-----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, Nz7+taya0NdTSw1tK9wWjQBLqb5MsbBzjMiQt0hnEekwAhlHA9IhKOvCzHgqWr3i qOG7Ou1tBRRg2xF+vjnZsw== 0000950134-97-000814.txt : 19970221 0000950134-97-000814.hdr.sgml : 19970221 ACCESSION NUMBER: 0000950134-97-000814 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970211 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTIKA IMAGING SYSTEMS INC CENTRAL INDEX KEY: 0001014920 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 954154552 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48917 FILM NUMBER: 97523229 BUSINESS ADDRESS: STREET 1: 5755 MARK DABLING BLVD STREET 2: STE 100 CITY: COLORADO SPRINGS STATE: CO ZIP: 80919 BUSINESS PHONE: 7195489800 MAIL ADDRESS: STREET 1: 5755 MARK DABLING BLVD CITY: COLORADO SPRINGS STATE: CO ZIP: 80919 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CARTER PAUL CENTRAL INDEX KEY: 0001030872 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 4475 MARK DABLING BLVD STREET 2: SUITE 100 CITY: COLORADO SPRINGS STATE: CO ZIP: 80919 BUSINESS PHONE: 7195489800 MAIL ADDRESS: STREET 1: 5575 MARK DABLING BLVD STREET 2: SUITE 100 CITY: COLORADO SPRINGS STATE: CO ZIP: 80919 SC 13G 1 SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ------------------ Schedule 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 (Amendment No. ___)* OPTIKA IMAGING SYSTEMS, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 68 3973 101 - -------------------------------------------------------------------------------- (CUSIP Number) * The remainder of this cover page shall be filled out for a reporting person's filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purposes of Section 18 of the Securities Exchange Act of 1934 (the "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). (CONTINUED ON FOLLOWING PAGE(S)) (Page 1 of 5 Pages) 2 CUSIP NO. 68 3973 101 13G Page 2 of 5 Pages - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS PAUL CARTER - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a)[ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES PERMANENT RESIDENT ALIEN; CITIZEN OF UNITED KINGDOM - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER 751,418 SHARES OF ------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 0 SHARES OWNED BY ------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 751,418 SHARES WITH ------------------------------------------------- 8 SHARED DISPOSITIVE POWER 0 SHARES - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 930,504 SHARES. INCLUDES 50,668 SHARES HELD OF RECORD BY IRIS C. CARTER, THE SPOUSE OF THE REPORTING PERSON, AND 128,418 SHARES HELD OF RECORD BY THE PAUL CARTER IRREVOCABLE TRUST, WHICH SHARES THE REPORTING PERSON DISCLAIMS BENEFICIAL OWNERSHIP. - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 13.7% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 ITEM 1(a) NAME OF ISSUER: Optika Imaging Systems, Inc. ITEM 1(b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 5755 Mark Dabling Blvd., Suite 100 Colorado Springs, CO 80919 ITEM 2(a) NAME OF PERSON FILING: Paul Carter ITEM 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: 5755 Mark Dabling Blvd., Suite 100 Colorado Springs, CO 80919 ITEM 2(c) CITIZENSHIP: See Row 4 of cover page. ITEM 2(d) TITLE OF CLASS OF SECURITIES: Common Stock, Par Value $.001 per share ITEM 2(e) CUSIP NUMBER: 68 3973 101 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b) OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A: Not Applicable ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: See Row 9 of cover page. Page 3 of 5 Pages 4 (b) Percent of Class: See Row 11 of cover page. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: See Row 5 of cover page. (ii) shared power to vote or to direct the vote: See Row 6 of cover page. (iii) sole power to dispose or to direct the disposition of: See Row 7 of cover page. (iv) shared power to dispose or to direct the disposition of: See Row 8 of cover page. 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 Page 4 of 5 Pages 5 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. Date: February 6, 1997 /s/ Paul Carter - ------------------------ Paul Carter Page 5 of 5 Pages -----END PRIVACY-ENHANCED MESSAGE-----