-----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, Wpy2jeQV/at10nkSoYjObBlRBBGVybz9WdSiBHBdx6HXWlp+/BF4f72gZdxeR2Xa 0CK2Hfpss0Lt0id91TdxQw== 0001085037-03-000146.txt : 20030225 0001085037-03-000146.hdr.sgml : 20030225 20030225154713 ACCESSION NUMBER: 0001085037-03-000146 CONFORMED SUBMISSION TYPE: 3/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20030206 FILED AS OF DATE: 20030225 REPORTING-OWNER: COMPANY DATA: COMPANY CONFORMED NAME: FRANCIS NORMAN B CENTRAL INDEX KEY: 0001105973 RELATIONSHIP: OFFICER FILING VALUES: FORM TYPE: 3/A BUSINESS ADDRESS: STREET 1: C/O PIVOTAL CORP300 224 WEST ESPLANDE STREET 2: NORTH VANCOUVER BRITISH COLUMBIA V7M 3M CITY: CANADA MAIL ADDRESS: STREET 1: C/O PIVOTAL CORP 300 224 WEST ESPALNADE STREET 2: NORTH VANJCOUVER BRITISH COLUMBIA CANADA CITY: CANADA SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PIVOTAL CORP CENTRAL INDEX KEY: 0001086329 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-BUSINESS SERVICES, NEC [7389] IRS NUMBER: 000000000 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: 3/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-26867 FILM NUMBER: 03579312 BUSINESS ADDRESS: STREET 1: 300-244 WEST ESPLANADE STREET 2: NORTH VANCOUVER BRITISH COLUMBIA CITY: CANADA STATE: A1 ZIP: V7M 3M6 BUSINESS PHONE: 6049889982 MAIL ADDRESS: STREET 1: 300-244 WEST ESPLANADE STREET 2: NORTH VANCOUVER BRITISH COLUMBIA CITY: CANADA STATE: A1 ZIP: V7M 3M6 FORMER COMPANY: FORMER CONFORMED NAME: PIVOTAL SOFTWARE INC DATE OF NAME CHANGE: 19990512 3/A 1 fnf.htm U

FORM 3/A
U.S. SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

<R> AMENDED </R> INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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(f) of the Investment Company Act of 1940

1. Name and Address of Reporting Person*

2. Date of Event Requiring Statement for (Month/Day/Year)

4. Issuer Name and Ticker or Trading Symbol

FRANCIS

NORMAN

B.

PIVOTAL CORPORATION - PVTL

(Last)

(First)

(Middle)

2576 Bellevue

3. IRS or Social Security Number of Reporting Person (Voluntary)

 

-

5. Relationship of Reporting Persons to Issuer

(Check all applicable)

[X]Director
[X] 10% Owner
[X
] Officer (give title below)
[ ] Other (specify below)

Chairman of the Board

6. If Amendment, Date of Original (Month/Day/Year)

(Street)

7. Individual or Joint/Group Filing
(Check applicable line)

[X]Form filed by One Reporting Person

[ ]Form filed by More than One
Reporting Person

West Vancouver, B.C. V7V 1E4

(City ,State, Zip)

* If the Form is filed by more than one Reporting Person, see Instructions 5(b)(v).

Table I - Non-Derivative Services Beneficially Owned

1. Title of Security
(Instr. 4)

2 Amount of Securities
Beneficially Owned
(Inst. 4)

3. Ownership Form:
Direct (D) or
Indirect (I) (Instr. 5)

4. Nature of Indirect Beneficial Ownership
(Instr. 5)

 

 

 

 

common shares

400,800

I

held by the Francis Family Trust for the benefit of Mr. Fancis and his three children

common shares

697,143

I

held by Boardwalk Ventures Inc. a holding company owned 50% by Mr. Francis and 50% by his spouse

common shares

868,657

D

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over)

(Print or Type Response)

FORM 3 (continued) Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)

1. Title of Derivative Security
(Instr. 4)

2. Date Exercisable and Expiration Date (Month Day Year)

3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)

4. Conversion
or Exercise Price of Derivative Security

5. Ownership Form of Derivative Security: Direct (D) or Indirect (1) (Instr. 5)

6. Nature of Indirect Beneficial Ownership (Instr. 5)

Date Exercisable

Expiration Date

Title

Amount or Number of Shares

stock options

 

 

 

112,850

 

D

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

 

Explanation of Responses:   <R> The Company is a "foreign private issuer" and therefore its insiders are exempt from the reporting requirements of Section 16 of the Securities Exchange Act of 1934. This Form 3 was filed in error and no further Section 16 filings will be completed. </R>

** Intentional misstatements or omissions of facts constitute Federal Criminal Violations.

/s/ Norman B. Francis

 

February 6, 2003

See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).

**Signature of Reporting Person

 

Date

Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient,
See Instruction 6 for procedure.

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