0001104659-12-048266.txt : 20120710 0001104659-12-048266.hdr.sgml : 20120710 20120710162323 ACCESSION NUMBER: 0001104659-12-048266 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 4 FILED AS OF DATE: 20120710 DATE AS OF CHANGE: 20120710 GROUP MEMBERS: EVA MARIA BUCHER-HAEFNER GROUP MEMBERS: MARTIN HAEFNER SUBJECT COMPANY: 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: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-33739 FILM NUMBER: 12956182 BUSINESS ADDRESS: STREET 1: ONE CA PLAZA CITY: ISLANDIA STATE: NY ZIP: 11749 BUSINESS PHONE: 1-800-225-5224 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: CAREAL HOLDING AG CENTRAL INDEX KEY: 0001068730 FILING VALUES: FORM TYPE: SC 13D/A 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 SC 13D/A 1 a12-16145_1sc13da.htm SC 13D/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

 

SCHEDULE 13D

 

 

Under the Securities Exchange Act of 1934
(Amendment No. 10)*

 

CA, Inc. (formerly known as Computer Associates International, Inc.)

(Name of Issuer)

 

Common Stock, par value $0.10 per share

(Title of Class of Securities)

 

12673P105

(CUSIP Number)

 

Mr. Roger Rotach

Careal Holding AG

Utoquai 49

8022 Zurich, Switzerland

Telephone Number 41-44-269-53-16

 

Copy to:

 

Alan M. Klein, Esq.

Simpson Thacher & Bartlett LLP

425 Lexington Avenue

New York, New York 10017

(212) 455-2000

(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)

 

July 4, 2012

(Date of Event Which Requires Filing of this Statement)

If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of §§240.13d-1(e), 240.13d-1(f) or 240.13d-1(g), check the following box. o

Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See §240.13d-7 for other parties to whom copies are to be sent.

* The remainder of this cover page shall be filled out for a reporting person’s initial 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 purpose of Section 18 of the Securities Exchange Act of 1934 (“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).

 



 

CUSIP No.   12673P105

 

 

1

Names of Reporting Persons
Careal Holding AG

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds (See Instructions)
WC

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Switzerland

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
125,813,380

 

8

Shared Voting Power
0

 

9

Sole Dispositive Power
125,813,380

 

10

Shared Dispositive Power
0

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
125,813,380

 

 

12

Check if the Aggregate Amount in Row 11 Excludes Certain Shares (See Instructions)   o

 

 

13

Percent of Class Represented by Amount in Row 11
26.6% (1)

 

 

14

Type of Reporting Person (See Instructions)
CO

 


(1)  Based upon 472,348,388 shares of Common Stock outstanding as of June 5, 2012, as disclosed in the Company’s Definitive Proxy Statement that was filed by the Company with the Securities and Exchange Commission on June 11, 2012.

 

2



 

CUSIP No.   12673P105

 

 

1

Names of Reporting Persons
Martin Haefner

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds (See Instructions)
WC OF CAREAL HOLDING AG

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Switzerland

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
125,813,380

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
125,813,380

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
125,813,380

 

 

12

Check if the Aggregate Amount in Row 11 Excludes Certain Shares (See Instructions)   o

 

 

13

Percent of Class Represented by Amount in Row 11
26.6% (1)

 

 

14

Type of Reporting Person (See Instructions)
IN

 


(1)  Based upon 472,348,388 shares of Common Stock outstanding as of June 5, 2012, as disclosed in the Company’s Definitive Proxy Statement that was filed by the Company with the Securities and Exchange Commission on June 11, 2012.

 

3



 

CUSIP No.   12673P105

 

 

1

Names of Reporting Persons
Eva Maria Bucher-Haefner

 

 

2

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

 o

 

 

(b)

 x

 

 

3

SEC Use Only

 

 

4

Source of Funds (See Instructions)
WC OF CAREAL HOLDING AG

 

 

5

Check if Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e)     o

 

 

6

Citizenship or Place of Organization
Switzerland

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

7

Sole Voting Power
0

 

8

Shared Voting Power
125,813,380

 

9

Sole Dispositive Power
0

 

10

Shared Dispositive Power
125,813,380

 

 

11

Aggregate Amount Beneficially Owned by Each Reporting Person
125,813,380

 

 

12

Check if the Aggregate Amount in Row 11 Excludes Certain Shares (See Instructions)   o

 

 

13

Percent of Class Represented by Amount in Row 11
26.6% (1)

 

 

14

Type of Reporting Person (See Instructions)
IN

 


(1)  Based upon 472,348,388 shares of Common Stock outstanding as of June 5, 2012, as disclosed in the Company’s Definitive Proxy Statement that was filed by the Company with the Securities and Exchange Commission on June 11, 2012.

