-----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, JRpcUKLa2RJh0Kv5sIkkBeoaXRc1FG2+8tHrHHY8T2U+CiQRDxdzozN2lT/2n3cG FjBQjTvPFWLhgbpNixQ7SQ== 0001014920-99-000003.txt : 19990217 0001014920-99-000003.hdr.sgml : 19990217 ACCESSION NUMBER: 0001014920-99-000003 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990216 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: OPTIKA 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/A SEC ACT: SEC FILE NUMBER: 005-48917 FILM NUMBER: 99540654 BUSINESS ADDRESS: STREET 1: 7450 CAMPUS DR 2ND FLOOR STREET 2: STE 200 CITY: COLORADO SPRINGS STATE: CO ZIP: 80920 BUSINESS PHONE: 7195489800 MAIL ADDRESS: STREET 1: 7450 CAMPUS DR 2ND FLOOR STREET 2: STE 200 CITY: COLORADO SPRINGS STATE: CO ZIP: 80920 FORMER COMPANY: FORMER CONFORMED NAME: OPTIKA IMAGING SYSTEMS INC DATE OF NAME CHANGE: 19960520 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CARTER PAUL CENTRAL INDEX KEY: 0001030872 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A 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/A 1 STATEMENT OF BENEFICIAL OWNERSHIP SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 -------------------- Schedule 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 (Amendment No. 2)* OPTIKA 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) - ------------------------------------------------------------------------------- 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 696,518 shares Includes 91,555 shares held of OF record by the Paul Carter Irrevocable Trust and SHARES 120,000 shares issuable upon exercise of options. See box 9. ----------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 50,668 shares Includes shares held by spouse. See box 9. ----------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON 629,018 shares Includes 91,555 shares held of WITH record by the Paul Carter Irrevocable Trust and 120,000 shares issuable upon exercise of options. See box 9.. ----------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 118,168 shares Includes 67,500 shares subject to currently exercisable options held by third parties and 50,668 shares held by spouse. See box 9. - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 747,186 shares. Includes 50,668 shares held of record by Iris C. Carter, the spouse of the Reporting Person, and 91,555 shares held of record by the Paul Carter Irrevocable Trust, which shares the Reporting Person disclaims beneficial ownership. Includes 120,000 shares pursuant to the exercise of options. Also includes 67,500 shares subject to currently exercisable options held by third parties. - ------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 10.4% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! Item 1(a) Name of Issuer: Optika Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 7450 Campus Drive, Suite 200 Colorado Springs, CO 80920 Item 2(a) Name of Person Filing: Paul Carter Item 2(b) Address of Principal Business Office or, if none, Residence: 7450 Campus Drive, Suite 200 Colorado Springs, CO 80920 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. (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. 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 16, 1999 /s/ Paul Carter - -------------------- Paul Carter -----END PRIVACY-ENHANCED MESSAGE-----