||||||||||||
Arthur & Barbara Friedman Revocable Trust |
1,507 | * | 1,507 | — | — | |||||||||||||||
Marion H. MacMillan Family Trust |
1,507 | * | 1,507 | — | — | |||||||||||||||
Metcalfe Family Trust, John Metcalfe and Valerie Metcalfe,
Trustees |
1,507 | * | 1,507 | — | — | |||||||||||||||
1996 Stradford-Wunderlich Rev. Trust |
1,507 | * | 1,507 | — | — | |||||||||||||||
The Alexander Living Trust |
1,507 | * | 1,507 | — | — | |||||||||||||||
Kim B. Edwards |
1,507 | * | 1,507 | — | — | |||||||||||||||
Francine Gani 2002 Living Trust |
1,507 | * | 1,507 | — | — | |||||||||||||||
Marcel Gani 2002 Living Trust |
1,507 | * | 1,507 | — | — | |||||||||||||||
Daniel L. Harple, Jr. |
1,507 | * | 1,507 | — | — | |||||||||||||||
The JGA Trust under agreement dtd 9/18/00, Joseph Ansanelli,
Trustee |
1,507 | * | 1,507 | — | — | |||||||||||||||
Mahendra Kaul |
1,507 | * | 1,507 | — | — | |||||||||||||||
Bernard M. Kramer, M.D., Inc. Profit Sharing Plan |
1,507 | * | 1,507 | — | — | |||||||||||||||
Milagro de Ladera, L.P. |
1,507 | * | 1,507 | — | — | |||||||||||||||
Sara Ostrofsky |
1,507 | * | 1,507 | — | — | |||||||||||||||
Ronald S. Posner |
1,507 | * | 1,507 | — | — | |||||||||||||||
The Ramsay Family Trust DTD 10/17/94 |
1,507 | * | 1,507 | — | — | |||||||||||||||
N & A Raza Revocable Trust UAD 03-22-97 |
1,507 | * | 1,507 | — | — | |||||||||||||||
Stone Family Trust — Share B |
1,507 | * | 1,507 | — | — | |||||||||||||||
Robert P. Taylor and Anne D. Kaiser |
1,507 | * | 1,507 | — | — | |||||||||||||||
Ronald J. Vidal |
1,507 | * | 1,507 | — | — | |||||||||||||||
Yock Family Revocable Trust Dated 7/21/93 as the Separate
Property of Paul G. Yock |
1,507 | * | 1,507 | — | — | |||||||||||||||
Thiry-O’Leary Living Trust Dated March 8, 1990 |
1,378 | * | 1,378 | — | — | |||||||||||||||
Emerson Street Ventures, a California Limited Partnership |
1,291 | * | 1,291 | — | — | |||||||||||||||
Michael E. Herman Revocable Trust |
1,291 | * | 1,291 | — | — | |||||||||||||||
Frank M. Fischer |
1,206 | * | 1,206 | — | — | |||||||||||||||
Paul C. Nehra, MD |
1,206 | * | 1,206 | — | — | |||||||||||||||
Lauer & Co. Agent for: J.H. Pew Freedom Trust |
1,205 | * | 1,205 | — | — | |||||||||||||||
DLJ PEP II Employee Fund, L.P. |
1,180 | * | 1,180 | — | — | |||||||||||||||
Buuck Family Limited Partnership by Wells Fargo Bank MN N.A
as custodian for Robert E Buuck, General Partner |
1,119 | * | 1,119 | — | — | |||||||||||||||
Richard M. Berkeley |
1,055 | * | 1,055 | — | — | |||||||||||||||
R. David Dicioccio, Jr. |
1,055 | * | 1,055 | — | — | |||||||||||||||
Malcolm Hecht, Jr. Revocable Trust A |
904 | * | 904 | — | — | |||||||||||||||
Robert W. Frick |
904 | * | 904 | — | — | |||||||||||||||
George Trust dated 7/27/00 |
904 | * | 904 | — | — | |||||||||||||||
Pivan Nigam and Ruma Nigam, Co-Trustees of the Nigam Living
Trust u/t/a dated September 16, 1999 |
904 | * | 904 | — | — | |||||||||||||||
Robert K. Anderson |
861 | * | 861 | — | — | |||||||||||||||
Rod A. Beckstrom Trust U/D/T 11/21/95 |
861 | * | 861 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