 

4



 

This Amendment No. 10 (this “Amendment”) to the Statement on Schedule 13D, filed on August 24, 1987, by Careal Holding AG, a Swiss corporation (“Careal”), and Mr. Walter H. Haefner, a national and resident of Switzerland, as amended on July 21, 1988, February 22, 1989, June 14, 1989, August 3, 1989, December 1, 1989, September 16, 1998, November 14, 2001, December 28, 2001 and October 30, 2003 (the “Statement”), further amends and supplements such Statement with respect to the Common Stock, par value $.10 per share (“Common Stock”), of CA, Inc.(formerly known as Computer Associates International, Inc.), a Delaware corporation (the “Company”).  All items not described herein remain as previously reported in the Statement.  Except as otherwise specified in this Amendment, all previous Items are unchanged. Capitalized terms used herein which are not defined herein have the meanings given to them in the Statement, as previously amended, filed with the Securities and Exchange Commission.

 

Careal, Martin Haefner and Eva Maria Bucher-Haefner are filing this Amendment to report the acquisition of beneficial ownership of shares of Common Stock by Martin Haefner and Eva Maria Bucher-Haefner following the death of Walter Haefner, and to add each of Martin Haefner and Eva Maria Bucher-Haefner as reporting persons and to remove Walter Haefner as a reporting person under this Schedule 13D.

 

Item 1.  Security and Issuer

 

Item 1 of the Schedule 13D is hereby amended and restated in its entirety as follows:

 

This statement relates to the Common Stock, par value $.10 per share (the “Common Stock”), of CA, Inc. (formerly known as Computer Associates International, Inc.), a Delaware corporation (the “Company”), whose address is 1 CA Plaza, Islandia, New York 11749.

 

Item 2.  Identity and Background

 

Item 2 of the Schedule 13D is hereby amended and restated in its entirety as follows:

 

(a)-(c)This statement is filed by Careal Holding AG, a Swiss corporation (“Careal”), and by each of Martin Haefner and Eva Maria Bucher-Haefner, each of whom is a citizen and resident of Switzerland. Careal is a holding company of which 50% of the shares are owned by Martin Haefner and 50% of the shares are owned by Ms. Bucher-Haefner. Through its subsidiaries, Careal is primarily engaged in a wholesale and retail distributorship in Switzerland for foreign automobiles and parts and in a real estate business in Switzerland.  Martin Haefner is Chairman and President of Careal and Ms. Bucher-Haefner is director of the board of Careal.  The principal place of business of each of Careal, Martin Haefner and Ms. Bucher- Haefner is Utoquai 49, 8022 Zurich, Switzerland.

 

The information required by this Item with respect to the other directors and executive officers of Careal is furnished in Schedule A attached hereto and incorporated herein by reference.

 

(d)-(e)  During the last five years neither Careal nor any of its directors or executive officers, including Martin Haefner and Ms. Bucher-Haefner, has been (i) convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors) or (ii) a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, United States federal or state securities laws or finding any violation with respect to such laws.

 

Item 4.  Purpose of Transaction.

 

Item 4 of the Schedule 13D is hereby amended and restated in its entirety as follows:

 

Careal intends to hold the Common Stock owned by it for general investment purposes. Careal also intends to review on a continuing basis its investment in the Company and may increase or decrease such investment through sales or purchases of Common Stock in the open market, in privately negotiated transactions or otherwise.

 

5



 

The extent of any such increase or decrease would depend upon the price and availability of the Common Stock, the then-current number of shares of Common Stock owned by Careal, the availability of funds to Careal, developments affecting the Company, the Company’s business and prospects, other investment and business opportunities available to Careal, general stock market and economic conditions, tax considerations and other relevant factors. Except as set forth in the two preceding sentences, none of Careal, Martin Haefner or Ms. Bucher-Haefner has any present plans or proposals which relate to or would result in the occurrence of any of the events listed in Item 4 of Schedule 13D.

 

Item 5.  Interest in Securities of the Issuer

 

Item 5 of the Schedule 13D is hereby amended and restated in its entirety as follows:

 

(a)-(b) As of the date hereof, Careal is the owner of record of 125,813,380 shares of Common Stock, representing approximately 26.6% of the Common Stock outstanding based upon 472,348,388 shares of Common Stock outstanding as of June 5, 2012, as disclosed in the Company’s Definitive Proxy Statement filed with the Securities and Exchange Commission on June 11, 2012.  As the owner of 50% of the shares of Careal, each of Martin Haefner and Ms. Bucher-Haefner may be deemed to be the beneficial owner of such 125,813,380 shares of Common Stock and each may be deemed to have shared voting and dispositive power with respect thereto.

