UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
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. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Haefner Martin C/O CAREAL HOLDING AG UTOQUAI 49 ZURICH, V8 8022 |
 |  X |  |  |
Bucher-Haefner Eva Maria C/O CAREAL HOLDING AG UTOQUAI 49 ZURICH, V8 8022 |
 |  X |  |  |
/s/ Claude Lambert, attorney-in-fact for Martin Haefner | 11/19/2015 | |
**Signature of Reporting Person | Date | |
/s/ Claude Lambert, attorney-in-fact for Eva Maria Bucher-Haefner | 11/19/2015 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | Reflects shares of Common Stock held of CA, Inc. directly by Martin Haefner. |
(2) | Reflects shares of Common Stock held of CA, Inc. directly by the spouse of Martin Haefner. |
 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. |