| 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 |
OMB APPROVAL OMB Number: 3235-0287 Expires: January 31, 2005 Estimated average burden hours per response . . . 0.5 |
| (Print or Type Responses) | ||||||
| 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) | |||||
* |
If the form is filed by more than one reporting person, see Instruction 4(b)(v). |
| 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) | |||||
(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.
|