-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: keymaster@town.hall.org Originator-Key-Asymmetric: MFkwCgYEVQgBAQICAgADSwAwSAJBALeWW4xDV4i7+b6+UyPn5RtObb1cJ7VkACDq pKb9/DClgTKIm08lCfoilvi9Wl4SODbR1+1waHhiGmeZO8OdgLUCAwEAAQ== MIC-Info: RSA-MD5,RSA, XaZnflyB+ynY3M0PGS2Tb0jnjmyIG54IsZbCq1EvuIkJDXMol3DTvHMv62B2/6sO OxL1OSMGL8EGkbqEMjCT5g== 0000950168-95-000446.txt : 19950518 0000950168-95-000446.hdr.sgml : 19950518 ACCESSION NUMBER: 0000950168-95-000446 CONFORMED SUBMISSION TYPE: SC 13E4/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19950517 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMERGENT GROUP INC CENTRAL INDEX KEY: 0000277028 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] IRS NUMBER: 570513287 STATE OF INCORPORATION: SC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13E4/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-34272 FILM NUMBER: 95540643 BUSINESS ADDRESS: STREET 1: 15 SOUTH MAIN ST STREET 2: 233 NORTH MAIN STREET STE 350 CITY: GREENVILLE STATE: SC ZIP: 29606 BUSINESS PHONE: 8032358056 MAIL ADDRESS: STREET 1: WACHOVIA BANK BLDG STREET 2: 15 SOUTH MAIN ST SUITE 750 CITY: GREENVILLE STATE: SC ZIP: 29601 FORMER COMPANY: FORMER CONFORMED NAME: NRUC CORP DATE OF NAME CHANGE: 19911002 FORMER COMPANY: FORMER CONFORMED NAME: NATIONAL RAILWAY UTILIZATION CORP DATE OF NAME CHANGE: 19840813 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EMERGENT GROUP INC CENTRAL INDEX KEY: 0000277028 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] IRS NUMBER: 570513287 STATE OF INCORPORATION: SC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13E4/A BUSINESS ADDRESS: STREET 1: 15 SOUTH MAIN ST STREET 2: 233 NORTH MAIN STREET STE 350 CITY: GREENVILLE STATE: SC ZIP: 29606 BUSINESS PHONE: 8032358056 MAIL ADDRESS: STREET 1: WACHOVIA BANK BLDG STREET 2: 15 SOUTH MAIN ST SUITE 750 CITY: GREENVILLE STATE: SC ZIP: 29601 FORMER COMPANY: FORMER CONFORMED NAME: NRUC CORP DATE OF NAME CHANGE: 19911002 FORMER COMPANY: FORMER CONFORMED NAME: NATIONAL RAILWAY UTILIZATION CORP DATE OF NAME CHANGE: 19840813 SC 13E4/A 1 EMERGENT GROUP INC. SC 13E4/A 80930.1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 - - - - - - - - - - AMENDMENT NO. 3 TO SCHEDULE 13E-4 Issuer Tender Offer Statement (Pursuant to Section 13(e)(1) of the Securities Exchange Act of 1934) EMERGENT GROUP, INC. (Name of Issuer) EMERGENT GROUP, INC. (Name of Person Filing Statement) Class A Common Stock, Par Value $0.05 Per Share ("Class A Stock") Common Stock, Par Value $0.05 Per Share ("Common Stock") (Title of Class of Securities) 290916204 (Class A Stock) 290916105 (Common Stock) CUSIP (Number of Class of Securities) - - - - - - - - - - Robert S. Davis Vice President, Treasurer, and CFO Emergent Group, Inc. P. O. Box 17526 15 South Main Street, Suite 750 Greenville, SC 29606 (803) 235-8056 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications on Behalf of the Person(s) Filing Statement) Copy to: William W. Kehl Jo Watson Hackl Attorneys Wyche, Burgess, Freeman and Parham, P.A. P. O. Box 728 44 East Camperdown Way Greenville, SC 29602 (803) 242-8200 March 31, 1995 (Date Tender Offer First Published, Sent or Given to Security Holders) Calculation of Filing Fee Transaction valuation* Amount of filing fee $1,150,000 $230 *Assumes purchase of an aggregate of 1,000,000 shares of Class A and Common Stock at $1.15 per share [X] Check box if any part of the fee is offset as provided by Rule 0-11(a)(2) and identify the filing with which the offsetting fee was previously paid. Identify the previous filing by registration statement number of the Form or Schedule and the date of its filing. Amount Previously Paid: $230 Filing Party: Emergent Group, Inc. Form or Registration No.: Schedule 13E-4 Date Filed: March 31, 1995 ITEM 1. Security and Issuer. (b) The following is hereby added to the material previously set forth under Item 1(b). The tender offers terminated at 5:01 p.m., Greenville South Carolina time on Monday, May 8, 1995. An aggregate of 466,413.96 shares of Class A Stock and an aggregate of 19,386.28 shares of Common Stock were tendered pursuant to the offers. Mr. F. E. Haag, a director of the Company, tendered an aggregate of 107,800 shares of Class A Stock and an aggregate of 2,200 shares of Common Stock pursuant to the tender offers. The Company is accepting all Shares properly tendered pursuant to the offers. 2 ITEM 9. MATERIAL TO BE FILED AS EXHIBITS. 99(a)(1) Offer to Purchase dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(1) to the Company's Schedule 13E-4 filed March 31, 1995 (the "Schedule 13E-4"). 