 

Other than the 125,813,380 shares of Common Stock owned of record by Careal and that may be deemed to be beneficially owned by Martin Haefner and Ms. Bucher-Haefner, to the best knowledge of Careal, none of its other directors or executive officers are the beneficial owners of, nor do any of them have a right to acquire, directly or indirectly, shares of Common Stock.

 

(c) Following the death of Walter Haefner, previously the sole shareholder of Careal, the shares of Careal became property of Walter Haefner’s estate and were then transferred on July 4, 2012 to his children, Martin Haefner and Ms. Bucher-Haefner, each of whom now owns 50% of the shares of Careal.  Other than these transactions, none of Careal, Martin Haefner or Ms. Bucher-Haefner has effected any transactions in shares of Common Stock in the past 60 days.

 

(d) Other than Careal, Martin Haefner and Ms. Bucher-Haefner, no person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the 125,813,380 shares of Common Stock owned of record by Careal.

 

(e) Following his death on June 19, 2012, Walter Haefner is no longer a reporting person under this Schedule 13D.

 

Item 7. Material to be Filed as Exhibits.

 

Item 7 of the Schedule 13D is hereby amended by adding the exhibits listed below:

 

The following exhibits are filed as exhibits hereto:

 

Exhibit

 

Description of Exhibit

5

 

Joint Filing Agreement

6

 

Power of Attorney for Martin Haefner

7

 

Power of Attorney for Eva Maria Bucher-Haefner

 

6



 

SIGNATURE

 

After reasonable inquiry and to the best of their knowledge and belief, the undersigned certify that the information set forth in this statement is true, complete and correct.

 

July 10, 2012

 

 

CAREAL HOLDING AG

 

 

 

By: Martin Haefner, Chairman and President

 

 

 

 

 

 

By:

/s/ Claude Lambert

 

 

 

Claude Lambert

 

 

 

Attorney-in-fact for Martin Haefner

 

 

 

 

 

MARTIN HAEFNER

 

 

 

 

 

By:

/s/ Claude Lambert

 

 

Claude Lambert, attorney-in-fact

 

 

 

 

 

EVA MARIA BUCHER-HAEFNER

 

 

 

 

 

By:

/s/ Claude Lambert

 

 

Claude Lambert, attorney-in-fact

 

7



 

SCHEDULE A TO THE SCHEDULE 13D of CAREAL HOLDING AG

 

Name, Business Address and Citizenship(1)

 

Present Principal Occupation and Employer

Martin Haefner

 

Chairman and President, Careal Holding AG

Eva Maria Bucher-Haefner

 

Director of the Board, Careal Holding AG

Josef Felder

 

Director of the Board, Careal Holding AG

Peter Widmer

 

Director of the Board, Careal Holding AG

Roger Rotach

 

Executive Vice President and Chief Financial Officer

Paul Räss

 

Vice President - Finance

Clelia Schmid

 

Vice President - Retirement Funds

 


(1)  The business address of each is Careal Holding AG, Utoquai 49, 8022 Zurich, Switzerland, and each is a citizen of Switzerland.

 

8



 

EXHIBIT INDEX

 

Exhibit

 

Description of Exhibit

5

 

Joint Filing Agreement

6

 

Power of Attorney for Martin Haefner

7

 

Power of Attorney for Eva Maria Bucher-Haefner

 

9


EX-99.5 2 a12-16145_1ex99d5.htm EX-99.5

EXHIBIT 5

 

JOINT FILING AGREEMENT

 

Pursuant to and in accordance with the Securities Exchange Act of 1934, as amended (the “Exchange Act”), and the rules and regulations thereunder, each party hereto hereby agrees to the joint filing, on behalf of each of them, of any filing required by such party under Section 13 or Section 16 of the Exchange Act or any rule or regulation thereunder (including any amendment, restatement, supplement, and/or exhibit thereto) with the Securities and Exchange Commission (and, if such security is registered on a national securities exchange, also with the exchange), and further agrees to the filing, furnishing, and/or incorporation by reference of this agreement as an exhibit thereto. This agreement shall remain in full force and effect until revoked by any party hereto in a signed writing provided to each other party hereto, and then only with respect to such revoking party.

 

IN WITNESS WHEREOF, each party hereto, being duly authorized, has caused this agreement to be executed and effective as of the date set forth below.

