4 1 d4.htm FORM 4 FORM 4
 
 
Form 4
 
 
 
¨  Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).


   
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, DC 20549
 
STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP
 
Filed pursuant to Section 16(a) of the
Securities Exchange Act of 1934, Section 17(a) of the
Public Utility Holding Company Act of 1935 or Section 30(h)
of the Investment Company Act of 1940
  
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  1.
  
Name and Address of Reporting Person*
   
                  Fielding                         Kevin
   
   
                                    (Last)                                                  (First)                                                 (Middle)
   
                Parthus Technologies PLC        32-34 Harcourt Street
   
   
                                     (Street)
   
                Dublin 2                        Ireland
   
   
                                    (City)                                                  (State)                                                 (Zip)
 
  2.
  
Issuer Name and Ticker or Trading Symbol
   
                ParthusCeva, Inc. (PCVA)
  3.
  
I.R.S. Identification Number of Reporting Person, if an entity (voluntary)
     
  4.
  
Statement for Month/Day/Year
   
                11/01/02
  5.
  
If Amendment, Date of Original (Month/Day/Year)
     
  6.
  
Relationship of Reporting Person(s) to Issuer (Check all applicable)
   
            x  Director                                         ¨  10% Owner
 
            x  Officer (give title below)             ¨  Other (specify below)
 
President and Chief Executive Officer
 
  7.


  
Individual or Joint/Group Filing (Check Applicable Line)
 
            x  Form filed by One Reporting Person
 
            ¨  Form filed by More than One Reporting Person
 
Table I — Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
 
  1.
  
Title of Security (Instr. 3)
   
                Common Stock
  2.
  
Transaction Date (Month/Day/Year)
   
                11/01/02
  2A.
  
Deemed Execution Date, if any (Month/Day/Year)
   
                N/A
  3.
  
Transaction Code (Instr. 8)
        
Code
   
V
   
            A
  4.
  
Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
        
Amount                                             (A) or (D)                    
   
Price
        
 9,458                                A
   
(1)
  5.
  
Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4)
        
9,458
     
  6.
  
Ownership Form: Direct (D) or Indirect (I) (Instr. 4)
        
D
     
  7.
  
Nature of Indirect Beneficial Ownership (Instr. 4)
               
 
(1) Received in exchange for 624,637 ordinary shares of Parthus Technologies plc in connection with a combination of Parthus Technologies plc and Ceva, Inc. (the "Combination"). On the date prior to the effective date of the Combination, the closing price of Parthus Technologies plc's ordinary shares was $0.237 per share, and on the effective date of the Combination, the closing price of ParthusCeva, Inc.'s common stock was $5.27 per share.
 
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*
 
If the form is filed by more than one reporting person, see Instruction 4(b)(v).
 
Potential persons who are to respond to the collection of information contained in this form not required to respond unless the form displays a currently valid OMB control number.
 
(Over)
SEC 1474 (9-02)

Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
 
  1.
  
Title of Derivative Security (Instr. 3)
   
                    Stock Option
  2.
  
Conversion or Exercise Price of Derivative Security
   
                    $10.90
  3.
  
Transaction Date (Month/Day/Year)
   
                    11/01/02
  3A.
  
Deemed Execution Date, if any (Month/Day/Year)
   
                    N/A
  4.
  
Transaction Code (Instr. 8)
       
Code
  
V
       
A
    
  5.
  
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
       
(A)
  
(D)
       
1,136
    
  6.
  
Date Exercisable and Expiration Date (Month/Day/Year)
       
Date Exercisable
  
Expiration Date
       
(2)
  
6/1/06
  7.
  
Title and Amount of Underlying Securities (Instr. 3 and 4)
       
Title
  
Amount or Number of Shares
       
Common Stock
  
1,136
  8.
  
Price of Derivative Security (Instr. 5)
   
                    (3)
  9.
  
Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
   
                    1,136
10.
  
Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4)
   
                    D
11.
  
Nature of Indirect Benefical Ownership (Instr. 4)
     

Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
 
  1.
  
Title of Derivative Security (Instr. 3)
   
                    Stock Option
  2.
  
Conversion or Exercise Price of Derivative Security
   
                    $17.63
  3.
  
Transaction Date (Month/Day/Year)
   
                    11/01/02
  3A.
  
Deemed Execution Date, if any (Month/Day/Year)
   
                    N/A
  4.
  
Transaction Code (Instr. 8)
       
Code
  
V
       
A
    
  5.
  
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
       
(A)
  
(D)
       
4,542
    
  6.
  
Date Exercisable and Expiration Date (Month/Day/Year)
       
Date Exercisable
  
Expiration Date
       
(4)
  
2/4/07
  7.
  
Title and Amount of Underlying Securities (Instr. 3 and 4)
       
Title
  
Amount or Number of Shares
       
Common Stock
  
4,542
  8.
  
Price of Derivative Security (Instr. 5)
   
                    (5)
  9.
  
Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
   
                    4,542
10.
  
Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4)
   
                    D
11.
  
Nature of Indirect Benefical Ownership (Instr. 4)
     

Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
 
  1.
  
Title of Derivative Security (Instr. 3)
   
                    Stock Option
  2.
  
Conversion or Exercise Price of Derivative Security
   
                    $17.63
  3.
  
Transaction Date (Month/Day/Year)
   
                    11/01/02
  3A.
  
Deemed Execution Date, if any (Month/Day/Year)
   
                    N/A
  4.
  
Transaction Code (Instr. 8)
       
Code
  
V
       
A
    
  5.
  
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
       
(A)
  
(D)
       
15,141
    
  6.
  
Date Exercisable and Expiration Date (Month/Day/Year)
       
Date Exercisable
  
Expiration Date
       
(6)
  
7/11/07
  7.
  