Gary Bowen |
861 | * | 861 | — | — | |||||||||||||||
BPE Institutional Partners G.m.b.H |
861 | * | 861 | — | — | |||||||||||||||
Gregory 1993 Investment Trust U/A DTD 7/21/93, David J
Gregory, Trustee |
861 | * | 861 | — | — | |||||||||||||||
Hillcrest Capital Investors LLC |
861 | * | 861 | — | — | |||||||||||||||
Komisar/Dunn Family Trust |
861 | * | 861 | — | — | |||||||||||||||
Jay T. Last |
861 | * | 861 | — | — | |||||||||||||||
Menlo School |
861 | * | 861 | — | — | |||||||||||||||
William G. Myers Roth IRA |
861 | * | 861 | — | — | |||||||||||||||
Orion QP Ventures III L.P. |
861 | * | 861 | — | — | |||||||||||||||
Marc Ostrofsky |
861 | * | 861 | — | — | |||||||||||||||
Henry A. Plain, Jr. and Lisa M. Plain, Trustees The Plain
Family Trust, U/D/T dated September 7, 1994 |
861 | * | 861 | — | — | |||||||||||||||
Neil J. Rappaport and Susan J. Rappaport, Trustee of the
Rappaport Family rust, dated March 31, 1997 |
861 | * | 861 | — | — | |||||||||||||||
John T. Sakai |
861 | * | 861 | — | — | |||||||||||||||
Daniel S. Simpkins |
861 | * | 861 | — | — | |||||||||||||||
Swingyer Partners |
861 | * | 861 | — | — | |||||||||||||||
Lauer & Co. Agent for: Mabel Pew Myrin Trust |
775 | * | 775 | — | — | |||||||||||||||
International Capital Partners, Inc. Profit-Sharing Trust |
753 | * | 753 | — | — | |||||||||||||||
44 Eastview Family LLC |
753 | * | 753 | — | — | |||||||||||||||
Sanjiv Ahuja |
753 | * | 753 | — | — | |||||||||||||||
Bernal Family Trust UDT dated November 3, 1995, Ronald Daniel
Bernal & Pamela Mayer Bernal Trustees |
753 | * | 753 | — | — | |||||||||||||||
Robert J. Carpenter |
753 | * | 753 | — | — | |||||||||||||||
Gayle Crowell |
753 | * | 753 | — | — | |||||||||||||||
Kirk A. Cruikshank & Bette Lee Cruikshank, Trustees,
Cruikshank Family Trust 10/1/97 |
753 | * | 753 | — | — | |||||||||||||||
Stuart M. Gordon |
753 | * | 753 | — | — | |||||||||||||||
The Gregory C. Gretsch Trust, Gregory C. Gretsch, Trustee |
753 | * | 753 | — | — | |||||||||||||||
Joe E. Kiani |
753 | * | 753 | — | — | |||||||||||||||
Stanard T. Klinefelter |
753 | * | 753 | — | — | |||||||||||||||
John R. Mashey |
753 | * | 753 | — | — | |||||||||||||||
James A. McDonald |
753 | * | 753 | — | — | |||||||||||||||
The Parulkar Family Revocable Trust of 12/29/99, Guru |
||||||||||||||||||||
Parulkar, Trustee |
753 | * | 753 | — | — | |||||||||||||||
WUCO Capital LLC |
753 | * | 753 | — | — | |||||||||||||||
Donald L. Thiry Trust dated 4/7/82 |
689 | * | 689 | — | — | |||||||||||||||
Buuck Family Foundation by Wells Fargo Bank MN N.A. as Agent
for Robert E. Buuck, President |
603 | * | 603 | — | — | |||||||||||||||
Lauer & Co. Agent for : J.N. Pew Trust |
603 | * | 603 | — | — | |||||||||||||||
Julian A. Brodsky |
602 | * | 602 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
Van Dyke Partners |
602 | * | 602 | — | — | |||||||||||||||
James W. Bullock |
602 | * | 602 | — | — | |||||||||||||||
David Cheriton |
602 | * | 602 | — | — | |||||||||||||||
James Friedman |
602 | * | 602 | — | — | |||||||||||||||
Michael D. Lesh |
