-----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, O+D81Qf4dpdHWiseYyaBcC9MEks43FYwiKiLmT6JAd4zTsHjcw26sO0AmyLt4qam HaZ+GIxPiU5m0qFf7gQKlw== 0000893750-01-500596.txt : 20020412 0000893750-01-500596.hdr.sgml : 20020412 ACCESSION NUMBER: 0000893750-01-500596 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20011130 FILED AS OF DATE: 20011210 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COMPUTER ASSOCIATES INTERNATIONAL INC CENTRAL INDEX KEY: 0000356028 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 132857434 STATE OF INCORPORATION: DE FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09247 FILM NUMBER: 1810519 BUSINESS ADDRESS: STREET 1: ONE COMPUTER ASSOCIATES PLAZA CITY: ISLANDIA STATE: NY ZIP: 11749 BUSINESS PHONE: 6313425224 MAIL ADDRESS: STREET 1: ONE COMPUTER ASSOCIATES PLAZA CITY: ISLANDIA STATE: NY ZIP: 11749 COMPANY DATA: COMPANY CONFORMED NAME: CAREAL HOLDING AG CENTRAL INDEX KEY: 0001068730 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: P O BOX 5073 STREET 2: ZURICH 8022 CITY: SWITZERLAND BUSINESS PHONE: 4112695353 MAIL ADDRESS: STREET 1: P O BOX 5073 STREET 2: ZURICH 8022 CITY: SWITZERLAND 4 1 form4.txt FORM 4 ---------------------------- OMB APPROVAL ---------------------------- OMB Number: 3235-0287 Expires: December 31, 2001 Estimated average burden hours response..........0.5 ---------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 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(f) 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). (Print or Type Responses) ______________________________________________________________________________ 1. Name and Address of Reporting Person* Careal Holding AG - -------------------------------------------------------------------------------- (Last) (First) (Middle) Utoquai 49 - -------------------------------------------------------------------------------- (Street) Zurich Switzerland 8022 - -------------------------------------------------------------------------------- (City) (State) (Zip) ________________________________________________________________________________ 2. Issuer Name and Ticker or Trading Symbol Computer Associates International, Inc. (CA) ________________________________________________________________________________ 3. IRS Identification Number of Reporting Person, if an Entity (Voluntary) ________________________________________________________________________________ 4. Statement for Month/Year 11/01 ________________________________________________________________________________ 5. If Amendment, Date of Original (Month/Year) ________________________________________________________________________________ 6. Relationship of Reporting Persons to Issuer (Check all applicable) [_] Director [X] 10% Owner [_] Officer (give title below) [_] Other (specify below) ________________________________________________________________________________ 7. Individual or Joint/Group Filing (Check applicable line) [_] Form filed by One Reporting Person [X] Form filed by More than One Reporting Person ________________________________________________________________________________ ================================================================================ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/07/01 S 754,600 D $29.7499 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/08/01 S 550,000 D $28.6874 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/09/01 S 550,000 D $28.1761 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/22/01 S 200,000 D $30.6047 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/28/01 S 300,000 D $31.6238 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/29/01 S 300,000 D $33.2454 - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 11/30/01 S 588,500 D $33.8400 119,844,400 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
* If the form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Page 1 of 3) SEC 1474 (3-99) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
10. 9. Owner- Number ship of Form 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature or Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4, and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ==================================================================================================================================== (1) These shares are owned directly by Careal Holding AG ("Careal") and indirectly by Walter H. Haefner as Chairman and President, and sole owner, of Careal.
/s/ Walter H. Haefner December 10, 2001 - --------------------------------------------- ----------------------- **Signature of Reporting Person Date Walter H. Haefner Chairman and President Careal Holding AG ** 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. (Page 2 of 3) SEC 1474 (3-99) FORM 4 (continued) Joint Filer Information Name: Walter H. Haefner Address: Utoquai 49, 8022 Zurich, Switzerland Designated Filer: Careal Holding AG Issuer & Ticker Symbol: Computer Associates International, Inc. (CA) Statement for Month/Year: 11/01 Signature: /s/ Walter H. Haefner ___________________________ Walter H. Haefner (Page 3 of 3) SEC 1474 (3-99) -----END PRIVACY-ENHANCED MESSAGE-----