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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. ______)*
NEWGEN RESULTS CORPORATION
--------------------------
(Name of Issuer)
COMMON STOCK, $.001 PAR VALUE PER SHARE
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(Title of Class of Securities)
651359 10 1
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(CUSIP Number)
12/31/99
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(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).
Page 1 of 5 pages
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CUSIP NO. 651359 10 1 13G PAGE 2 OF 5 PAGES
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
JOHARI INVESTMENT COMPANY LTD.
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |_|
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
CANADA
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5 SOLE VOTING POWER
NUMBER OF 750,629(1)
SHARES ----------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY
EACH REPORTING 0
PERSON WITH ----------------------------------------------
7 SOLE DISPOSITIVE POWER
750,629(1)
----------------------------------------------
8 SHARED DISPOSITIVE POWER
0
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
750,629
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|-|
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.48%
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12 TYPE OF REPORTING PERSON
CO
- --------------------------------------------------------------------------------
(1) INCLUDES 7,575 SHARES ISSUABLE TO JOHARI INVESTMENT COMPANY, LTD. UPON
EXERCISE OF WARRANTS TO PURCHASE COMMON STOCK.
Page 2 of 5 pages
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CUSIP NO. 651359 10 1 13G PAGE 3 OF 5 PAGES
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1 NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
GARY SIMKIN
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_|
(b) |_|
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
CANADA
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5 SOLE VOTING POWER
NUMBER OF 1,500(1)
SHARES ----------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY
EACH REPORTING 750,629(2)
PERSON WITH ----------------------------------------------
7 SOLE DISPOSITIVE POWER
1,500(1)
----------------------------------------------
8 SHARED DISPOSITIVE POWER
750,629(2)
- --------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
752,129
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
|-|
- --------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.49%
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12 TYPE OF REPORTING PERSON
IN
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(1) INCLUDES 1,500 SHARES ISSUABLE TO MR. SIMKIN UPON EXERCISE OF OPTIONS
TO PURCHASE COMMON STOCK WITHIN 60 DAYS OF DECEMBER 31, 1999.
(2) INCLUDES 7,575 SHARES ISSUABLE TO JOHARI INVESTMENT COMPANY LTD. UPON
EXERCISE OF WARRANTS TO PURCHASE COMMON STOCK.
Page 3 of 5 pages
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ITEM 1(a). Name of Issuer:
NEWGEN RESULTS CORPORATION, A DELAWARE CORPORATION
ITEM 1(b). Address of Issuer's Principal Executive Offices:
12680 HIGH BLUFF DRIVE, STE. 300
SAN DIEGO, CA 92130
ITEM 2(a). Name of Person Filing:
JOHARI INVESTMENT COMPANY LTD.
GARY SIMKIN
ITEM 2(b). Address of Principal Business Office or, if none, Residence:
1098 HILLSIDE ROAD
WEST VANCOUVER B.C. V7S 2E9 (each of the above
entities/individuals)
ITEM 2(c). Citizenship:
CANADA (each of the above entities/individuals)
ITEM 2(d). Title of Class of Securities:
COMMON STOCK
ITEM 2(e). CUSIP Number:
651359 10 1
ITEM 3. NOT APPLICABLE.
ITEM 4. OWNERSHIP.
(a) Amount Beneficially Owned:
JOHARI INVESTMENT COMPANY LTD.: 750,629 SHARES (WHICH INCLUDES
7,575 SHARES ISSUABLE UPON EXERCISE OF WARRANTS TO PURCHASE
COMMON STOCK).
GARY SIMKIN: 752,129 SHARES (WHICH INCLUDES 750,629 SHARES
HELD BY JOHARI INVESTMENT COMPANY LTD. AND 1,500 SHARES
ISSUABLE TO MR. SIMKIN UPON EXERCISE OF OPTIONS TO PURCHASE
COMMON STOCK WITHIN 60 DAYS OF DECEMBER 31, 1999). MR. SIMKIN,
A DIRECTOR OF NEWGEN RESULTS CORPORATION AND THE PRESIDENT OF
JOHARI INVESMENT COMPANY LTD., DISCLAIMS BENEFICIAL OWNERSHIP
OF THE 750,629 SHARES HELD BY JOHARI INVESTMENT COMPANY LTD.
EXCEPT TO THE EXTENT OF HIS PECUNIARY INTEREST THEREIN.
(b) Percent of Class: Johari Investment Company Ltd.: 7.48%
Gary Simkin: 7.49%
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote:
Johari Investment Company Ltd.: 750,629
Gary Simkin: 1,500
(ii) shared power to vote or to direct the vote:
Johari Investment Company Ltd.: 0
Gary Simkin: 750,629
(iii) sole power to dispose or to direct the disposition of:
Johari Investment Company Ltd.: 750,629
Gary Simkin: 1,500
(iv) shared power to dispose or to direct the disposition of:
Johari Investment Company Ltd.: 0
Gary Simkin: 750,629
Page 4 of 5 pages
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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.
Not applicable
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
Not applicable.
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
Not applicable.
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
Not applicable.
ITEM 10. CERTIFICATION.
Not applicable
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.
February 11, 2000
---------------------------------
Date
JOHARI INVESTMENT COMPANY LTD.
/s/ Gary Simkin
---------------------------------
Signature
Gary Simkin, President
---------------------------------
Printed Name
/s/ Gary Simkin
---------------------------------
Signature
Gary Simkin
---------------------------------
Printed Name
Page 5 of 5 pages
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Exhibit 99.(a)
EXHIBIT A
JOINT FILING STATEMENT
Pursuant to Rule 13d-1(k)(1), we, the undersigned, hereby express our
agreement that the attached Schedule 13G is filed on behalf of each of us.
Date: February 11, 2000
JOHARI INVESTMENT COMPANY LTD.
By: /s/ Gary Simkin
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Gary Simkin, President
GARY SIMKIN
By: /s/ Gary Simkin
----------------------