602 | * | 602 | — | — | |||||||||||||||
Seth Lieber |
602 | * | 602 | — | — | |||||||||||||||
Francis A. Moody |
602 | * | 602 | — | — | |||||||||||||||
The Babak & Lisa Marie Yazdani Trust UTA dtd 4/27/00 |
602 | * | 602 | — | — | |||||||||||||||
Paul L.Gomory, Jr. Trust |
517 | * | 517 | — | — | |||||||||||||||
G. Kirk Raab |
517 | * | 517 | — | — | |||||||||||||||
Meng Partners |
452 | * | 452 | — | — | |||||||||||||||
Daniel P. Finkelman |
452 | * | 452 | — | — | |||||||||||||||
Mohammed N. Islam |
452 | * | 452 | — | — | |||||||||||||||
Robert J. McGovern |
452 | * | 452 | — | — | |||||||||||||||
Maurice Werdegar |
1,930 | * | 430 | 1,500 | * | |||||||||||||||
Brody Family Trust U/T/D 8/15/86 |
430 | * | 430 | — | — | |||||||||||||||
Daniel Burstein |
430 | * | 430 | — | — | |||||||||||||||
Chadwick H. Carpenter, Jr. |
430 | * | 430 | — | — | |||||||||||||||
Key Capital Corporation |
430 | * | 430 | — | — | |||||||||||||||
Sheila R. Kresch |
430 | * | 430 | — | — | |||||||||||||||
Thomas H. Layton or his sucessor under the Thomas H. Layton
Separate Property Revocable Trust, November 29, 1999, as
amended |
430 | * | 430 | — | — | |||||||||||||||
Joseph A. Liemandt |
430 | * | 430 | — | — | |||||||||||||||
Audrey MacLean and Michael Clair, as trustees, or their
successors, of the Audrey MacLean and Michael Clair Trust |
||||||||||||||||||||
Agreement UAD 12/1/90 |
430 | * | 430 | — | — | |||||||||||||||
Makower Family Trust U/D/T dated 5/6/97 |
430 | * | 430 | — | — | |||||||||||||||
Trust u/w William C. Whitridge |
430 | * | 430 | — | — | |||||||||||||||
Peter D. Behrendt |
376 | * | 376 | — | — | |||||||||||||||
Peter D. Fenner & Nancy R. Fenner, as Trustees of the Peter
D. Fenner & Nancy R. Fenner Living Trust dated 2/2/99 |
344 | * | 344 | — | — | |||||||||||||||
Fontaine Revocable Living Trust DTD 3/23/84 |
344 | * | 344 | — | — | |||||||||||||||
Lauer & Co. Agent for: The Medical Trust |
344 | * | 344 | — | — | |||||||||||||||
The Edward C. Oldfield, Jr. RLT dtd 11-18-96 Edward C
Oldfield, Jr. Trustee |
344 | * | 344 | — | — | |||||||||||||||
Ramaswami Family Revocable Trust |
344 | * | 344 | — | — | |||||||||||||||
Vrolyk Family Trust U/A DTD 11/20/84, as amended John R. and
Tamisie Honey Vrolyk, Trustees |
344 | * | 344 | — | — | |||||||||||||||
Barbara A. Cannon |
301 | * | 301 | — | — | |||||||||||||||
Silverleaf Partners LLC |
301 | * | 301 | — | — | |||||||||||||||
The Per A. Suneby Revocable Trust |
301 | * | 301 | — | — | |||||||||||||||
Horst R. Adam |
301 | * | 301 | — | — | |||||||||||||||
William Michael Fagen |
301 | * | 301 | — | — | |||||||||||||||
| Number of Shares Being | ||||||||||||||||||||
| Shares Owned Prior to Offering | Offered | Shares Owned After Offering | ||||||||||||||||||
| Security Holders | Number (1) | Percent (1) | Number | Percent (2) | ||||||||||||||||
David F. Foster |
301 | * | 301 | — | — | |||||||||||||||
Hsing-Chung Lee |
301 | * | 301 | — | — | |||||||||||||||
Oak Stone Ventures, LLC |
301 | * | 301 | — | — | |||||||||||||||
Orlando W. Springs |