99(a)(1)(a) Supplement No. 1 dated April 13, 1995 to Offer to Purchase dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(1)(a) to the Company's Amendment No. 1 to Schedule 13E-4 filed April 13, 1995. 99(a)(2) Form of Letter of Transmittal: Incorporated herein by reference to Exhibit 99(a)(2) to the Schedule 13E-4. 99(a)(3) Form of Notice of Guaranteed Delivery: Incorporated herein by reference to Exhibit 99(a)(3) to the Schedule 13E-4. 99(a)(4) Form of Letter to brokers, dealers, commercial banks, trust companies and other nominees dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(4) to the Schedule 13E-4. 99(a)(5) Form of Letter to clients for use by brokers, dealers, commercial banks, trust companies and other nominees dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(5) to the Schedule 13E-4. 99(a)(6) Form of Letter to shareholders from the Chairman and Chief Executive Officer of the Company dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(6) to the Schedule 13E-4. 99(a)(7) Form of Press Release dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(7) to the Schedule 13E-4. 99(a)(7)(a) Form of Press Release dated May 1, 1995: Incorporated herein by reference to Exhibit 99(a)(7)(a) to the Company's Amendment No. 2 to Schedule 13E-4 filed May 1, 1995. 99(a)(8) Form of Summary Advertisement dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(8) to the Schedule 13E-4. 99(a)(8)(a) Form of Advertisement regarding extension of offers: Incorporated herein by reference to Exhibit 99(a)(8)(a) to the Company's Amendment No. 2 to Schedule 13E-4 filed May 1, 1995. 99(b) Not applicable. 99(c)(1) Stock Option Plan and Form of Letter addressed to participants: Incorporated herein by reference to Exhibit to the Company's Registration Statement (File No. 2-62687). 99(c)(2) Form of Warrants issued pursuant to Plan of Reorganization: Incorporated herein by reference to Exhibit to the Company's Annual Report on Form 10-K for the year ended December 31, 1985 (File No. 0-8909). 3 99(d) Not applicable. 99(e) Not applicable. 99(f) Not applicable. 4 After due 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. EMERGENT GROUP, INC. By: /s/ Robert S. Davis Robert S. Davis Vice President, Treasurer and Chief Financial Officer Dated: May 17, 1995 5 EXHIBIT INDEX Exhibit 99(a)(1) Offer to Purchase dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(1) to the Company's Schedule 13E-4 filed March 31, 1995 (the "Schedule 13E-4"). 99(a)(1)(a) Supplement No. 1 dated April 13, 1995 to Offer to Purchase dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(1)(a) to the Company's Amendment No. 1 to Schedule 13E-4 filed April 13, 1995. 99(a)(2) Form of Letter of Transmittal: Incorporated herein by reference to Exhibit 99(a)(2) to the Schedule 13E-4. 99(a)(3) Form of Notice of Guaranteed Delivery: Incorporated herein by reference to Exhibit 99(a)(3) to the Schedule 13E-4. 99(a)(4) Form of Letter to brokers, dealers, commercial banks, trust companies and other nominees dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(4) to the Schedule 13E-4. 99(a)(5) Form of Letter to clients for use by brokers, dealers, commercial banks, trust companies and other nominees dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(5) to the Schedule 13E-4. 99(a)(6) Form of Letter to shareholders from the Chairman and Chief Executive Officer of the Company dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(6) to the Schedule 13E-4. 99(a)(7) Form of Press Release dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(7) to the Schedule 13E-4. 99(a)(7)(a) Form of Press Release dated May 1, 1995: Incorporated herein by reference to Exhibit 99(a)(7)(a) to the Company's Amendment No. 2 to Schedule 13E-4 filed May 1, 1995. 99(a)(8) Form of Summary Advertisement dated March 31, 1995: Incorporated herein by reference to Exhibit 99(a)(8) to the Schedule 13E-4. 99(a)(8)(a) Form of Advertisement regarding extension of offers: Incorporated herein by reference to Exhibit 99(a)(8)(a) to the Company's Amendment No. 2 to Schedule 13E-4 filed May 1, 1995. 99(b) Not applicable. 99(c)(1) Stock Option Plan and Form of Letter addressed to participants: Incorporated herein by reference to Exhibit to the Company's Registration Statement (File No. 2-62687). 99(c)(2) Form of Warrants issued pursuant to Plan of Reorganization: Incorporated herein by reference to Exhibit to the Company's Annual Report on Form 6 10-K for the year ended December 31, 1985 (File No. 0-8909). 99(d) Not applicable. 99(e) Not applicable. 99(f) Not applicable. 7 -----END PRIVACY-ENHANCED MESSAGE-----