-----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, PjU/rSsn+FwDwYTrPsyBjCT51wLjMNJm9vuHe+V82rpqhQ95KXq+KMMW+Iif7eWu vscqVg/eJ7SUOe4eeSBUFQ== 0001047469-99-005300.txt : 19990215 0001047469-99-005300.hdr.sgml : 19990215 ACCESSION NUMBER: 0001047469-99-005300 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990212 GROUP MEMBERS: GOERGEN ROBERT B GROUP MEMBERS: PAMELA M. GOERGEN GROUP MEMBERS: THE GOERGEN FOUNDATION, INC. GROUP MEMBERS: TRUST FBO ALICE B. MCCOOL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BLYTH INDUSTRIES INC CENTRAL INDEX KEY: 0000921503 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS MANUFACTURING INDUSTRIES [3990] IRS NUMBER: 362984916 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48107 FILM NUMBER: 99535167 BUSINESS ADDRESS: STREET 1: 100 FIELD POINT RD CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036611926 MAIL ADDRESS: STREET 1: 100 FIELD POINT RD CITY: GREENWICH STATE: CT ZIP: 06830 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOERGEN ROBERT B CENTRAL INDEX KEY: 0000937655 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 35 MASON STREET CITY: GREENWICH STATE: CT ZIP: 06830 SC 13G/A 1 SC 13G/A R UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Amendment No. 4 )* BLYTH INDUSTRIES, INC. (Name of Issuer) - ------------------------------------------------------------------------------- Common Stock - par value $0.02 per share (Title of Class of Securities) - ------------------------------------------------------------------------------- 09643P108 (CUSIP Number) --------------------------------- - ------------------------------------------------------------------------------- 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 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 1 of 9 Pages CUSIP No. 09643P108 13G Page 2 of 9 Pages - ------------------------------------------------------------------------------- (1) Name of Reporting Person S.S or I.R.S. Identification No. of Above Person Robert B. Goergen - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group* (a) / / (b) /x/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Shares 13,382,783 Beneficially -------------------------------------------------- Owned By (6) Shared Voting Power Each 74,997 Reporting -------------------------------------------------- Person (7) Sole Dispositive Power With 13,382,783 -------------------------------------------------- (8) Shared Dispositive Power 74,997 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 13,457,780 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) /x/ Excludes Certain Shares* Excludes 422,280 shares as to which Mr. Goergen disclaims beneficial ownership. - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 27.3% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- - ------------------- * SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 09643P108 13G Page 3 of 9 Pages - ------------------------------------------------------------------------------- (1) Name of Reporting Person S.S or I.R.S. Identification No. of Above Person Pamela M. Goergen - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group* (a) / / (b) /x/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- (5) Sole Voting Power Number of 422,280 Shares -------------------------------------------------- Beneficially (6) Shared Voting Power Owned By - 0 - Each Reporting -------------------------------------------------- Person (7) Sole Dispositive Power With 422,280 -------------------------------------------------- (8) Shared Dispositive Power - 0 - - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 422,280 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) /x/ Excludes Certain Shares* Excludes an aggregate of 13,027,969 shares as to which Mrs. Goergen disclaims beneficial ownership. - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 0.9% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- - ------------------- * SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 09643P108 13G Page 4 of 9 Pages - ------------------------------------------------------------------------------- (1) Name of Reporting Person S.S or I.R.S. Identification No. of Above Person The Goergen Foundation, Inc. - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group* (a) / / (b) /x/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Connecticut - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Shares - 0 - Beneficially -------------------------------------------------- Owned By (6) Shared Voting Power Each 354,814 Reporting -------------------------------------------------- Person (7) Sole Dispositive Power With - 0 - -------------------------------------------------- (8) Shared Dispositive Power 354,814 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 354,814 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) / / Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 0.7% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* CO - ------------------------------------------------------------------------------- - ------------------- * SEE INSTRUCTION BEFORE FILLING OUT! CUSIP No. 09643P108 13G Page 5 of 9 Pages - ------------------------------------------------------------------------------- (1) Name of Reporting Person S.S or I.R.S. Identification No. of Above Person Trust FBO Alice B. McCool (Robert B. Goergen & Dennis P. Goergen, co-trustees) - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group* (a) / / (b) /x/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization Florida - ------------------------------------------------------------------------------- Number of (5) Sole Voting Power Shares - 0 - Beneficially -------------------------------------------------- Owned By (6) Shared Voting Power Each 74,997 Reporting -------------------------------------------------- Person (7) Sole Dispositive Power With - 0 - -------------------------------------------------- (8) Shared Dispositive Power 74,997 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 74,997 - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) / / Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 0.2% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* OO - ------------------------------------------------------------------------------- - ------------------- * SEE INSTRUCTION BEFORE FILLING OUT! Page 6 of 9 Pages AMENDMENT NO. 4 TO SCHEDULE 13G FOR BLYTH INDUSTRIES, INC. The Schedule 13G (as heretofore amended, the "Schedule 13G"), dated February 3, 1995, of Robert B. Goergen, Pamela M. Goergen, The Goergen Foundation, Inc., Ropart Inc. and the Trust, dated December 18, 1989, for the benefit of Alice B. McCool, as amended by Amendments Nos. 1, 2 and 3 thereto, with respect to the Common Stock, par value $0.02 per share, of Blyth Industries, Inc., a Delaware corporation (the "Issuer"), is hereby amended as follows: Item 4 is hereby amended in its entirety as set forth below: Item 4 OWNERSHIP: The approximate percentages of shares of Common Stock reported as beneficially owned by the Reporting Entities is based upon 49,187,376 shares outstanding as of November 30, 1998, as reported in the Issuer's Quarterly Report on Form 10-Q for the fiscal quarter ended October 31, 1998. (a), (b) As of December 31, 1998: (i) (A) Mr. Goergen owned directly 13,027,969 shares of Common Stock (of which 493,503 shares were held directly by Mr. Goergen and of which 12,534,466 shares of Common Stock were held in a living trust for the benefit of Mr. Goergen, of which Mr. Goergen is trustee) or 26.5% of the outstanding shares of Common Stock. (B) Mrs. Goergen owned directly 416,280 shares of Common Stock (all of which 416,280 shares of Common Stock were held in a living trust for the benefit of Mrs. Goergen, of which Mrs. Goergen is trustee), and held currently exercisable directors' stock options issued by the Company to purchase an aggregate of 6,000 shares of Common Stock, representing, in the aggregate, 422,280 shares, or 0.9% of the outstanding shares of Common Stock. Page 7 of 9 Pages (C) The Foundation owned directly 354,814 shares of Common Stock or 0.7% of the outstanding shares of Common Stock. (D) The Trust owned directly 74,997 shares of Common Stock or 0.2% of the outstanding shares of Common Stock. (ii) (A) Mr. Goergen is the spouse of Mrs. Goergen and, pursuant to Rule 13d-3 ("Rule 13d-3") promulgated under the Securities Exchange Act of 1934, as amended (the "Exchange Act"), may be deemed to beneficially own indirectly the 422,280 shares of Common Stock beneficially owned by Mrs. Goergen. (B) Mr. Goergen is the President, a member of the Board of Directors of, and the sole investment manager of the Foundation, and, pursuant to Rule 13d-3, may be deemed to beneficially own the 354,814 shares of Common Stock held by the Foundation. (C) Mr. Goergen is a co-trustee of the Trust and, pursuant to Rule 13d-3, may be deemed to beneficially own the 74,997 shares of Common Stock held by the Trust. As a result, Mr. Goergen may be deemed to beneficially own an aggregate of 13,880,060 shares of Common Stock, or 28.2% of the outstanding shares of Common Stock. Mr. Goergen disclaims beneficial ownership of the 422,280 shares of Common Stock beneficially owned by Mrs. Goergen, and the filing of this statement shall not be construed as an admission that Mr. Goergen is, for the purposes of Sections 13(d) or (g) of the Exchange Act, the beneficial owner of such shares. (iii) (A) Mrs. Goergen is the spouse of Mr. Goergen and, pursuant to Rule 13d-3, may be deemed to beneficially own indirectly the 13,027,969 shares of Common Stock held by Mr. Goergen. As a result, Mrs. Goergen may be deemed to beneficially own an aggregate of 13,450,249 shares of Common Stock, or 27.3% of the outstanding shares of Common Stock. Mrs. Goergen disclaims beneficial ownership of the 13,027,969 shares of Common Stock held by Mr. Goergen, and the filing of this statement shall not be construed as an admission that Mrs. Goergen is, for the purposes of Sections 13(d) or (g) of the Exchange Act, the beneficial Page 8 of 9 Pages owner of such Shares. (c) (i) Mr. Goergen has the sole power to vote and dispose of, or to direct the voting and disposition of, the aggregate of 13,382,783 shares of Common Stock held by the Foundation and him. Mr. Goergen has the shared power to vote or dispose of, or to direct the voting and disposition of, the aggregate of 74,997 shares of Common Stock held by the Trust. (ii) Mrs. Goergen has the sole power to vote and dispose of, or to direct the voting and disposition of the aggregate of 422,280 shares of Common Stock beneficially owned by her. (iii) The Foundation has the shared power (with Mr. Goergen) to vote and dispose of, or to direct the voting and disposition of, the 354,814 shares of Common Stock held by it. (iv) The Trust has the shared power (with Mr. Goergen) to vote and dispose of, or to direct the voting and disposition of, the 74,997 shares of Common Stock held by it. Page 9 of 9 Pages SIGNATURES After reasonable inquiry and to the best of our knowledge and belief, we certify that the information set forth in this statement is true, complete and correct. Date: February 12, 1999 /s/ Robert B. Goergen --------------------------- Robert B. Goergen /s/ Pamela M. Goergen --------------------------- Pamela M. Goergen THE GOERGEN FOUNDATION, INC. By: /s/ Robert B. Goergen --------------------------- Name: Robert B. Goergen Title: President TRUST FOR THE BENEFIT OF ALICE B. McCOOL By: /s/ Robert B. Goergen --------------------------- Name: Robert B. Goergen Title: Co-Trustee -----END PRIVACY-ENHANCED MESSAGE-----