-----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, GgjbBNpRwZLjN9Se9fNNgY2DhyLVrgHLSJmpXBkCyJmylsleylBYKcc49ej5ggy+ gxtmzY3Noh9BF6eJDOMndw== 0000902664-02-000203.txt : 20020414 0000902664-02-000203.hdr.sgml : 20020414 ACCESSION NUMBER: 0000902664-02-000203 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COGNOS INC CENTRAL INDEX KEY: 0000746782 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 980119485 STATE OF INCORPORATION: CA FISCAL YEAR END: 0228 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39274 FILM NUMBER: 02541253 BUSINESS ADDRESS: STREET 1: 3755 RIVERSIDE DR STREET 2: PO BOX 9707 CITY: OTTAWA ONTARIO CAN K STATE: A6 ZIP: 00000 BUSINESS PHONE: 6137381440 MAIL ADDRESS: STREET 1: 3755 RIVERSIDE DR STREET 2: POST OFFICE BOX 9707 CITY: ONTARIO FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: POTTER MICHAEL U CENTRAL INDEX KEY: 0001094616 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: SIXTY-TWO JOHN STREET STREET 2: OTTAWA ONTARIO CITY: CANADA K1M 1M3 STATE: A6 ZIP: 00000 SC 13G/A 1 srz9170757v2.txt COGNOS INCORPORATED SC 13G/A SECURITIES & EXCHANGE COMMISSION Washington, D.C. 20549 ---------------------- SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (Amendment No. 1)* Cognos Incorporated (Name of Issuer) Common Stock (Title of Class of Securities) 19244C109 (CUSIP Number) December 31, 2001 (Date of event which requires filing of this statement) (Page 1 of 10 Pages) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [ x ] Rule 13d-1(c) [ ] Rule 13d-1(d) - -------------- *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 the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for purposes 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. 19244C109 13G Page 2 of 10 Pages - ----------------------------------------------------------------------------- (1) NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Michael U. Potter - ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [x] (b) [ ] - ----------------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Canada - ----------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 44,012 SHARES -------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 10,240,400 OWNED BY -------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 44,012 REPORTING -------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 10,240,400 - ----------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,284,412 See Item 4. - ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ----------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.7% - ----------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** IN - ----------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 19244C109 13G Page 3 of 10 Pages - ----------------------------------------------------------------------------- (1) NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Sussex Capital Inc. - ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [x] (b) [ ] - ----------------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Canada - ----------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 35,012 SHARES -------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 10,240,400 OWNED BY -------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 35,012 REPORTING -------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 10,240,400 - ----------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,284,412 See Item 4. - ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ----------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.7% - ----------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** CO - ----------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 19244C109 13G Page 4 of 10 Pages - ----------------------------------------------------------------------------- (1) NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 3088-9372 Quebec Inc. - ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [x] (b) [ ] - ----------------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Canada - ----------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 218 SHARES -------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 120,400 OWNED BY -------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 218 REPORTING ------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 120,400 - ----------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,284,412 See Item 4. - ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ----------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.7% - ----------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** CO - ----------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 19244C109 13G Page 5 of 10 Pages - ----------------------------------------------------------------------------- (1) NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) 9036-8747 Quebec Inc. - ----------------------------------------------------------------------------- (2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP ** (a) [x] (b) [ ] - ----------------------------------------------------------------------------- (3) SEC USE ONLY - ----------------------------------------------------------------------------- (4) CITIZENSHIP OR PLACE OF ORGANIZATION Canada - ----------------------------------------------------------------------------- NUMBER OF (5) SOLE VOTING POWER 16,646 SHARES -------------------------------------------------------------- BENEFICIALLY (6) SHARED VOTING POWER 4,270,000 OWNED BY -------------------------------------------------------------- EACH (7) SOLE DISPOSITIVE POWER 16,646 REPORTING -------------------------------------------------------------- PERSON WITH (8) SHARED DISPOSITIVE POWER 4,270,000 - ----------------------------------------------------------------------------- (9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 10,284,512 See Item 4. - ----------------------------------------------------------------------------- (10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES ** [ ] - ----------------------------------------------------------------------------- (11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 11.7% - ----------------------------------------------------------------------------- (12) TYPE OF REPORTING PERSON ** CO - ----------------------------------------------------------------------------- ** SEE INSTRUCTIONS BEFORE FILLING OUT! CUSIP No. 19244C109 13G Page 6 of 10 Pages Item 4. Ownership. Item 4 is hereby amended and restated as follows: Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1. (a) Amount beneficially owned: As of January 28,2002, the Reporting Persons, as a group, may be deemed to beneficially own, in the aggregate, 10,284,412 Shares representing approximately 11.7% of the Shares outstanding (based on 87,714,902 Shares outstanding as reported in the Issuer's Report on Form 10-Q for the period ending November 30, 2001). All numbers of Shares beneficially owned listed below is stated as of January 28, 2002. (1) Quebec II directly owns 16,646 Shares. Quebec II also is a holder of 50% of the voting power of the following corporations and, accordingly, may be deemed to own beneficially (as that term is defined in Rule 13d-3 under the Exchange Act) the Shares as to which Canada 13 through Canada 16 possess direct beneficial ownership: (A) 3497801 Canada Inc. ("Canada 13") directly owns 1,000,000 Shares; (B) 3539504 Canada Inc. ("Canada 14") directly owns 1,090,000 Shares; (C) 3539555 Canada Inc. ("Canada 15") directly owns 1,090,000 Shares; and (D) 3539571 Canada Inc. ("Canada 16") directly owns 1,090,000 Shares. (2) Quebec I directly owns 218 Shares. Quebec I also is a holder of 50% of the voting power of the following corporations and, accordingly, may be deemed to own beneficially the Shares as to which Canada 10 and Canada 11 possess direct beneficial ownership: (A) 3539130 Canada Inc. ("Canada 10") directly owns 94,000 Shares; and (B) 3539156 Canada Inc. ("Canada 11") directly owns 26,400 Shares. (3) SCI directly owns 18,148 Shares. SCI also is a holder of 50% of the voting power of the following corporations and, accordingly, may be deemed to own beneficially the Shares to which Canada 2 through Canada 8 possess direct beneficial ownership: (A) 3497704 Canada Inc. ("Canada 2") directly owns 800,000 Shares; (B) 3539202 Canada Inc. ("Canada 3") directly owns 850,000 Shares; (C) 3539211 Canada Inc. ("Canada 4") directly owns 850,000 Shares; (D) 3539229 Canada Inc. ("Canada 5") directly owns 850,000 Shares; (E) 3539334 Canada Inc. ("Canada 6") directly owns 850,000 Shares; (F) 3539393 Canada Inc. ("Canada 7") directly owns 850,000 Shares; and (G) 3539423 Canada Inc. ("Canada 8") directly owns 800,000 Shares. Also, SCI, as the sole shareholder of Quebec I and Quebec II, may be deemed to own beneficially the Shares to which Quebec I and Quebec