UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
(Rule 13d-101)
Information to be Included in Statements Filed
Pursuant to Rule 13d-1(a) and Amendments Thereto Filed Pursuant to
Rule 13d-2(a)
Under the Securities Exchange Act of 1934
(Amendment No. 9)
Computer Associates International, Inc.
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(Name of Issuer)
Common Stock, par value $.10 per share
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(Title of Class of Securities)
204912109
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(CUSIP Number)
Mr. Roger Rotach
Careal Holding AG
Utoquai 49,
8022 Zurich, Switzerland
411-269-53-53
Copy to:
Richard A. Miller, Esq.
Simpson Thacher & Bartlett
425 Lexington Avenue, New York, New York 10017
212-455-2000
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(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
October 9, 2003
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(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 which is the subject of this Schedule 13D, and is
filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box [_].
Note: Schedules filed in paper format shall include a signed
original and five copies of the schedule, including all exhibits. See
Rule 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).
Page 1 of 7
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CUSIP No. 204912109 Page 2 of 7
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
Careal Holding AG
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [_]
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3 SEC USE ONLY
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4 SOURCES OF FUNDS:
WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e)
[_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Switzerland
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NUMBER OF 7 SOLE VOTING POWER
SHARES 125,813,380
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BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 0
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EACH 9 SOLE DISPOSITIVE POWER
PERSON 125,813,380
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WITH 10 SHARED DISPOSITIVE POWER
0
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
125,813,380
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES:
[_]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
21.73%
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14 TYPE OF REPORTING PERSON:
CO
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CUSIP No. 204912109 Page 3 of 7
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY):
Walter H. Haefner
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP:
(a) [_]
(b) [_]
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3 SEC USE ONLY
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4 SOURCES OF FUNDS:
WC of Careal Holding AG
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED
PURSUANT TO ITEMS 2(d) or 2(e)
[_]
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
Switzerland
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NUMBER OF 7 SOLE VOTING POWER
SHARES 125,813,380
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BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 0
-------- ------------------------------------------------
EACH 9 SOLE DISPOSITIVE POWER
PERSON 125,813,380
-------- ------------------------------------------------
WITH 10 SHARED DISPOSITIVE POWER
0
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
125,813,380
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES:
[_]
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
21.73%
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14 TYPE OF REPORTING PERSON:
IN
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CUSIP No. 204912109 Page 4 of 7
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This Amendment No. 9 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 and December 28, 2001 (the "Statement"),
further amends and supplements such Statement with respect to the Common
Stock, par value $.10 per share ("Common Stock"), of Computer Associates
International, Inc., a Delaware corporation ("Computer Associates"), by
amending and restating Item 5 of the Statement in its entirety and by amending
Item 6 by adding the text set forth herein. All items not described herein
remain as previously reported in the Statement.
Item 5. Interest in Securities of the Issuer.
As of October 10, 2003, Careal is the owner of record of 125,813,380
shares of Common Stock representing approximately 21.73% of the Common Stock
outstanding, based upon information as to the number of such shares
outstanding at October 20, 2003 provided in Computer Associates' quarterly
report on Form 10-Q for the quarter ended September 30, 2003. Mr. Haefner is
the beneficial owner of such 125,813,380 shares of Common Stock and has sole
voting and dispositive power with respect thereto.
Other than the 125,813,380 shares of Common Stock owned of record by
Careal and beneficially owned by Mr. 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.
Except as set forth in Schedule 1 hereto, neither Careal nor Mr. Haefner
has effected any transactions in shares of Common Stock in the past 60 days.
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect
to Securities of the Issuer.
On January 6, 2003, Careal Holding AG (the "Pledgee") and Charles Wang
(the "Pledgor") executed a Share Pledge Agreement (the "Pledge Agreement")
whereby the Pledgor agreed to pledge 2,636,242 shares of Common Stock (the
"Shares") as collateral for a loan extended to the Pledgor by the Pledgee as
evidenced by the Loan Agreement, executed on January 10, 2003 (the "Loan
Agreement"). The pledged shares represent security on all of the Pledgor's
obligations under the Loan Agreement. Under the Pledge Agreement, the Pledgor
retains all rights to dividends, and other pecuniary interests in the Shares
as long as an Enforcement Event (as defined in the Loan Agreement) has not
occurred. Upon the occurrence of such an Enforcement Event, the Pledgee will
become entitled to the rights in the Shares, including voting rights, dividend
rights and other entitlements. On April 3, 2003, the Pledgee and the Pledgor
executed an additional Share Pledge Agreement whereby the Pledgor agreed to
pledge 2,681,221 shares of Common Stock as collateral for an additional loan
extended to the Pledgor by the Pledgee as evidenced by the loan agreement,
executed on April 3, 2003 on substantially similar terms as the Pledge
Agreement and the Loan Agreement.
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CUSIP No. 204912109 Page 5 of 7
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Signatures
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After reasonable inquiry and to the best of our knowledge and belief, the
undersigned certify that the information set forth in this statement is true,
complete and correct.
CAREAL HOLDING AG
By: /s/ Walter H. Haefner
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Name: Walter H. Haefner
Title: Chairman and President
WALTER H. HAEFNER
/s/ Walter H. Haefner
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Dated: October 30, 2003
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CUSIP No. 204912109 Page 6 of 7
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Schedule 1
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Sales effected in the past 60 days of Common Stock owned of record by
Careal and beneficially owned by Mr. Haefner:
Number of Average Price Per Nature of
Date Shares Share Transaction
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09/29/03 300,000 $26.3356 Open market purchase
09/30/03 1,163,800 $26.1165 Open market purchase
10/01/03 1,601,400 $26.3948 Open market purchase
10/02/03 472,150 $26.3946 Open market purchase
10/07/03 180,300 $27.5686 Open market purchase
10/08/03 418,800 $28.9937 Open market purchase
10/09/03 5,863,550 $26.5084 Open market purchase
10/10/03 500,000 $25.208 Open market purchase
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CUSIP No. 204912109 Page 7 of 7
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INDEX OF EXHIBITS
Description
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Exhibit 3 Share Pledge Agreement by and between
Charles Wang and Careal Holding AG,
dated as of January 6, 2003.
Exhibit 4 Share Pledge Agreement by and between
Charles Wang and Careal Holding AG,
dated as of April 3, 2003.