-----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, WseFeE3fG/NNDCpPdDPdHMeLYUvGJqbXaVFucQ+kASbeZMrktuVadTqlEy/cYp3m Zz495G23jrmkDZxcc37n4g== 0001104659-03-002032.txt : 20030213 0001104659-03-002032.hdr.sgml : 20030213 20030213145436 ACCESSION NUMBER: 0001104659-03-002032 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20030213 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EVOLVING SYSTEMS INC CENTRAL INDEX KEY: 0001052054 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING SERVICES [7371] IRS NUMBER: 841010843 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-54125 FILM NUMBER: 03558879 BUSINESS ADDRESS: STREET 1: 9777 MT PYRAMID COURT CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: 3038021000 MAIL ADDRESS: STREET 1: 9777 MT PYRAMID COURT CITY: ENGLEWOOD STATE: CO ZIP: 80112 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HALLENBECK GEORGE A CENTRAL INDEX KEY: 0001079545 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O EVOLVING SYSTEMS INC STREET 2: 9777 MT PYRAMID CT CITY: ENGLEWOOD STATE: CO ZIP: 80112 BUSINESS PHONE: 3038021000 MAIL ADDRESS: STREET 1: C/O EVOLVING SYSTEMS INC STREET 2: 9777 MT PYRAMID CT CITY: ENGLEWOOD STATE: CO ZIP: 80112 SC 13G/A 1 j7245_sc13ga.htm SC 13G/A

SEC 1745
(02-02)


Potential persons who are to 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.

 

 

UNITED STATES

OMB APPROVAL

 

SECURITIES AND EXCHANGE COMMISSION

OMB Number:
3235-0145

 

Washington, D.C. 20549

Expires: December 31, 2005

 

SCHEDULE 13G

Estimated average burden hours per response. . 11

 

Under the Securities Exchange Act of 1934
(Amendment No. 4)*

 

EVOLVING SYSTEMS, INC.

(Name of Issuer)

 

Common Stock, $.001 Par Value Per Share

(Title of Class of Securities)

 

30049R 10 0

(CUSIP Number)

 

December 31, 2002

(Date of Event Which Requires Filing of this Statement)

 

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

[     ]

Rule 13d-1(b)

[     ]

Rule 13d-1(c)

[ X ]

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 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.  30049R 10 0

 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
George A. Hallenbeck

 

 

2.

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

 

 

(a)

[     ]

 

 

(b)

[     ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
United States of America

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
1,370,200

 

6.

Shared Voting Power
100,000

 

7.

Sole Dispositive Power
1,014,500

 

8.

Shared Dispositive Power
100,000

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
1,470,200 (1)

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
11.05%

 


(1) The reported number includes 50,000 options held by George A. Hallenbeck which are exercisable on March 1, 2003, as a result of an option grant dated December 5, 2001, for 200,000 options which vests in 16 quarterly installments.  The reported number also includes 100,000 shares of stock which are held in the George A. Hallenbeck  Irrevocable Trust, of which Mr. Hallenbeck’s wife is trustee.   Mr. Hallenbeck disclaims beneficial ownership of such shares.

 

2



 

 

12.

Type of Reporting Person (See Instructions)
IN

 

3



 

 

1.

Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only)
Jacquie Hallenbeck

 

 

2.

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

 

 

(a)

[     ]

 

 

(b)

[     ]

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
United States of America

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
None

 

6.

Shared Voting Power
None

 

7.

Sole Dispositive Power
355,700

 

8.

Shared Dispositive Power
None

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
355,700

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  [     ]

 

 

11.

Percent of Class Represented by Amount in Row (9)
2.67%

 

 

 

 

12.

Type of Reporting Person (See Instructions)
IN

 

4



 

Item 1.

 

(a)

Name of Issuer
Evolving Systems, Inc.

 

(b)

Address of Issuer's Principal Executive Offices
9777 Mt. Pyramid Court
Englewood, Colorado 80112

 

Item 2.

 

(a)

Name of Person Filing
George A. Hallenbeck, on his own behalf and on behalf of Jacquie Hallenbeck (see the Joint Filing Agreement attached hereto as Exhibit A).

 

(b)

Address of Principal Business Office or, if none, Residence
c/o Evolving Systems, Inc.
9777 Mt. Pyramid Court
Englewood, CO   80222

 

(c)

Citizenship
United States of America

 

(d)

Title of Class of Securities
Common Stock

 

(e)

CUSIP Number
30049R 10 0

 

Item 3.

N/A

 

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

[  ]

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

 

(b)

[  ]

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

[  ]

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

[  ]

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).

 

(e)

[  ]

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

[  ]

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

[  ]

A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);

 

(h)

[  ]

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

[  ]

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

[  ]

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

 

 

 

Item 4.

Ownership

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:
George A. Hallenbeck:  1,470,200(2)
Jacquie Hallenbeck:   355,700

 


(2) The reported number includes 50,000 options held by George A. Hallenbeck which are exercisable on March 1, 2003, as a result of an option grant dated December 5, 2001, for 200,000 options which vests in 16 quarterly installments.  The reported number also includes 100,000 shares of stock which are held in the George A. Hallenbeck  Irrevocable Trust, of which Mr. Hallenbeck’s wife is trustee.   Mr. Hallenbeck disclaims beneficial ownership of such shares.

 

5



 

 

(b)

Percent of class:
George A. Hallenbeck: 11.05%
Jacquie Hallenbeck: 2.67%

 

(c)

Number of shares as to which the person has:

 

 

(i)

Sole power to vote or to direct the vote:
George A. Hallenbeck: 1,370,200
Jacquie Hallenbeck: None

 

 

(ii)

Shared power to vote or to direct the vote:
George A. Hallenbeck: 100,000
Jacquie Hallenbeck: None

 

 

(iii)

Sole power to dispose or to direct the disposition of:
George A. Hallenbeck: 1,014,500
Jacquie Hallenbeck: 355,700

 

 

(iv)

Shared power to dispose or to direct the disposition of:
George A. Hallenbeck: 100,000
Jacquie Hallenbeck: None

 

Item 5.

Ownership of Five Percent or Less of a Class

N/A

 

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

N/A

 

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

N/A

 

Item 8.

Identification and Classification of Members of the Group

N/A

 

Item 9.

Notice of Dissolution of Group

N/A

 

6



 

Item 10.

Certification

By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

Signature

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

 

 

2/10/03

 

Date

 


/s/ George A. Hallenbeck

 

Signature

 


George A. Hallenbeck

 

Name/Title

 

7



 

EXHIBIT A

 

JOINT FILING AGREEMENT

 

Each of the undersigned hereby agrees and consents to the execution and joint filing on his or her behalf by George A. Hallenbeck of this Schedule 13G regarding beneficial ownership of Common Stock of Evolving Systems, Inc. as of December 31, 2002.

 

 

/s/ George A. Hallenbeck

 

 

George A. Hallenbeck

 

 

 

/s/ Jacquie Hallenbeck

 

 

Jacquie Hallenbeck

 

8


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