-----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, JuWeUEOvTIEYsEONLO/JUmXQE9wj8DvcAMUV0grzclIiSi1uWm2CvdP1VtUsJCx2 LpgPrnb3Mqc5vFNkjWv+hg== 0001092306-02-000407.txt : 20021204 0001092306-02-000407.hdr.sgml : 20021204 20021204103014 ACCESSION NUMBER: 0001092306-02-000407 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20021204 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SHEA J F CO INC CENTRAL INDEX KEY: 0001024746 IRS NUMBER: 941530032 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 644 BREA CANYON ROAD CITY: WALNUT STATE: CA ZIP: 91789 BUSINESS PHONE: 9095949500 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CAPTIVA SOFTWARE CORP CENTRAL INDEX KEY: 0000909276 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 770104275 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-45196 FILM NUMBER: 02848050 BUSINESS ADDRESS: STREET 1: 10145 PACIFIC HEIGHTS BLVD. CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-320-1000 MAIL ADDRESS: STREET 1: 10145 PACIFIC HEIGHTS BLVD. CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: CORNERSTONE IMAGING INC DATE OF NAME CHANGE: 19930719 FORMER COMPANY: FORMER CONFORMED NAME: INPUT SOFTWARE INC DATE OF NAME CHANGE: 19990217 FORMER COMPANY: FORMER CONFORMED NAME: ACTIONPOINT INC DATE OF NAME CHANGE: 20000725 SC 13G 1 sc13g.txt SCHEDULE 13G DATED 07/31/02 SEC 1745 (02- POTENTIAL PERSONS WHO ARE TO RESPOND TO THE COLLECTION OF 02) INFORMATION CONTAINED IN THIS FORM ARE NOT REQUIRED TO RESPOND UNLESS THE FORM DISPLAYS A CURRENTLY VALID OMB CONTROL NUMBER. ________________________________________________________________________________ ____________________________ OMB APPROVAL ____________________________ OMB Number: 3235-0145 Expires: November 30, 2002 Estimated average burden hours per response........11 ____________________________ UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )* Captiva Software Corporation ____________________________ (Name of Issuer) Common Stock ______________________________ (Title of Class of Securities) 457654101 ______________ (CUSIP Number) July 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. 457654101 ________________________________________________________________________________ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). J.F. Shea Company, Inc. ________________________________________________________________________________ 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 California ________________________________________________________________________________ Number of 5. Sole Voting Power 476,149 Shares ________________________________________________________________ Beneficially Owned by 6. Shared Voting Power Each ________________________________________________________________ Reporting Person 7. Sole Dispositive Power 476,149 With ________________________________________________________________ 8. Shared Dispositive Power ________________________________________________________________ ________________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 476,149 ________________________________________________________________________________ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ________________________________________________________________________________ 11. Percent of Class Represented by Amount in Row (9) 5.4% ________________________________________________________________________________ 12. Type of Reporting Person (See Instructions) CO ________________________________________________________________________________ 2 CUSIP No. 457654101 ________________________________________________________________________________ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Edmund H. Shea, Jr. ________________________________________________________________________________ 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 ________________________________________________________________________________ Number of 5. Sole Voting Power Shares ________________________________________________________________ Beneficially Owned by 6. Shared Voting Power 476,149 Each ________________________________________________________________ Reporting Person 7. Sole Dispositive Power With ________________________________________________________________ 8. Shared Dispositive Power 476,149 ________________________________________________________________ ________________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 476,149 ________________________________________________________________________________ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ________________________________________________________________________________ 11. Percent of Class Represented by Amount in Row (9) 5.4% ________________________________________________________________________________ 12. Type of Reporting Person (See Instructions) IN ________________________________________________________________________________ 3 CUSIP No. 457654101 ________________________________________________________________________________ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). John F. Shea ________________________________________________________________________________ 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 ________________________________________________________________________________ Number of 5. Sole Voting Power Shares ________________________________________________________________ Beneficially Owned by 6. Shared Voting Power 476,149 Each ________________________________________________________________ Reporting Person 7. Sole Dispositive Power With ________________________________________________________________ 8. Shared Dispositive Power 476,149 ________________________________________________________________ ________________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 476,149 ________________________________________________________________________________ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ________________________________________________________________________________ 11. Percent of Class Represented by Amount in Row (9) 5.4% ________________________________________________________________________________ 12. Type of Reporting Person (See Instructions) IN ________________________________________________________________________________ 4 CUSIP No. 457654101 ________________________________________________________________________________ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Peter O. Shea, Jr. ________________________________________________________________________________ 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 ________________________________________________________________________________ Number of 5. Sole Voting Power Shares ________________________________________________________________ Beneficially Owned by 6. Shared Voting Power 476,149 Each ________________________________________________________________ Reporting Person 7. Sole Dispositive Power With ________________________________________________________________ 8. Shared Dispositive Power 476,149 ________________________________________________________________ ________________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 476,149 ________________________________________________________________________________ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ________________________________________________________________________________ 11. Percent of Class Represented by Amount in Row (9) 5.4% ________________________________________________________________________________ 12. Type of Reporting Person (See Instructions) IN ________________________________________________________________________________ 5 CUSIP No. 457654101 ________________________________________________________________________________ 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). James G. Shontere ________________________________________________________________________________ 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 ________________________________________________________________________________ Number of 5. Sole Voting Power Shares ________________________________________________________________ Beneficially Owned by 6. Shared Voting Power 476,149 Each ________________________________________________________________ Reporting Person 7. Sole Dispositive Power With ________________________________________________________________ 8. Shared Dispositive Power 476,149 ________________________________________________________________ ________________________________________________________________________________ 9. Aggregate Amount Beneficially Owned by Each Reporting Person 476,149 ________________________________________________________________________________ 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) ________________________________________________________________________________ 11. Percent of Class Represented by Amount in Row (9) 5.4% ________________________________________________________________________________ 12. Type of Reporting Person (See Instructions) IN ________________________________________________________________________________ 6 ITEM 1. (a) Name of Issuer Captiva Software Corporation Address of Issuer's Principal Executive Offices (b) 10145 Pacific Heights Blvd. San Diego, CA 92121 ITEM 2.
PRINCIPAL NAME AND OCCUPATION OR OFFICE HELD BUSINESS ADDRESS CITIZENSHIP EMPLOYMENT John F. Shea 655 Brea Canyon Rd. USA President of JFSCI* President and Director Walnut, CA 91789 Edmund H. Shea, Jr. 655 Brea Canyon Rd. USA Vice President of JFSCI* Vice President and Director Walnut, CA 91789 Peter O. Shea, Jr. 655 Brea Canyon Rd. USA Vice President of JFSCI* Vice President and Director Walnut, CA 91789 James G. Shontere 655 Brea Canyon Rd. USA Secretary/Treasurer of Secretary/Treasurer Walnut, CA 91789 JFSCI* and Director *J. F. Shea Company, Inc.
(d) Title of Class of Securities Common Stock (e) CUSIP Number 457654101 ITEM 3. If this statement is filed pursuant to ss.ss.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 ss.240.13d-1(b)(1) (ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with ss.240.13d-1(b)(1)(ii)(G); 7 (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 ss.240.13d-1(b)(1)(ii)(J). ITEM 4. Ownership. (a) Amount beneficially owned: 476,149 (b) Percent of class: 5.4 (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 476,149 (as to J. F. Shea Company, Inc. only) (ii) Shared power to vote or to direct the vote 476,149 (as to all other filing persons) (iii) Sole power to dispose or to direct the disposition of 476,149 (as to J. F. Shea Company, Inc. only) (iv) Shared power to dispose or to direct the disposition of 476,149 (as to all other filing persons) 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 8 ITEM 8. Identification and Classification of Members of the Group See response to Item 2. The filing persons (except for J.F. Shea Company, Inc.) disclaim beneficial ownership of the securities being reported and disclaim group status. ITEM 9. Notice of Dissolution of Group N/A 9 ITEM 10. Certification N/A 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. Date: November 21, 2002 J.F. SHEA COMPANY, INC. By: /s/ EDMUND H. SHEA, JR. ____________________________________ Name: Edmund H. Shea, Jr. Title: Vice President /s/ EDMUND H. SHEA, JR. ____________________________________ Edmund H. Shea, Jr. /s/ PETER O. SHEA, JR. ____________________________________ Peter O. Shea, Jr. /s/ JOHN F. SHEA ____________________________________ John F. Shea /s/ JAMES G. SHONTERE ____________________________________ James G. Shontere ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) 10 -----END PRIVACY-ENHANCED MESSAGE-----