SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. )*
OFFICIAL PAYMENTS CORPORATION
- --------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $.01 per share
- --------------------------------------------------------------------------------
(Title of Class of Securities)
676235 10 4
- --------------------------------------------------------------------------------
(CUSIP Number)
DENNIS J. BLOCK, ESQ.
CADWALADER, WICKERSHAM & TAFT
100 MAIDEN LANE
NEW YORK, NEW YORK 10038
(212) 504-5555
- --------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
November 22, 1999
- --------------------------------------------------------------------------------
(Date of Event which Requires Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition that is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(d)(3) or (4), check the
following box |_|.
Note: Six copies of this statement, including all exhibits. Should be filed with
the Commission. See Rule 13d-7(b) for other parties to whom copies are to be
sent.
*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
disclosures provided in a prior cover page.
The information required on 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>
SCHEDULE 13D
CUSIP No. 00755C1100 Page 2 of 4 Pages
- -------------------- -----------------
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
THOMAS R. EVANS
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(See Instructions)(a)|_| (b)|_|
- --------------------------------------------------------------------------------
3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS (See Instructions)
PF
- --------------------------------------------------------------------------------
5 CHECK IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEMS
2(d) or 2(e)|_|
- --------------------------------------------------------------------------------
6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
- --------------------------------------------------------------------------------
7 SOLE VOTING POWER
1,325,460
NUMBER OF
SHARES --------------------------------------------------------
BENEFICIALLY 8 SHARED VOTING POWER
OWNED BY 0
EACH
REPORTING --------------------------------------------------------
PERSON 9 SOLE DISPOSITIVE POWER
WITH 1,325,460
--------------------------------------------------------
10 SHARED DISPOSITIVE POWER
0
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,325,460
- --------------------------------------------------------------------------------
12 CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions)|_|
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.1%
- --------------------------------------------------------------------------------
14 TYPE OF REPORTING PERSON (See Instructions)
IN
- --------------------------------------------------------------------------------
<PAGE>
ITEM 1. SECURITY AND ISSUER.
This Statement relates to shares of Common Stock, par value $0.01 per share
(the "Common Stock"), of Official Payments Corporation, a Delaware corporation
(the "Corporation"). The Corporation's principal executive office is located at
2333 San Ramon Valley Boulevard, Suite 450, San Ramon, California 94583.
ITEM 2. IDENTITY AND BACKGROUND.
(a) The person filing this statement is Thomas R. Evans, an individual (the
"Reporting Person").
(b) The address of the Reporting Person's principal business and principal
office is 445 Park Avenue, 10th Floor, New York, New York 10022.
(c) The principal business of the Reporting Person is that of serving as
Chairman of the Board, Director and Chief Executive Officer of the Corporation.
(d) During the last five years, the Reporting Person has not been convicted
in a criminal proceeding.
(e) During the last five years, the Reporting Person has not been a party to
a civil proceeding of a judicial or administrative body of competent
jurisdiction and as a result of such proceeding was or is subject to a judgment,
decree or final order enjoining future violations of, or prohibiting or
mandating activities subject to, federal or state securities laws or finding any
violation with respect to such laws.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
The Reporting Person was granted 1,325,460 shares of Common Stock by the
Corporation as compensation for the Reporting Person's services as Chairman of
the Board, Director and Chief Executive Officer of the Corporation.
ITEM 4. PURPOSE OF TRANSACTION.
The Reporting Person has received his beneficial ownership in the shares of
Common Stock as compensation for the Reporting Person's services as Chairman of
the Board, Director and Chief Executive Officer of the Corporation.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
(a) The Corporation has 20,512,280 shares of Common Stock outstanding. The
Reporting Person is the beneficial owner of 1,325,460 shares of Common Stock, or
6.1% of the outstanding Common Stock.
(b) The Reporting Person has the sole power to vote, or to direct the vote
of, 1,325,460 shares of Common Stock and the sole power to dispose of, or to
direct the disposition of, 1,325,460 shares of Common Stock.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
Not applicable.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
None.
Page 3 of 4 Pages
<PAGE>
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: December 10, 1999
/s/ Tom Evans
----------------------------
Thomas R. Evans
Page 4 of 4 Pages
