-----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, RLE4CjDOBKchPAkTJmOBibwwyfVnfgXg87EARdNGW2vVjpU+29HV5+zbwAZ10Y35 bQHmQCJ135sOs7koP0qpUA== 0000912057-02-005633.txt : 20020414 0000912057-02-005633.hdr.sgml : 20020414 ACCESSION NUMBER: 0000912057-02-005633 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WIND RIVER SYSTEMS INC CENTRAL INDEX KEY: 0000833829 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 942873391 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-49532 FILM NUMBER: 02541102 BUSINESS ADDRESS: STREET 1: 500 WIND RIVER WAY CITY: ALAMEDA STATE: CA ZIP: 94501 BUSINESS PHONE: 5107484100 MAIL ADDRESS: STREET 1: 1010 ATLANTIC AVE STREET 2: 1010 ATLANTIC AVE CITY: ALAMEDA STATE: CA ZIP: 94501 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GUPTA NARENDRA CENTRAL INDEX KEY: 0000900635 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: INTEGRATED SYSTEMS INC STREET 2: 3260 JAY STREET CITY: SANTA CLARA STATE: CA ZIP: 95054-3309 BUSINESS PHONE: 4089801500X338 MAIL ADDRESS: STREET 1: 1252 CANADA RD CITY: WOODSIDE STATE: CA ZIP: 94062 SC 13G 1 a2070465zsc13g.htm SC 13G Prepared by MERRILL CORPORATION

 

 

 

 

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

 

SCHEDULE 13G

 

Under the Securities Exchange Act of 1934

(Amendment No. ____)*

 

 

WIND RIVER SYSTEMS, INC.

                                                                                                                                                                                                

(Name of Issuer)

 

COMMON STOCK

                                                                                                                                                                                                

(Title of Class of Securities)

 

973149 10 7

                                                                                                                                               

(CUSIP Number)

 

December 31, 2001

                                                                                                                                                                                                

(Date of Event Which Requires Filing of this Statement)

 

 

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

 

o            Rule 13d-1(b)

o            Rule 13d-1(c)

ý            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 the provisions of the Act (however, see the Notes).

 

 

 

Page 1 of 4 pages

 

CUSIP No. 973149 10 7

1.

 

Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only)

 

Narendra K. Gupta

 

2.

 

Check the Appropriate Box if a Member of a Group (See Instructions)

(a) o

(b) o

 

3.

 

SEC Use Only

 

 

4.

 

Citizenship or Place of Organization

United States

 

Number of Shares
Beneficially Owned
By Each
Reporting Person With

5.

 

Sole Voting Power
102,438**

 

6.

 

Shared Voting Power
4,428,236***

 

7.

 

Sole Dispositive Power
102,438**

 

8.

 

Shared Dispositive Power
4,428,236***

 

9.

 

Aggregate Amount Beneficially Owned by Each Reporting Person

4,530,674 shares, of which beneficial ownership of 927,176 shares is disclaimed

 

10.

 

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)


 

11.

 

Percent of Class Represented by Amount in Row (9)

5.8%

 

12.

 

Type of Reporting Person (See Instructions)

IN

 

 

**                                Includes 7,176 shares held in an account for daughter under the Uniform Gift to Minors Act, of which Mr. Gupta is a custodian; and  95,262 shares subject to stock options exercisable within 60 days of February 13, 2002.

 

***                           Includes 3,508,236 shares held by the Narendra and Vinita Gupta Living Trust, dtd 12/2/94, of which Mr. Gupta and his wife are trustees; and 920,000 shares held by the Gupta Irrevocable Children Trust, of which Mr. Gupta his wife, and a third party, are trustees.

 

 

Page 2 of 4 pages

 

 

Item 1.       (a)           NAME OF ISSUER

                                   Wind River Systems, Inc.

 

                   (b)           Address of Issuer’s Principal Executive Offices

                                   500 Wind River Way
                                   Alameda, CA  94501

 

 Item 2.      (a)           NAME OF PERSON FILING

                                   Narendra K. Gupta

 

                   (b)           ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE

                                   500 Wind River Way
                                   Alameda, CA  94501

 

                   (c)           CITIZENSHIP

                                   United States

 

                   (d)           TITLE OF CLASS OF SECURITIES

                                   Common Stock

 

                   (e)           CUSIP NUMBER

                                   973149 10 7

 

 Item 3.                      NOT APPLICABLE.

 

 Item 4.                      OWNERSHIP

 

                   (a)           AMOUNT BENEFICIALLY OWNED:

                                   4,530,674 shares, of which beneficial ownership of 927,176 shares is disclaimed

                   (b)           PERCENT OF CLASS:

                                   5.8%

                   (c)           NUMBER OF SHARES AS TO WHICH THE PERSON HAS:

(i)

 

Sole power to vote or to direct the vote

102,438

**

(ii)

 

Shared power to vote or to direct the vote

4,428,236

***

(iii)

 

Sole power to dispose or to direct the disposition of

102,438

**

(iv)

 

Shared power to dispose or to direct the disposition of

4,428,236

***

 

 

**              Includes 7,176 shares held in an account for daughter under the Uniform Gift to Minors Act, of which Mr. Gupta is a custodian; and 95,262 shares subject to stock options exercisable within 60 days of February 13, 2002.

 

***         Includes 3,508,236 shares held by the Narendra and Vinita Gupta Living Trust, dtd 12/2/94, of which Mr. Gupta and his wife are trustees; and 920,000 shares held by the Gupta Irrevocable Children Trust, of which Mr. Gupta his wife, and a third party, are trustees.

 

 

Page 3 of 4 pages

 

 Item 5.                                                                  OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS

Not applicable.

 

 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 GROUP

Not applicable.

 

 Item 10.                                                            CERTIFICATION

Not applicable.

 

 

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 13, 2002

 

Date

 

 

 

 

 

/s/ Narendra K. Gupta

 

Signature

 

 

 

 

 

Narendra K. Gupta

 

Name/Title

 

 

 

Page 4 of 4 pages

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