-----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, OiLEE6hJgU750CnRO9fknvm7AkET8F6s/9SH1iXUaUN5foFzpyTNM9xgPglqMLm3 AD/GxJQ4sAj4BNuDxe2DoA== 0000930661-00-000511.txt : 20000313 0000930661-00-000511.hdr.sgml : 20000313 ACCESSION NUMBER: 0000930661-00-000511 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000229 FILED AS OF DATE: 20000310 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BLUE WAVE SYSTEMS INC CENTRAL INDEX KEY: 0000949587 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC COMPUTERS [3571] IRS NUMBER: 411425902 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 4 SEC ACT: SEC FILE NUMBER: 000-26858 FILM NUMBER: 565904 BUSINESS ADDRESS: STREET 1: 2410 LUNA RD STREET 2: STE 132 CITY: CARROLLTON STATE: TX ZIP: 75006 BUSINESS PHONE: 2142774600 MAIL ADDRESS: STREET 1: 2410 LUNA RD STREET 2: STE 132 CITY: CARROLLTON STATE: TX ZIP: 75006 FORMER COMPANY: FORMER CONFORMED NAME: MIZAR INC \DE\ DATE OF NAME CHANGE: 19950821 COMPANY DATA: COMPANY CONFORMED NAME: SHADDOCK ROBERT N CENTRAL INDEX KEY: 0001061281 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] DIRECTOR STATE OF INCORPORATION: TX FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: THE COTTAGE MAIN ST STREET 2: ALLEXTON CITY: LEICESTERSHIRE STATE: X0 ZIP: 00000 4 1 FORM 4 /------------------------------/ / OMB APPROVAL / /------------------------------/ / OMB Number: 3235-0287 / / Expires: September 30, 1998 / / Estimated average burden / / hours per response...... 0.5 / /------------------------------/ +--------+ | FORM 4 | U.S. SECURITIES AND EXCHANGE COMMISSION +--------+ WASHINGTON, D.C. 20549 [_] Check this box if no longer subject STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP to Section 16. Form 4 or Form 5 Filed pursuant to Section 16(a) of the Securities obligations may Exchange Act of 1934, Section 17(a) of the continue. See Public Utility Holding Company Act of 1935 or Instruction 1(b). Section 30(f) of the Investment Company Act of 1940 (Print or Type Responses) - -------------------------------------------------------------------------------- 1. Name and Address of Reporting Person* Shaddock Robert N - -------------------------------------------------------------------------------- (Last) (First) (Middle) The Cottage, Main Street, Allexton - -------------------------------------------------------------------------------- (Street) Leicestershire England LE15 9AB - -------------------------------------------------------------------------------- (City) (State) (Zip) 2. Issuer Name and Ticker or Trading Symbol BWSI - Blue Wave Systems Inc. ----------------------------------- 3. I.R.S. Identification Number of Reporting Person, if an entity (voluntary) -------------- 4. Statement for Month/Year February 2000 --------------------------------------------------- 5. If Amendment, Date of Original (Month/Year) --------------------------------- 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) X Director X Officer 10% Owner Other --- --- (give title below) --- --- (specify below) President and CEO ---------------------------------------------------------------- 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 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature of action action or Disposed of (D) Securities ship of In- Security Date Code (Instr. 3, 4 and 5) Beneficially Form: direct (Instr. 3) (Month/ (Instr. 8) Owned at Direct Bene- Day/ ----------------------------------------------- End of (D) or ficial Year) Month Indirect Owner- Code V Amount (A) or Price (Instr. 3 and 4) (I) ship (D) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 2/2/00 S 20,000 D $14.3125 - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 2/25/00 S 12,900 D 18.8125 - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 2/25/00 S 5,100 D 18.75 - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 2/25/00 S 2,000 D 19.00 278,073 D - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 2/2/00 S 29,900 D 14.50 - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 2/2/00 S 100 D 14.5625 - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 2/25/00 S 2,600 D 18.75 - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 2/28/00 S 7,400 D 18.50 32,001 I By wife - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 49,019 I By family trust - ------------------------------------------------------------------------------------------------------------------------------------ Common stock 49,019 I By family trust - ------------------------------------------------------------------------------------------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. * If this form is filed by more than one reporting person, see Instruction 4(b)(v). Page 1 of 2 FORM 4 (continued) Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ----------------------------------------------------------------------------------------------------------------------------- 1. Title of Derivative 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- Security (Instr. 3) sion or action tion Code ative Securities Exercise Date (Instr. 8) Acquired (A) or Price of (Month/ Disposed of (D) Deriv- Day/ (Instr. 3, 4, and 5) ative Year) Security --------------------------------------------------- Code V (A) (D) - ----------------------------------------------------------------------------------------------------------------------------- (ISO) Stock Options $0.39 - ----------------------------------------------------------------------------------------------------------------------------- (NQO) Stock Options 2.625 - ----------------------------------------------------------------------------------------------------------------------------- (NQO) Stock Options 4.00 - ----------------------------------------------------------------------------------------------------------------------------- - ----------------------------------------------------------------------------------------------------------------------------- - -----------------------------------------------------------------------------------------------------------------------------
Table II--Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
- ------------------------------------------------------------------------------------------------------------------------------------ 6. Date Exer- 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Na- cisable and Underlying Securities of of Deriv- ship ture Expiration (Instr. 3 and 4) Deriv- ative Form of In- Date ative Secur- of De- direct (Month/Day/ Secur- ities rivative Bene- Year) ity Bene- Securities ficial (Instr. ficially Bene- Owner- -------------------------------------------- 5) Owned ficially ship Date Expira- Amount or at End Owned at (Instr. Exer- tion Title Number of of End of 4) cisable Date Shares Month Month(1) (Instr. 4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ (ISO) Stock Options 4/27/98 1/31/03 Common stock 87,534 87,534 D - ------------------------------------------------------------------------------------------------------------------------------------ (NQO) Stock Options (1) 9/22/08 Common stock 25,000 25,000 D - ------------------------------------------------------------------------------------------------------------------------------------ (NQO) Stock Options (2) 11/16/09 Common stock 30,000 30,000 D - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------
Explanation of Responses: (1) Option is exercisable in four equal installments of 6,250 each beginning 9/22/99 through 9/22/02. (2) Option is exercisable in four equal installments of 7,500 each beginning 12/01/00 through 12/01/03. /s/ ROBERT N. SHADDOCK 3/10/00 ------------------------------- ----------------- **Signature of Reporting Person 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 provided is insufficient, see Instruction 6 for procedure. Potential persons who are to respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number. Page 2 of 2 -----END PRIVACY-ENHANCED MESSAGE-----