-----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, M/nKqfYDmhqAh+DmOIJ35JjRdjDLLOr7tS+GpKP4yVh8hBgitk0gur2cHQTl3GyD hSk70Z40Jmy1rgB+ev12ng== 0000950123-06-011606.txt : 20060914 0000950123-06-011606.hdr.sgml : 20060914 20060914172518 ACCESSION NUMBER: 0000950123-06-011606 CONFORMED SUBMISSION TYPE: 8-K PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20060914 ITEM INFORMATION: Other Events ITEM INFORMATION: Financial Statements and Exhibits FILED AS OF DATE: 20060914 DATE AS OF CHANGE: 20060914 FILER: COMPANY DATA: COMPANY CONFORMED NAME: CA, 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: 8-K SEC ACT: 1934 Act SEC FILE NUMBER: 001-09247 FILM NUMBER: 061091639 BUSINESS ADDRESS: STREET 1: ONE CA PLAZA CITY: ISLANDIA STATE: NY ZIP: 11749 BUSINESS PHONE: 6313423550 MAIL ADDRESS: STREET 1: ONE CA PLAZA CITY: ISLANDIA STATE: NY ZIP: 11749 FORMER COMPANY: FORMER CONFORMED NAME: COMPUTER ASSOCIATES INTERNATIONAL INC DATE OF NAME CHANGE: 19920703 8-K 1 y25036e8vk.htm FORM 8-K FORM 8-K
 

 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
FORM 8-K
CURRENT REPORT PURSUANT
TO SECTION 13 OR 15(d) OF THE
SECURITIES EXCHANGE ACT OF 1934
Date of Report: September 14, 2006
(Date of earliest event reported)
CA, Inc.
(Exact name of registrant as specified in its charter)
Delaware
(State or other jurisdiction of incorporation)
     
1-9247   13-2857434
(Commission File Number)   (IRS Employer Identification No.)
     
One CA Plaza    
Islandia, New York   11749
(Address of Principal Executive Offices)   (Zip Code)
(631) 342-6000
(Registrant’s Telephone Number, Including Area Code)
Not applicable
(Former name or former address, if changed since last report.)
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2 below):
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
 
 

 


 

Item 8.01 Other Events.
     On September 14, 2006, CA, Inc. (“CA”) issued a press release announcing that the U.S. Attorney's Office for the Eastern District of New York has extended the term of CA's Independent Examiner to May 1, 2007 or such earlier date as the U.S. Attorney’s Office in its discretion determines in the future under the terms of the Deferred Prosecution Agreement, dated September 22, 2004. A copy of the press release and a letter dated September 14, 2006 from the U.S. Attorney’s Office informing the United States District Court, Eastern District of New York, of the extension is attached as Exhibit 99.1 hereto and is incorporated herein by reference.
Item 9.01. Financial Statements and Exhibits.
(d) Exhibits
     
Exhibit No.   Description
Exhibit 99.1
  Press Release dated September 14, 2006.

 


 

SIGNATURES
     Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
         
  CA, INC.
 
 
Date: September 14, 2006  By:   /s/ Kenneth V. Handal    
    Kenneth V. Handal   
    Executive Vice President, Governance, Co-General Counsel and Corporate Secretary   
 

 

EX-99.1 2 y25036exv99w1.htm EX-99.1: PRESS RELEASE EX-99.1
 

         
Contacts:
  Dan Kaferle   Olivia Bellingham
 
  Public Relations   Investor Relations
 
  (631) 342-2111   (631) 342-4687
 
  daniel.kaferle@ca.com   olivia.bellingham@ca.com
CA ANNOUNCES THAT TERM OF INDEPENDENT EXAMINER EXTENDED
TO MAY 1, 2007
ISLANDIA, N.Y., September 14, 2006 — CA (NYSE:CA) today announced that the U.S. Attorney’s Office for the Eastern District of New York has extended the term of the Company’s Independent Examiner to May 1, 2007 or such earlier date as the U.S. Attorney’s Office in its discretion determines in the future under the terms of the Deferred Prosecution Agreement (DPA), dated September 22, 2004. The Independent Examiner’s term was scheduled to expire on September 16, 2006.
In the attached filing with the United States District Court, Eastern District of New York, the U.S. Attorney’s Office, the Securities and Exchange Commission (SEC), the Independent Examiner and CA all agreed that the extension was appropriate given the control environment and commission-related material weaknesses announced in the Company’s Annual Report on Form 10-K for the fiscal year ended March 31, 2006 and filed on July 31, 2006, and issues concerning the reorganization of CA’s Finance Department to be addressed by CA's new chief financial officer. During the extension period, the Independent Examiner intends to focus primarily on those issues.
Beyond the control issues identified, the U.S. Attorney’s Office advised the Court that CA has, to date, substantially complied with the terms of the DPA. If the control issues described above are resolved by May 1, 2007 or such earlier date as the U.S. Attorney's Office in its discretion determines, and CA is otherwise in compliance with the DPA, the U.S. Attorney's Office will seek the Court's dismissal with prejudice of the information filed against CA shortly after the Independent Examiner issues his final report, and the SEC also will evaluate CA's compliance with the civil final judgment.
About CA
CA (NYSE:CA), one of the world’s largest information technology (IT) management software companies, unifies and simplifies the management of enterprise-wide IT. Founded in 1976, CA is headquartered in Islandia, N.Y., and serves customers in more than 140 countries. For more information, please visit http://ca.com
# # #
Copyright © 2006 CA. All Rights Reserved. One CA Plaza, Islandia, N.Y. 11749. All trademarks, trade names, service marks, and logos referenced herein belong to their respective companies.
Addendum: U.S. Attorney’s Office letter


