-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DMIAkgoVlxytjCh2Z1f6qgdUUVrAHv8Q+1g9KB2vcTnxaQl/9Nd9WoHuHYdseRja Id0NcuVK2ZArrMfQZ0ZW2g== 0000950149-00-000269.txt : 20000215 0000950149-00-000269.hdr.sgml : 20000215 ACCESSION NUMBER: 0000950149-00-000269 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000214 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CASTELLE \CA\ CENTRAL INDEX KEY: 0000908605 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER PERIPHERAL EQUIPMENT, NEC [3577] IRS NUMBER: 770164056 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48817 FILM NUMBER: 542312 BUSINESS ADDRESS: STREET 1: 3255-3 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4084960474 MAIL ADDRESS: STREET 1: 3255-3 SCOTT BOULEVARD CITY: SANTA CLARA STATE: CA ZIP: 95054 FORMER COMPANY: FORMER CONFORMED NAME: CASTELLE INC DATE OF NAME CHANGE: 19930702 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RICH DONALD L CENTRAL INDEX KEY: 0001106306 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: CASTELLE STREET 2: 3255 3 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4084960474 MAIL ADDRESS: STREET 1: CASTELLE STREET 2: 3255 3 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95054 SC 13G 1 SCHEDULE 13G 1 ------------------------------ OMB APPROVAL ------------------------------ OMB Number: 3235-0145 Expires: August 31, 1999 Estimated average burden hours per response..... 14.90 ------------------------------ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* CASTELLE (Name of Issuer) COMMON STOCK (Title of Class of Securities) 147905103 (CUSIP Number) DECEMBER 31, 1999 (Date of Event Which Requires Filing of This Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [X] Rule 13d-1(d) *The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). 1. 2 - --------------------- ----------------- CUSIP NO. 451926-10-9 13G PAGE 2 OF 6 PAGES - --------------------- ----------------- - -------------------------------------------------------------------------------- NAME OF REPORTING PERSON 1 S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON Donald L. Rich - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 324,999(1) BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH ------------------------------------------------------ 6 SHARED VOTING POWER 0 ------------------------------------------------------ 7 SOLE DISPOSITIVE POWER 324,999(1) ------------------------------------------------------ 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 324,999(1) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 6.5% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- (1) Includes 324,999 issuable upon the exercise of stock options that are exercisable within 60 days of December 31, 1999. *SEE INSTRUCTION BEFORE FILLING OUT! 2. 3 - --------------------- ----------------- CUSIP NO. 451926-10-9 13G PAGE 3 OF 6 PAGES - --------------------- ----------------- ITEM 1. (a) Name of Issuer: Castelle (b) Address of Issuer's Principal Executive Offices: 3255-3 Scott Blvd., CA 95054 ITEM 2. (a) Name of Person Filing: Donald L. Rich (b) Address of Principal Business Office or, if none, Residence: 81 Almendral Avenue Atherton, CA 94027 (c) Citizenship: USA (d) Title of Class of Securities: Common (e) CUSIP Number: 147905103 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13D-1(b), OR 13D-2(b), CHECK WHETHER THE PERSON FILING IS A: (a) [ ] Broker or Dealer registered under Section 15 of the Act (b) [ ] Bank as defined in section 3(a)(6) of the Act (c) [ ] Insurance Company as defined in section 3(a)19) of the Act (d) [ ] Investment Company registered under section 8 of the Investment Company Act (e) [ ] Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) [ ] Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Section 240.13d-1(b)(1)(ii)(F) (g) [ ] Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) (Note: See Item 7) (h) [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(H) Not Applicable 3. 4 - --------------------- ----------------- CUSIP NO. 451926-10-9 13G PAGE 4 OF 6 PAGES - --------------------- ----------------- ITEM 4. OWNERSHIP If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount Beneficially Owned: 324,999* (b) Percent of Class: 6.5% (c) Number of shares as to which such person has: (i) sole power to vote or to direct to vote: 324,999* (ii) shared power to vote or to direct to vote: 0 (iii) sole power to dispose or to direct the disposition of: 324,999* (iv) shared power to dispose or to direct the disposition of: 0 *Includes 324,999 issuable upon the exercise of stock options that are exercisable within 60 days of December 31, 1999. 4. 5 - --------------------- ----------------- CUSIP NO. 451926-10-9 13G PAGE 5 OF 6 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 [ ]. 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 A GROUP Not applicable. ITEM 10. CERTIFICATION Not applicable. 5. 6 - --------------------- ----------------- CUSIP NO. 451926-10-9 13G PAGE 6 OF 6 PAGES - --------------------- ----------------- SIGNATURE 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. February 11, 2000 ------------------------------------ Date /s/ Donald L. Rich ------------------------------------ Donald L. Rich 6. -----END PRIVACY-ENHANCED MESSAGE-----