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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.
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CUSIP NO. 451926-10-9 13G PAGE 2 OF 6 PAGES
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NAME OF REPORTING PERSON
1 S.S. or I.R.S. IDENTIFICATION NUMBER OF ABOVE PERSON
Donald L. Rich
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [ ]
(b) [ ]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
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NUMBER OF 5 SOLE VOTING POWER
SHARES 324,999(1)
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
------------------------------------------------------
6 SHARED VOTING POWER
0
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7 SOLE DISPOSITIVE POWER
324,999(1)
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8 SHARED DISPOSITIVE POWER
0
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
324,999(1)
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
6.5%
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12 TYPE OF REPORTING PERSON*
IN
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(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.
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CUSIP NO. 451926-10-9 13G PAGE 3 OF 6 PAGES
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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.
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CUSIP NO. 451926-10-9 13G PAGE 4 OF 6 PAGES
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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.
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CUSIP NO. 451926-10-9 13G PAGE 5 OF 6 PAGES
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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.
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CUSIP NO. 451926-10-9 13G PAGE 6 OF 6 PAGES
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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
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Date
/s/ Donald L. Rich
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Donald L. Rich
6.