II possess beneficial ownership. CUSIP No. 19244C109 13G Page 7 of 10 Pages (4) Mr. Potter directly owns 9,000 Shares. Mr. Potter, as the sole shareholder of SCI, may be deemed to own beneficially the Shares as to which SCI possesses beneficial ownership. He may also be deemed to own beneficially the Shares as to which Quebec I and Quebec II possess beneficial ownership. The Reporting Persons disclaim the existence of a group with Canada 2 through Canada 16. Except as described herein, the Reporting Persons have no contracts, arrangements, understanding or relations (legal or otherwise) with Canada 2 through Canada 16 or with any other person with respect to the Shares, including but not limited to the transfer or voting of any of the Shares. Each of Canada 2 through Canada 16 do not beneficially own more than 5 percent of the Issuer's Shares, and accordingly, do not have an obligation under Section 13(d) to file a beneficial ownership report. (b) Percent of class: As of January 28, 2002, the Reporting Persons, as a group, may be deemed to beneficially own, in the aggregate, 10,284,412 Shares representing approximately 11.7% of the Shares outstanding (based on 87,714,902 Shares outstanding as reported in the Issuer's Report on Form 10-Q for the period ending November 30, 2001). Each of the Reporting Persons has the ownership percentages set forth next to its name: (1) Mr. Potter beneficially owns 11.7% in the aggregate. (2) SCI beneficially owns 11.7% in the aggregate. (3) Quebec I beneficially owns 0.1% in the aggregate. (4) Quebec II beneficially owns 4.9% in the aggregate. (c) Number of shares as to which such person has (i) sole power to vote or to direct the vote; (ii) shared power to vote or to direct the vote; (iii) sole power to dispose or to direct the disposition of; and (vi) shared power to dispose or to direct the disposition of: (1) Mr. Potter has sole voting and dispositive power over 44,102 Shares and shared voting and dispositive power over 10,240,400 Shares. (2) SCI has sole voting and dispositive power over 35,012 Shares and shared voting and dispositive power over 10,240,400 Shares. (3) Quebec I has sole voting and dispositive power over 218 Shares and shared voting and dispositive power over 120,400 Shares. (4) Quebec II has sole voting and dispositive power over 16,646 Shares and shared voting and dispositive power over 4,270,000 Shares. CUSIP No. 19244C109 13G Page 8 of 10 Pages The voting and dispositive power over the Shares held by Canada 2 through Canada 16 are shared with The Windsor Trust, a trust that resides in Barbados, who holds 50% of the voting shares of Canada 2 through Canada 16. The Windsor Trust was organized under the laws of Barbados and its business address is Royal Bank House, The Garrison, St.-Michael, Barbados. Mr. Potter is neither the settlor, the trustee nor the beneficiary of The Windsor Trust. CUSIP No. 19244C109 13G Page 9 of 10 Pages SIGNATURES After reasonable inquiry and to the best of knowledge and belief of the undersigned, the undersigned certify that the information set forth in this statement is true, complete and correct. DATED: January 31, 2002 /s/ MICHAEL U. POTTER Michael U. Potter, as an individual SUSSEX CAPITAL INC. By: /s/ MICHAEL U. POTTER Michael U. Potter, as President of Sussex Capital Inc. 3088-9372 QUEBEC INC. By: /s/ PIERRE DUFOUR Pierre Dufour, as President and Secretary of 3088-9372 Quebec Inc. 9036-8747 QUEBEC INC. By: /s/ PIERRE DUFOUR Pierre Dufour, as President and Secretary of 9036-8747 Quebec Inc. CUSIP No. 19244C109 13G Page 10 of 10 Pages EXHIBIT 1 JOINT FILING AGREEMENT PURSUANT TO RULE 13D-1(k) Michael U. Potter, Sussex Capital Inc., 3088-9372 Quebec Inc. and 9036-8747 Quebec Inc. each hereby agrees that (i) the Schedule 13G filed on December 20, 2001 and any amendments thereto and (ii) this Amendment No. 1 to the Schedule 13G, each relating to the holding of shares of Common Stock of Cognos Incorporated are filed jointly on behalf of such person. DATED: January 31, 2002 /s/ MICHAEL U. POTTER Michael U. Potter, as an individual SUSSEX CAPITAL INC. By: /s/ MICHAEL U. POTTER Michael U. Potter, as President of Sussex Capital Inc. 3088-9372 QUEBEC INC. By: /s/ PIERRE DUFOUR Pierre Dufour, as President and Secretary of 3088-9372 Quebec Inc. 9036-8747 QUEBEC INC. By: /s/ PIERRE DUFOUR Pierre Dufour, as President and Secretary of 9036-8747 Quebec Inc. -----END PRIVACY-ENHANCED MESSAGE-----