-----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, N+FTI3Px4nE/h8c1e83gyaLovtq8ksUSKb/XA68BmRlhXMmGlMsmdDJMQGnEAAVY kSjZpV0fRQggWFqAPeUsEA== 0001116679-03-001527.txt : 20030530 0001116679-03-001527.hdr.sgml : 20030530 20030530104835 ACCESSION NUMBER: 0001116679-03-001527 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030530 GROUP MEMBERS: B. RILEY AND CO. GROUP MEMBERS: BRYANT R. RILEY GROUP MEMBERS: RILEY INVESTMENT MANAGEMENT LLC GROUP MEMBERS: SACC PARTNERS, LP FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RILEY BRYANT R CENTRAL INDEX KEY: 0001207269 FILING VALUES: FORM TYPE: SC 13D/A MAIL ADDRESS: STREET 1: 11150 SANTA MONICA BLVD STE 750 CITY: LOS ANGELES STATE: CA ZIP: 90025 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CELERITEK INC/CA CENTRAL INDEX KEY: 0000919583 STANDARD INDUSTRIAL CLASSIFICATION: SEMICONDUCTORS & RELATED DEVICES [3674] IRS NUMBER: 770057484 STATE OF INCORPORATION: CA FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49108 FILM NUMBER: 03724631 BUSINESS ADDRESS: STREET 1: 3236 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95054 BUSINESS PHONE: 4089865060 MAIL ADDRESS: STREET 1: 3236 SCOTT BLVD CITY: SANTA CLARA STATE: CA ZIP: 95054 SC 13D/A 1 celer13da.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(a) (Amendment No. 5)* CELERITEK, INC. --------------- (Name of Issuer) Common Stock ------------ (Title of Class of Securities) 150926103 --------- (CUSIP Number) Peter J. Tennyson, Esq. Paul, Hastings, Janofsky & Walker LLP 695 Town Center Drive, Seventeenth floor Costa Mesa, California 92626 (714) 668-6200 -------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) May 28, 2003 ------------ (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(c), 13d-1(f) or 13d-1(g), check the following box. |_| Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7(b) for other parties to whom copies are to be sent. *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). Exhibit Index on Page 5 Total Pages 5
CUSIP No. 150926103 SCHEDULE 13D Page 2 of 5 ========= =================================================================================================== 1 Name of Reporting Person SACC Partners, LP; Riley Investment Management LLC; B. Riley and Co.; Bryant R. Riley IRS Identification No. of Above Person - --------- --------------------------------------------------------------------------------------------------- 2 Check the Appropriate Box if a member of a Group (a) |_| (b) |X| - --------- --------------------------------------------------------------------------------------------------- 3 SEC USE ONLY - --------- --------------------------------------------------------------------------------------------------- 4 Source of Funds OO - --------- --------------------------------------------------------------------------------------------------- 5 Check Box if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) |_| - --------- --------------------------------------------------------------------------------------------------- 6 Citizenship or Place of Organization United States ========================== ========== ======================================================================= 7 Sole Voting Power 723,092 NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH ---------- ----------------------------------------------------------------------- 8 Shared Voting Power ---------- ----------------------------------------------------------------------- 9 Sole Dispositive Power 723,092 ---------- ----------------------------------------------------------------------- 10 Shared Dispositive Power ========================== ========== ======================================================================= 11 Aggregate Amount Beneficially Owned by Each Reporting Person 723,092 - ----------- ------------------------------------------------------------------------------------------------- 12 Check Box if the Aggregate Amount in Row 11 Excludes Certain Shares |X| - ----------- ------------------------------------------------------------------------------------------------- 13 Percent of Class Represented by Amount in Row 11 5.86% - ----------- ------------------------------------------------------------------------------------------------- 14 Type of Reporting Person PN, IA, BD, OO, IN =========== =================================================================================================
Page 3 of 5 Item 4. Purpose of Transaction. ---------------------- This item as previously filed is amended to include the following additional information: On May 28, 2003, the Celeritek Shareholder Protective Committee (the "Committee") entered into a definitive Settlement Agreement with Celeritek, Inc. (the "Company") resolving the disputes between the Committee and the Company. Item 7. Material to Be Filed as Exhibits. -------------------------------- This item as previously filed is amended to include the following additional exhibits: Exhibit L. Settlement Agreement, dated May 28, 2003, between the Company, the Committee and the members and certain affiliates of the Committee (incorporated herein by reference to Exhibit 99.1 to the Company's Form 8-K filed with the SEC on May 28, 2003) Page 4 of 5 Signatures ---------- 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. SACC PARTNERS LP By: Riley Investment Management LLC, its General Partner By: /s/ Bryant R. Riley ---------------------- Bryant R. Riley, President RILEY INVESTMENT MANAGEMENT LLC By: /s/ Bryant R. Riley ---------------------- Bryant R. Riley, President B. RILEY AND CO. INC. By: /s/ Bryant R. Riley ---------------------- Bryant R. Riley, President B. RILEY AND CO. HOLDINGS, LLC By: /s/ Bryant R. Riley ---------------------- Bryant R. Riley, President /s/ Bryant R. Riley -------------------------- Bryant R. Riley DATED: May 29, 2003 Page 5 of 5 EXHIBIT INDEX Exhibit L. Settlement Agreement, dated May 28, 2003, between the Company, the Committee and the members and certain affiliates of the Committee (incorporated herein by reference to Exhibit 99.1 to the Company's Form 8-K filed with the SEC on May 28, 2003) -----END PRIVACY-ENHANCED MESSAGE-----