Amended Statement of Beneficial Ownership (3/a)
November 20 2015 - 4:39PM
Edgar (US Regulatory)
FORM 3
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UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
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OMB APPROVAL
OMB Number:
3235-0104
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Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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1. Name and Address of Reporting Person
*
Haefner Martin
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2. Date of Event Requiring Statement (MM/DD/YYYY)
7/4/2012
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3. Issuer Name
and
Ticker or Trading Symbol
CA, INC. [CA]
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(Last)
(First)
(Middle)
C/O CAREAL HOLDING AG, UTOQUAI 49
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4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director
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X
___ 10% Owner
_____ Officer (give title below)
_____ Other (specify below)
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(Street)
ZURICH, V8 8022
(City)
(State)
(Zip)
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5. If Amendment, Date Original Filed
(MM/DD/YYYY)
7/10/2012
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6. Individual or Joint/Group Filing
(Check Applicable Line)
___ Form filed by One Reporting Person
_
X
_ Form filed by More than One Reporting Person
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Table I - Non-Derivative Securities Beneficially Owned
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1.Title of Security
(Instr. 4)
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2. Amount of Securities Beneficially Owned
(Instr. 4)
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3. Ownership Form: Direct (D) or Indirect (I)
(Instr. 5)
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4. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Common stock, par value $0.10 per share
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20000
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D
(1)
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Common stock, par value $0.10 per share
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3200
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I
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See footnote
(2)
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Table II - Derivative Securities Beneficially Owned (
e.g.
, puts, calls, warrants, options, convertible securities)
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1. Title of Derivate Security
(Instr. 4)
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2. Date Exercisable and Expiration Date
(MM/DD/YYYY)
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3. Title and Amount of Securities Underlying Derivative Security
(Instr. 4)
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4. Conversion or Exercise Price of Derivative Security
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5. Ownership Form of Derivative Security: Direct (D) or Indirect (I)
(Instr. 5)
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6. Nature of Indirect Beneficial Ownership
(Instr. 5)
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Date Exercisable
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Expiration Date
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Title
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Amount or Number of Shares
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Explanation of Responses:
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(
1)
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Reflects shares of Common Stock held of CA, Inc. directly by Martin Haefner.
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(
2)
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Reflects shares of Common Stock held of CA, Inc. directly by the spouse of Martin Haefner.
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Remarks:
This Amendment is being filed to report certain shares of Common Stock held of CA, Inc. held directly by Martin Haefner and directly by his spouse as of July 4, 2012 that were inadvertently not included on the Form 3 filed on July 10, 2012. Pursuant to Rule 16a-1(a)(2)(ii)(B) under the Securities Exchange Act of 1934, as amended (the "Act"), each of the Reporting Persons may be deemed to be the beneficial owner of the securities reported, but each (other than to the extent of any direct holdings) disclaims beneficial ownership of such shares, except to the extent of its pecuniary interest therein. Pursuant to Rule 16a-1(a)(4) under the Act, this filing shall not be deemed an admission that either of the Reporting Persons is, for purposes of Section 16 of the Act or otherwise, the beneficial owner of any securities reported herein in excess of such amount.
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Reporting Owners
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Reporting Owner Name / Address
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Relationships
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Director
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10% Owner
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Officer
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Other
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Haefner Martin
C/O CAREAL HOLDING AG
UTOQUAI 49
ZURICH, V8 8022
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X
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Bucher-Haefner Eva Maria
C/O CAREAL HOLDING AG
UTOQUAI 49
ZURICH, V8 8022
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X
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Signatures
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/s/ Claude Lambert, attorney-in-fact for Martin Haefner
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11/19/2015
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**
Signature of Reporting Person
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Date
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/s/ Claude Lambert, attorney-in-fact for Eva Maria Bucher-Haefner
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11/19/2015
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**
Signature of Reporting Person
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Date
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
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*
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If the form is filed by more than one reporting person,
see
Instruction 5(b)(v).
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**
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Intentional misstatements or omissions of facts constitute Federal Criminal Violations.
See
18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
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Note:
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File three copies of this Form, one of which must be manually signed. If space is insufficient,
see
Instruction 6 for procedure.
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Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.
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