-----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, TJensWVDmc3IRII5VWr+lmBbMByoE2MMoaHE+lglGfuRa6SCmnb6O4vCXUfw5zEx MCmeSRyuGWtg18sy4T9DfQ== 0001169232-04-000904.txt : 20040212 0001169232-04-000904.hdr.sgml : 20040212 20040212172831 ACCESSION NUMBER: 0001169232-04-000904 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040212 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48817 FILM NUMBER: 04593005 BUSINESS ADDRESS: STREET 1: 855 JARVIS DRIVE CITY: MORGAN HILL STATE: CA ZIP: 95037 BUSINESS PHONE: 408-852-8000 MAIL ADDRESS: STREET 1: 855 JARVIS DRIVE CITY: MORGAN HILL STATE: CA ZIP: 95037 FORMER COMPANY: FORMER CONFORMED NAME: CASTELLE INC DATE OF NAME CHANGE: 19930702 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MCDONALD SCOTT C CENTRAL INDEX KEY: 0001074534 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 1100 EASY STREET CITY: MORGAN HILL STATE: CA ZIP: 95037 BUSINESS PHONE: 9164420400 MAIL ADDRESS: STREET 1: 1100 EASY STREET CITY: MORGAN HILL STATE: CA ZIP: 95037 SC 13G/A 1 d58344_sc13g-a.txt AMENDMENT NO. 1 TO SCHEDULE 13G SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Castelle (Name of Issuer) Common Stock (Title of Class of Securities) 147905-10-3 (CUSIP Number) December 31, 2003 (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 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). SCHEDULE 13G CUSIP No. 147905-10-3 Page 2 of 4 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) Scott C. McDonald - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions) (a) |_| (b) |_| - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION USA - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER 244,083 (1) OF -------------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY OWNED 0 BY -------------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING PERSON 244,083 (1) WITH -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 244,083 (1) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (See Instructions) |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 7.0% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (See Instructions) IN - -------------------------------------------------------------------------------- (1) Includes 73,784 shares issuable upon the exercise of stock options that are exercisable within 60 days of December 31, 2003. SCHEDULE 13G CUSIP No. 147905-10-3 Page 3 of 4 Pages Item 1. (a) Name of Issuer: Castelle (b) Address of Issuer's Principal Executive Offices: 855 Jarvis Drive, Suite 100 Morgan Hill, CA 95037 Item 2. (a) Name of Person Filing: Scott C. McDonald (b) Address of Principal Business Office: 855 Jarvis Drive, Suite 100 Morgan Hill, CA 95037 (c) Citizenship: USA (d) Title of Class of Securities: Common Stock (e) CUSIP Number: 147905-10-3 Item 3. If this statement is filed pursuant to ss.ss. 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: NOT APPLICABLE. Item 4. Ownership. (a) Amount beneficially owned: 244,083 * (b) Percent of class: 7.0% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote: 244,083 * (ii) Shared power to vote or to direct the vote: 0 (iii) Sole power to dispose or to direct the disposition of: 244,083 * (iv) Shared power to dispose or to direct the disposition of: 0 * Includes 73,784 shares issuable upon the exercise of stock options that are exercisable within 60 days of December 31, 2003. SCHEDULE 13G CUSIP No. 147905-10-3 Page 4 of 4 Pages Item 5. Ownership of Five Percent or Less of a Class. NOT APPLICABLE. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. NOT APPLICABLE. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. 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. Certifications. NOT APPLICABLE 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. Dated: February __, 2004 By: ------------------------------ Scott C. McDonald -----END PRIVACY-ENHANCED MESSAGE-----