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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under the Securities Exchange Act of 1934
(Amendment No. ______________)*
Carrier Access Corporation
--------------------------
(Name of Issuer)
Common Stock
------------
(Title of Class of Securities)
144460 10 2
-----------
(CUSIP Number)
July 30, 1998
-------------
(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)
[x] Rule 13d-1(c)
[_] 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).
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.
Page 1 of 6
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CUSIP No. 144460 10 2
- --------------------------------------------------------------------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
................................................................Nancy Pierce
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............................1,703,558
Shares Bene- --------------------------------------------------------------
ficially Owned 6. Shared Voting Power.........................10,434,000
by Each --------------------------------------------------------------
Reporting 7. Sole Dispositive Power.......................1,703,558
Person With: --------------------------------------------------------------
8. Shared Dispositive Power....................10,434,000
--------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each
Reporting Person............................................13,846,116
- --------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)....................................................
- --------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (11)..............57.1%
- --------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
- --------------------------------------------------------------------------------
IN..........................................................................
............................................................................
............................................................................
............................................................................
............................................................................
............................................................................
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Page 2 of 6
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CUSIP No. 144460 10 2
- --------------------------------------------------------------------------------
1. Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
.............................................................Roger L. Koenig
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............................1,703,558
Shares Bene- --------------------------------------------------------------
ficially Owned 6. Shared Voting Power.........................10,434,000
by Each --------------------------------------------------------------
Reporting 7. Sole Dispositive Power.......................1,703,558
Person With: --------------------------------------------------------------
8. Shared Dispositive Power....................10,434,000
--------------------------------------------------------------
9. Aggregate Amount Beneficially Owned by Each
Reporting Person............................................13,846,116
- --------------------------------------------------------------------------------
10. Check if the Aggregate Amount in Row (11) Excludes Certain Shares
(See Instructions)...................................................
- --------------------------------------------------------------------------------
11. Percent of Class Represented by Amount in Row (11)...............57.1
- --------------------------------------------------------------------------------
12. Type of Reporting Person (See Instructions)
- --------------------------------------------------------------------------------
IN..........................................................................
............................................................................
............................................................................
............................................................................
............................................................................
............................................................................
- --------------------------------------------------------------------------------
Page 3 of 6
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Item 1.
(a) Name of Issuer: Carrier Access Corporation
(b) Address of Issuer's Principal Executive Offices: 5395 Pearl Parkway,
Boulder, Colorado 80301
Item 2.
(a) Name of Person Filing: Roger L. Koenig
(b) Resident Address: 909 Mapleton Avenue, Boulder, Colorado 80304
(c) Citizenship: United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 144460 10 2
(a) Name of Person Filing: Nancy Pierce
(b) Resident Address: 909 Mapleton Avenue, Boulder, Colorado 80304
(c) Citizenship: United States
(d) Title of Class of Securities: Common Stock
(e) CUSIP Number: 144460 10 2
Item 3. If this statement is filed pursuant to (S)(S)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 advisor in accordance with (S)240.13d-1(b)(1)(ii)
(E);
(f) [_] An employee benefit plan or endowment fund in accordance with
(S)240.13d-1(b)(1)(ii)(F);
(g) [_] A parent holding company or control person in accordance with
(S)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 (S)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 of beneficially owed: 13,846,116*.
-----------
(b) Percent of class: 57.1.
----
(c) Number of shares as to which the person has:
Roger L. Koenig
(i) Sole power to vote or to direct the vote 1,703,558.
---------
(ii) Shared power to vote or to direct the vote 10,434,000.
----------
(iii) Sole power to dispose or to direct the disposition of 1,703,558.
---------
(iv) Shared power to dispose or to direct the disposition of
10,434,000.
-----------
Page 4 of 6
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Nancy Pierce
(i) Sole power to vote or to direct the vote 1,708,558.
---------
(ii) Shared power to vote or to direct the vote 10,434,000.
----------
(iii) Sole power to dispose or to direct the disposition of 1,708,558.
---------
(v) Shared power to dispose or to direct the disposition of
10,434,000.
----------
* Represents 1,703,558 shares held by Mr. Koenig, 1,708,558 shares held by Ms.
Pierce and 10,434,000 shares held by KELD, LLC. Mr. Koenig and Nancy Pierce
are managing membesr of KELD, LLC and have shared voting and investment power
over the shares held by KELD, LLC.
Item 5. Ownership of Five Percent or Less of a Class
If this statement is being filed to report the fact that as of the date
hereof the reporting person has ceased to be the beneficial owner of more than
five percent of the class of securities, check the following .
Item 6. Ownership of More than Five Percent on Behalf of Another Person
If any other person is known to have the right to receive or the power to
direct the receipt of dividends from, or the proceeds from the sale of, such
securities, a statement to that effect should be included in response to this
item and, if such interest relates to more than five percent of the class, such
person should be identified. A listing of the shareholders of an investment
company registered under the Investment Company Act of 1940 or the beneficiaries
of employee benefit plan, pension fund or endowment fund is not required.
Item 7. Identification and Classification of the Subsidiary Which Acquired the
Security Being Reported on By the Parent Holding Company
N/A
Item 8. Identification and Classification of Members of the Group
N/A
Item 9. Notice of Dissolution of Group
N/A
Page 5 of 6
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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 in this statement is true, complete and
correct.
February 14, 2000
---------------------------------------
Date
/s/ Roger L. Koenig
---------------------------------------
Signature
Roger L. Koenig
---------------------------------------
Name/Title
February 14, 2000
---------------------------------------
Date
/s/ Nancy Pierce
---------------------------------------
Signature
Nancy Pierce
---------------------------------------
Name/Title
The original statement shall be signed by each person on whose behalf the
statement is filed or his authorized representative. If the statement is signed
on behalf of a person by his authorized representative other than an executive
officer or general partner of the filing person, evidence of the
representative's authority to sign on behalf of such person shall be filed with
the statement, provided, however, that a power of attorney for this purpose
which is already on file with the Commission may be incorporated by reference.
The name and any title of each person who signs the statement shall be typed or
printed beneath his signature.
NOTE: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See (S)240.13d-7 for other
parties for whom copies are to be sent.
Attention: Intentional misstatements or omissions of fact constitute
Federal criminal violations (See 18 U.S.C. 1001)
Page 6 of 6