 

 
     
 
  U.S. Department of Justice
 
   
 
  United States Attorney
 
  Eastern District of New York
 
   
 
  One Pierrepont Plaza
 
  Brooklyn, New York 11201
 
   
Mailing Address:
  147 Pierrepont Street
 
  Brooklyn, New York 11201
 
   
 
  September 14, 2006


By ECF
The Honorable I. Leo Glasser
United States District Judge
Eastern District of New York
225 Cadman Plaza East
Brooklyn, NY 11201
  Re:   United States v. CA, Inc.
Docket Nos. 04-CR-837; 04-CV-4088 (ILG)
Dear Judge Glasser:
          This letter is respectfully submitted to inform the Court that the United States Attorney’s Office for the Eastern District of New York (“USAO”) has determined to extend the term of Lee Richards, Esq., as Independent Examiner (“IE”) in the above-referenced case to May 1, 2007 (or such earlier date as the USAO, in its discretion, determines in the future) under the terms of the Deferred Prosecution Agreement (“DPA”) dated September 22, 2004. The IE’s term was otherwise set to expire on September 16, 2006. The IE is appointed pursuant to both the DPA and the Civil Final Judgment in the above-referenced SEC action.
          The extension is made pursuant to paragraph 22 of the DPA and with the consent of CA, Inc., formerly known as Computer Associates International, Inc. (“CA”). Paragraph 22 provides that the IE’s term may be extended by the USAO, in its discretion, if at the end of the IE’s initial 18-month term, (1) “less than all recommended reforms (to the extent deemed significant by the [USAO]) have been substantially implemented for at least two successive quarters,” or (2) “significant exceptions have been noted in the course of the [IE’s] most recent quarterly review.” (DPA ¶ 22.)
          The IE’s most recent report, dated June 15, 2006, described certain issues regarding CA’s “internal accounting controls” ( ¶19(b)), and “reorganization of the CA Finance Department” (¶ 15). At this time, the USAO, SEC, IE and CA believe that the proposed extension to May 1, 2007 is appropriate in light of (i) the control-environment and commission-related Material Weaknesses announced in the Form 10-K filed by CA on July 31, 2006, a copy


 

2

of which is annexed hereto, and (ii) issues concerning the reorganization of the CA Finance Department to be addressed by the Company’s new Chief Financial Officer, appointed August 15, 2006. The commission-accrual errors caused the financial reporting for CA’s third quarter for Fiscal Year 2006 to be materially incorrect and resulted in CA restating its financial results for that quarter. In addition, issues surrounding the Company’s commission expenses were a factor in the recent departure of several high-level CA executives. During the period of the extension, the IE intends to focus his review primarily on these issues.
          Beyond the control issues identified in the IE’s most recent report, CA has, to date, substantially complied with the terms of the DPA. Among other things, CA has paid $225 million in restitution to current and former shareholders damaged by CA’s past accounting misconduct (DPA ¶ 3, 8); cooperated with the USAO and the SEC, including in connection with the USAO’s criminal prosecutions and the SEC’s civil proceedings involving former CA executives (¶ 5-6, 21); added three new independent directors to its Board of Directors (¶ 12(a)); and implemented substantial additional reforms to its corporate governance practices. If the control issues described above are resolved by May 1, 2007 (or such earlier date as the USAO, in its discretion, determines) and CA is otherwise in compliance with the DPA, the USAO will seek the Court’s dismissal with prejudice of the Information filed against CA shortly after the IE issues his final report (¶ 24), and the SEC also will evaluate CA’s compliance with the civil final judgment.
             
 
      Respectfully submitted,    
 
           
 
      ROSLYNN R. MAUSKOPF    
 
      United States Attorney    
 
           
 
  By:   /s/ Eric Komitee    
 
           
 
      Eric R. Komitee    
 
      Jason Jones    
 
      Assistant U.S. Attorneys    
 
      (718) 254-6240 / 7553    
Enclosure
         
cc:
  Lee Richards, Esq.    
 
  Independent Examiner    
 
       
 
  Alex Vasilescu, Esq.    
 
  Securities and Exchange Commission    
 
       
 
  Robert Giuffra, Esq.    
 
  Counsel to CA, Inc.    

 

-----END PRIVACY-ENHANCED MESSAGE-----