-----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, K6ZaZuzTjR2QhzuwkE3dXnc4QR0WmCBNY3IY5FViTfw1RTP4mxYiEtrrZKN3AEr1 bDweYkwivlrEhxNbOlYAtw== 0001194713-03-000001.txt : 20030103 0001194713-03-000001.hdr.sgml : 20030103 20030103162510 ACCESSION NUMBER: 0001194713-03-000001 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030102 FILED AS OF DATE: 20030103 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: CARVER RICHARD E CENTRAL INDEX KEY: 0001194713 RELATIONSHIP: DIRECTOR FILING VALUES: FORM TYPE: 4 MAIL ADDRESS: STREET 1: 1960 BRONSON RD CITY: FAIRFAX STATE: CT ZIP: 06824 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COMPETITIVE TECHNOLOGIES INC CENTRAL INDEX KEY: 0000102198 STANDARD INDUSTRIAL CLASSIFICATION: PATENT OWNERS & LESSORS [6794] IRS NUMBER: 362664428 STATE OF INCORPORATION: DE FISCAL YEAR END: 0731 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-08696 FILM NUMBER: 03503420 BUSINESS ADDRESS: STREET 1: 1960 BRONSON ROAD STREET 2: BUILDING 1 CITY: FAIRFIELD STATE: CT ZIP: 06824 BUSINESS PHONE: 2032256044 MAIL ADDRESS: STREET 1: 1960 BRONSON ROAD STREET 2: BUILDING 1 CITY: FAIRFIELD STATE: CT ZIP: 06824 FORMER COMPANY: FORMER CONFORMED NAME: UNIVERSITY PATENTS INC DATE OF NAME CHANGE: 19920703 4 1 f4_carvr.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 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 [ ] Check box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). __________________________________________________________________________ 1. Name and Address of Reporting Person* Carver Richard E. - -------------------------------------------------------------------------- (Last) (First) (Middle) 13100 Twin Lakes Drive - -------------------------------------------------------------------------- (Street) Clifton VA 20124 - --------------------------------------------------------------------------- (City) (State) (Zip) ___________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Competitive Technologies, Inc. (CTT) ___________________________________________________________________________ 3. I.R.S. Identification Number of Reporting Person, if an entity (Voluntary) ___________________________________________________________________________ 4. Statement for Month/Day/Year January 2, 2003 ___________________________________________________________________________ 5. If Amendment, Date of Original (Month/Day/Year) ___________________________________________________________________________ 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) [x] Director [ ] 10% Owner [ ] Officer (give title below) [ ] Other (specify below) ----------------------------------------------- 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. |2A. |3.Trans- |4.Securities |5.Amount of |6.Owner- |7.Nature of | | of Security |Trans- |Deemed | action | Acquired (A) | Securities | ship | Indirect | | (Instr. 3) |action |Execu- | Code | (or Disposed of (d) | Beneficially | Form: | Beneficial | | |Date |tion |(Instr.8)| (Instr. 3,4 and 5) | Owned | Direct | Owner- | | | |if, any| | | Following | (D) or | ship | | |(Month/| +----+----+--------+-----+--------| Reported | Indirect(I)| | | |Day/ |(Month/|Code| V |Amount |(A) |Price | Transaction(s)| (Instr. 4) | (Instr. 4) | | |Year) |Day/ | | | | or | | (Instr. 3 and | | | | | |Year) | | | |(D) | | 4) | | | +-------------------+-------+-------+----+----+--------+-----+--------+----------------+------------+------------------+ Common Stock 1/2/03 A 2,500 A (1) 11,720 D
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) TABLE II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
+----------+-------+------+-------+---------+------------+----------------+----------------+--------+---------+---------+---------+ |1. |2. |3. | 3A. |4. |5 |6. |7. |8. |9.Number |10. |11. | | | | | | | | | | |of Deriv-|Owner- | | | | | | | | | | | |ative |ship | | | |Conver-| | | | | | | |Secur- |Form of | | | |sion | | | |Number of | |Title and Amount| |ities |Deriv- | | | |or | | | |Derivative |Date Exer- |of Underlying | |Bene- |ative | | | |Exer- | |Deemed | |Securities |cisable and |Securities |Price |fically |Secur- |Nature | | |cise | |Execu- | |Acquired (A)|Expiration |(Instr.3 and 4) |of |Owned |ity: |of | | |Price |Trans-|tion |Trans- |or Disposed |Date (Month/ +--------+-------+Deriva- |Follow- |Direct |Indirect | | |of |action|Date, |action |of (D) |Day/Year) | |Amount |tive |ing |(D) or |Benefi- | |Title of |Deri- |Date |if any |Code |(Instr. 3, 4|--------+-------| |or |Secur- |Reported |In- |cial | |Derivative|vative |Month/|(Month/|(Instr.8)| and 5) |Date |Expira-| |Number |ity |Trans- |direct |Owner- | |Security |Secur- |Day/ |Day/ +-----+---+------+-----+Exercis-|tion | |of |(Instr. |action(s)|(I) |ship | |(Instr. 3)|ity |Year) |Year) |Code | V | (A) | (D) |able |Date |Title |Shares | 5) |(Instr.4)|(Instr.4)|(Instr.4)| +----------+-------+------+-------+-----+---+------+-----+--------+-------+--------+-------+--------+---------+---------+---------+ Right to buy $2.14 1/2/03 A 10,000 1/2/03 1/2/13 Common 10,000 34,000 D Stock
Explanation of Responses: (1) Common stock acquired in connection with the 1996 Directors' Stock Participation Plan /s/ Frank R. McPike, Jr. January 3, 2003 --------------------------------- -------------- Attorney in Fact for Richard E. Carver Date ** Signature of Reporting Person ** 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. 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. -----END PRIVACY-ENHANCED MESSAGE-----