301 | * | 301 | — | — | |||||||||||||||
Richard A. Redelfs |
258 | * | 258 | — | — | |||||||||||||||
The Goodman Family Trust |
172 | * | 172 | — | — | |||||||||||||||
Kamran Sistanizadeh |
172 | * | 172 | — | — | |||||||||||||||
Wilshire U.S. Private Markets Fund IV, L.P. (B) |
172 | * | 172 | — | — | |||||||||||||||
Stanford T. and Donna M. Young, as community property |
172 | * | 172 | — | — | |||||||||||||||
522 Fifth Avenue Fund, L.P. - 2002 Program |
114 | * | 114 | — | — | |||||||||||||||
| * | Less than one percent (1%) | |
| (1) | The shares of common stock owned prior to the offering equals the sum of (a) shares of common stock, (b) shares of common stock issuable upon conversion of shares of Series A preferred stock and (c) shares of common stock issuable upon exercise of warrants. Percentages are based on 59,203,660 shares of our common stock that were outstanding (on an as-converted to common stock basis) on June 17, 2003. In calculating the percentage for each selling security holder, the shares represented by item (b) above are included in the denominator of the shares outstanding for that selling security holder but are not included in the denominator for any other person. | |
| (2) | Percentages are based on 59,203,660 shares of our common stock that were outstanding (on an as-converted to common stock basis) on June 17, 2003. | |
| (3) | Includes 170,885 shares of common stock issuable upon exercise of warrants. | |
| (4) | Includes 2,448,562 shares of common stock issuable upon exercise of warrants (including a warrant to purchase 2,198,605 shares of common stock received in connection with the warrant repricing agreement), , including warrants to purchase 999 shares of common stock held by NEA Ventures 2001, L.P. In addition, includes 9,998 shares held by NEA Ventures 2001, L.P. Also includes 1,033,057 shares of our Series A Preferred Stock that are convertible at any time into 4,132,228 shares of Common Stock. According to a Schedule 13D Amendment No. 1 dated April 25, 2002, and filed jointly by New Enterprise Associates 10, Limited Partnership (“NEA 10”), NEA Partners 10, Limited Partnership, Stewart Alsop, James Barrett, Peter J. Barris, Robert T. Coneybeer, Nancy L. Dorman, Ronald H. Kase, C. Richard Kramlich, Thomas C. McConnell, Peter T. Morris, Charles W. Newhall III, Mark W. Perry, Scott D. Sandell and Eugene A. Trainor III, each of the aforementioned general partners of NEA 10 has shared dispositive and shared voting power with respect to the shares held by NEA 10. Each of the aforementioned disclaims beneficial ownership as to the shares held by NEA 10, except to the extent of their pecuniary interest therein. John Nehra is a member of our board of directors and a limited partner of NEA Partners 10, Limited Partnership, the general partner of NEA 10. |
We may from time to time supplement or amend the Prospectus to reflect the required information concerning and transferee, pledgee, donee or successor to the selling security holders named in the prospectus.
The date of this Prospectus Supplement is June 20, 2003.