Title and Amount of Underlying Securities (Instr. 3 and 4)
       
Title
  
Amount or Number of Shares
       
Common Stock
  
15,141
  8.
  
Price of Derivative Security (Instr. 5)
   
                    (7)
  9.
  
Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
   
                    15,141
10.
  
Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4)
   
                    D
11.
  
Nature of Indirect Benefical Ownership (Instr. 4)
     
 

Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
 
  1.
  
Title of Derivative Security (Instr. 3)
   
                    Stock Option
  2.
  
Conversion or Exercise Price of Derivative Security
   
                    $17.63
  3.
  
Transaction Date (Month/Day/Year)
   
                    11/01/02
  3A.
  
Deemed Execution Date, if any (Month/Day/Year)
   
                    N/A
  4.
  
Transaction Code (Instr. 8)
       
Code
  
V
       
A
    
  5.
  
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
       
(A)
  
(D)
       
38
    
  6.
  
Date Exercisable and Expiration Date (Month/Day/Year)
       
Date Exercisable
  
Expiration Date
       
(8)
  
11/30/07
  7.
  
Title and Amount of Underlying Securities (Instr. 3 and 4)
       
Title
  
Amount or Number of Shares
       
Common Stock
  
38
  8.
  
Price of Derivative Security (Instr. 5)
   
                    (9)
  9.
  
Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
   
                    38
10.
  
Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4)
   
                    D
11.
  
Nature of Indirect Benefical Ownership (Instr. 4)
     
 

Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
 
  1.
  
Title of Derivative Security (Instr. 3)
   
                    Stock Option
  2.
  
Conversion or Exercise Price of Derivative Security
   
                    $17.63
  3.
  
Transaction Date (Month/Day/Year)
   
                    11/01/02
  3A.
  
Deemed Execution Date, if any (Month/Day/Year)
   
                    N/A
  4.
  
Transaction Code (Instr. 8)
       
Code
  
V
       
A
    
  5.
  
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
       
(A)
  
(D)
       
74,191
    
  6.
  
Date Exercisable and Expiration Date (Month/Day/Year)
       
Date Exercisable
  
Expiration Date
       
(10)
  
9/20/08
  7.
  
Title and Amount of Underlying Securities (Instr. 3 and 4)
       
Title
  
Amount or Number of Shares
       
Common Stock
  
74,191
  8.
  
Price of Derivative Security (Instr. 5)
   
                    (11)
  9.
  
Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
   
                    74,191
10.
  
Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4)
   
                    D
11.
  
Nature of Indirect Benefical Ownership (Instr. 4)
     
 

Table II — Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
 
  1.
  
Title of Derivative Security (Instr. 3)
   
                    Stock Option
  2.
  
Conversion or Exercise Price of Derivative Security
   
                    $17.63
  3.
  
Transaction Date (Month/Day/Year)
   
                    11/01/02
  3A.
  
Deemed Execution Date, if any (Month/Day/Year)
   
                    N/A
  4.
  
Transaction Code (Instr. 8)
       
Code
  
V
       
A
    
  5.
  
Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5)
       
(A)
  
(D)
       
81,761
    
  6.
  
Date Exercisable and Expiration Date (Month/Day/Year)
       
Date Exercisable
  
Expiration Date
       
(12)
  
6/20/09
  7.
  
Title and Amount of Underlying Securities (Instr. 3 and 4)
       
Title
  
Amount or Number of Shares
       
Common Stock
  
81,761
  8.
  
Price of Derivative Security (Instr. 5)
   
                    (13)
  9.
  
Number of Derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)
   
                    81,761
10.
  
Ownership Form of Derivative Securities: Direct (D) or Indirect (I) (Instr. 4)
   
                    D
11.
  
Nature of Indirect Benefical Ownership (Instr. 4)
     
Explanation of Responses:
 
(2)
 
8,335 stock options are immediately exercisable. The remaining 66,675 stock options vest monthly beginning 11/1/02.
(3)
 
Received in the Combination in exchange for a stock option to acquire 75,010 ordinary shares of Parthus Technologies plc for $.165 per share.
(4)
 
199,990 stock options are immediately exercisable. The remaining 100,010 stock options vest monthly beginning 11/4/02.
(5)
 
Received in the Combination in exchange for a stock option to acquire 300,000 ordinary shares of Parthus Technologies plc for $.267 per share.
(6)
 
562,495 stock options are immediately exercisable. The remaining 437,505 stock options vest monthly beginning 11/11/02.
(7)
 
Received in the Combination in exchange for a stock option to acquire 1,000,000 ordinary shares of Parthus Technologies plc for $.267 per share.
(8)
 
2,500 stock options are immediately exercisable.
(9)
 
Received in the Combination in exchange for a stock option to acquire 2,500 ordinary shares of Parthus Technologies plc for $.267 per share.
(10)
 
1,327,080 stock options are immediately exercisable. The remaining 3,572,920 stock options vest monthly beginning 11/20/02.
(11)
 
Received in the Combination in exchange for a stock option to acquire 4,900,000 ordinary shares of Parthus Technologies plc for $.267 per share.
(12)
 
The stock options vest in equal monthly installments beginning June 20, 2003.
(13)
 
Received in the Combination in exchange for a stock option to acquire 5,400,000 ordinary shares of Parthus Technologies plc for $.267 per share.
/S/ JOHN BOURKE
  
11/01/02
**Signature of Reporting Person
Attorney-in-fact
  
Date
 
**
Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
 
Note:
File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
 
Last update: 09/05/2002
 
Potential persons who are to respond to the collection of information contained in this form not required to respond unless the form displays a currently valid OMB control number.