 

 

July 10, 2012

 

 

CAREAL HOLDING AG

 

 

 

By:

Martin Haefner, Chairman and President

 

 

 

 

 

 

 

 

By:

/s/ Claude Lambert

 

 

 

Claude Lambert

 

 

 

Attorney-in-fact for Martin Haefner

 

 

 

 

 

MARTIN HAEFNER

 

 

 

 

 

By:

/s/ Claude Lambert

 

 

Claude Lambert, attorney-in-fact

 

 

 

 

 

EVA MARIA BUCHER-HAEFNER

 

 

 

 

 

By:

/s/ Claude Lambert

 

 

Claude Lambert, attorney-in-fact

 


EX-99.6 3 a12-16145_1ex99d6.htm EX-99.6

EXHIBIT 6

 

POWER OF ATTORNEY

 

Know all by these presents, that the undersigned hereby constitutes and appoints Claude Lambert and with full power of substitution, the undersigned’s true and lawful attorney-in-fact to:

 

(1)                                  prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the U.S. Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Sections 13(d) and/or 16(a) of the Securities Exchange Act of 1934, as amended (the “Act”) or any rule or regulation of the SEC;

 

(2)                                  execute for and on behalf of the undersigned, in the undersigned’s individual capacity and/or as an officer and/or director of Careal Holding AG, such forms as may be required to be filed from time to time with the SEC with respect to Sections 13(d) and 16(a) of the Act and the rules thereunder, including without limitation, Schedule 13D, Schedule 13G and statements on Form 3, Form 4 and Form 5, and any amendments thereto;

 

(3)                                  do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Schedule 13D, Schedule 13G and Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

 

(4)                                  take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

 

The undersigned hereby grants to such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.  The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of the undersigned, is not assuming any of the undersigned’s responsibilities to comply with Section 13 or Section 16 of the Act.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Schedule 13D, Schedule 13G and Forms 3, 4, and 5 with respect to the undersigned’s holdings of and transactions in securities of CA, Inc., unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorney-in-fact.

 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 9th day of July, 2012

 

 

 

/s/ Martin Haefner

 

Signature

 

 

 

Martin Haefner

 

Print Name

 


EX-99.7 4 a12-16145_1ex99d7.htm EX-99.7

EXHIBIT 7

 

POWER OF ATTORNEY

 

Know all by these presents, that the undersigned hereby constitutes and appoints Claude Lambert and with full power of substitution, the undersigned’s true and lawful attorney-in-fact to:

 

(1)                                  prepare, execute in the undersigned’s name and on the undersigned’s behalf, and submit to the U.S. Securities and Exchange Commission (the “SEC”) a Form ID, including amendments thereto, and any other documents necessary or appropriate to obtain codes and passwords enabling the undersigned to make electronic filings with the SEC of reports required by Sections 13(d) and/or 16(a) of the Securities Exchange Act of 1934, as amended (the “Act”) or any rule or regulation of the SEC;

 

(2)                                  execute for and on behalf of the undersigned, in the undersigned’s individual capacity and/or as an officer and/or director of Careal Holding AG, such forms as may be required to be filed from time to time with the SEC with respect to Sections 13(d) and 16(a) of the Act and the rules thereunder, including without limitation, Schedule 13D, Schedule 13G and statements on Form 3, Form 4 and Form 5, and any amendments thereto;

 

(3)                                  do and perform any and all acts for and on behalf of the undersigned which may be necessary or desirable to complete and execute any such Schedule 13D, Schedule 13G and Form 3, 4, or 5, complete and execute any amendment or amendments thereto, and timely file such form with the SEC and any stock exchange or similar authority; and

 

(4)                                  take any other action of any type whatsoever in connection with the foregoing which, in the opinion of such attorney-in-fact, may be of benefit to, in the best interest of, or legally required by, the undersigned, it being understood that the documents executed by such attorney-in-fact on behalf of the undersigned pursuant to this Power of Attorney shall be in such form and shall contain such terms and conditions as such attorney-in-fact may approve in such attorney-in-fact’s discretion.

 

The undersigned hereby grants to such attorney-in-fact full power and authority to do and perform any and every act and thing whatsoever requisite, necessary, or proper to be done in the exercise of any of the rights and powers herein granted, as fully to all intents and purposes as the undersigned might or could do if personally present, with full power of substitution or revocation, hereby ratifying and confirming all that such attorney-in-fact, or such attorney-in-fact’s substitute or substitutes, shall lawfully do or cause to be done by virtue of this power of attorney and the rights and powers herein granted.  The undersigned acknowledges that the foregoing attorney-in-fact, in serving in such capacity at the request of the undersigned, is not assuming any of the undersigned’s responsibilities to comply with Section 13 or Section 16 of the Act.

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Schedule 13D, Schedule 13G and Forms 3, 4, and 5 with respect to the undersigned’s holdings of and transactions in securities of CA, Inc., unless earlier revoked by the undersigned in a signed writing delivered to the foregoing attorney-in-fact.

 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 9th day of July, 2012

 

 

 

/s/ Eva Maria Bucher-Haefner

 

Signature

 

 

 

Eva Maria Bucher-Haefner

 

Print Name