SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
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SCHEDULE 13G
INFORMATION STATEMENT PURSUANT TO RULE 13d-1
UNDER THE SECURITIES EXCHANGE ACT OF 1934
Pivotal Corporation
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(Name of Issuer)
Common Shares
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(Title of Class of Securities)
72581R 10 6
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(CUSIP Number)
August 4, 1999
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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)
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CUSIP No. 13G Page 2 of 5 Pages
72581R 10 6
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1 Name Of Reporting Persons
I.R.S. Identification Nos. Of Above Persons
Norman B. Francis
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2 Check The Appropriate Box If A Member Of A
Group (See Instructions) (a) |_|
(b) |_|
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3 SEC Use Only
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4 Citizenship Or Place Of Organization
Canadian
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5 Sole Voting Power
NUMBER OF 1,595,142
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Shares 6 Shared Voting Power
Beneficially 857,143
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Owned By 7 Sole Dispositive Power
Each 1,595,142
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Reporting 8 Shared Dispositive Power
Person With 857,143
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9 Aggregate Amount Beneficially Owned By Each Reporting Person
2,452,285
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10 Check If The Aggregate Amount In Row (9) Excludes Certain Shares
(See Instructions)
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11 Percent Of Class Represented By Amount In Row 9
12.2%
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12 Type Of Reporting Person (See Instructions)
IN
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CUSIP No. 13G Page 3 of 5 Pages
72581R 10 6
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Item 1 (a). Name of Issuer:
Pivotal Corporation
Item 1 (b). Address of Issuer's Principal Executive Offices:
300 - 224 West Esplanade, North Vancouver, British Columbia,
Canada V7M 3M6
Item 2 (a). Name of Person Filing:
Norman B. Francis
Item 2 (b). Address of Principal Business Office or, if None, Residence:
300 - 224 West Esplanade, North Vancouver, British Columbia,
Canada V7M 3M6
Item 2 (c). Citizenship:
Canadian
Item 2 (d). Title of Class of Securities:
Common Shares
Item 2 (e). CUSIP Number:
72581R 10 6
Item 3. If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b) or
(c), check whether the person filing is a:
(a) |_| Broker or dealer registered under Section 15 of the Act,
(b) |_| Bank as defined in Section 3(a)(6) of the Act,
(c) |_| Insurance Company as defined in Section 3(a)(19) of the Act,
(d) |_| Investment Company registered under Section 8 of the
Investment Company Act,
(e) |_| Investment Adviser registered under Section 203 of the
Investment Advisers Act of 1940,
(f) |_| Employee Benefit Plan, Pension Fund which is subject to the
provisions of the Employee Retirement Income Security Act of 1974
or Endowment Fund;
(g) |_| Parent Holding Company, in accordance with Rule
13d-1(b)(ii)(G);
(h) |_| A savings association as defined in Section 3(b) of the
Federal Deposit Insurance Act;
(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,
(j) |_| Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
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CUSIP No. 13G Page 4 of 5 Pages
72581R 10 6
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Item 4. Ownership.
(a) Amount beneficially owned:
2,452,285
(b) Percent of class:
12.2%
(c) Number of shares as to which such person has:
(i) Sole power to vote or to direct the vote
1,595,142; includes 700,800 shares held of record by
The Francis Family Trust, a family trust for the
benefit of Mr. Francis and his three children
(ii) Shared power to vote or to direct the vote
857,143 shares held of record by Boardwalk Ventures
Inc., a holding company owned 50% by Mr. Francis and
50% by his spouse
(iii) Sole power to dispose or to direct the disposition of
1,595,142
(iv) Shared power to dispose or to direct the disposition of
857,143
Item 5. Ownership of Five Percent or Less of a Class.
If the 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
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CUSIP No. 13G Page 5 of 5 Pages
72581R 10 6
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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.
/s/ Norman B. Francis
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Norman B. Francis
Date: February 11, 2000
