-----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, Lt9gtPid2tT7fyDe+jW64gfxFDMBR0ypLXpEX5a7je2OgvZHt94PwyIF3ehOfAdY M5QNxBoRMKxuqR8gqK9vog== 0000312840-98-000006.txt : 19981012 0000312840-98-000006.hdr.sgml : 19981012 ACCESSION NUMBER: 0000312840-98-000006 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19980331 FILED AS OF DATE: 19981009 SROS: AMEX SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EMPIRE OF CAROLINA INC CENTRAL INDEX KEY: 0000312840 STANDARD INDUSTRIAL CLASSIFICATION: GAMES, TOYS & CHILDREN'S VEHICLES (NO DOLLS & BICYCLES) [3944] IRS NUMBER: 132999480 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4/A SEC ACT: SEC FILE NUMBER: 001-07909 FILM NUMBER: 98723621 BUSINESS ADDRESS: STREET 1: 5150 LINTON BLVD STREET 2: 5TH FL CITY: DELRAY BEACH STATE: FL ZIP: 33484 BUSINESS PHONE: 5614984000 MAIL ADDRESS: STREET 1: P O BOX 4000 CITY: TARBORO STATE: NC ZIP: 27886 COMPANY DATA: COMPANY CONFORMED NAME: PINTO JAMES J CENTRAL INDEX KEY: 0000933688 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4/A BUSINESS ADDRESS: STREET 1: 235 SUNRISE STREET 2: STE 3224 CITY: PALM BEACH STATE: FL ZIP: 33480 MAIL ADDRESS: STREET 1: 235 SUNRISE AVE STREET 2: STE 3224 CITY: PALM BEACH STATE: FL ZIP: 33480 4/A 1 FORM 4 - MARCH 31, 1998 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM 4 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP ( ) Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instructions 1(b). 1. Name and Address of Reporting Person Pinto, James J. 366 Round Hill Road Greenwich, CT 06831 USA 2. Issuer Name and Ticker or Trading Symbol Empire of Carolina, Inc. EMP 3. IRS or Social Security Number of Reporting Person (Voluntary) 4. Statement for Month/Year March 31, 1998 5. If Amendment, Date of Original (Month/Year) March 31, 1998 6. Relationship of Reporting Person(s) to Issuer (Check all applicable) (X) Director (X) 10% Owner ( ) Officer (give title below) ( ) Other (specify below) 7. Individual or Joint/Group Filing (Check Applicable Line) (X) Form filed by One Reporting Person ( ) Form filed by More than One Reporting Person
___________________________________________________________________________________________________________________________________ Table I -- Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1. Title of Security |2. |3. |4.Securities Acquired (A) |5.Amount of |6.Dir |7.Nature of Indirect | | Transaction | or Disposed of (D) | Securities |ect | Beneficial Ownership | | | | | Beneficially |(D)or | | | | | | | A/| | Owned at |Indir | | | Date |Code|V| Amount | D | Price | End of Month |ect(I)| | ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________| ___________________________________________________________________________________________________________________________________ Table II -- Derivative Securitites Acquired, Disposed of, or Beneficially Owned | ___________________________________________________________________________________________________________________________________| 1.Title of Derivative |2.Con- |3. |4. |5.Number of De |6.Date Exer|7.Title and Amount |8.Price|9.Number |10.|11.Nature of| Security |version |Transaction | rivative Secu |cisable and| of Underlying |of Deri|of Deriva |Dir|Indirect | |or Exer | | | rities Acqui |Expiration | Securities |vative |tive |ect|Beneficial | |cise | | | red(A) or Dis |Date(Month/| |Secu |Securities |(D)|Ownership | |Price of| | | posed of(D) |Day/Year) | |rity |Benefi |or | | |Deriva- | | | |Date |Expir| | |ficially |Ind| | |tive | | | | A/|Exer-|ation| Title and Number | |Owned at |ire| | |Secu- | | | | | D |cisa-|Date | of Shares | |End of |ct | | |rity |Date |Code|V| Amount | |ble | | | |Month |(I)| | ___________________________________________________________________________________________________________________________________| Convertible Series A P|$1.25 |3/3/9|P | |10,000 |A |Immed|N/A |Common Stock|80,000 |* |880,000 |I |Partner in T| referred Stock | |8 | | | | |iate | | | | | | |elcom Partne| | | | | | | | | | | | | | |rs, L.P. | - -----------------------------------------------------------------------------------------------------------------------------------| Warrants to Purchase C|$1.375 |3/3/9|P | |10,000 |A |Immed|5/6/0|Common Stock|10,000 |* |2,688,752 |D | | ommon Stock | |8 | | | | |iate |3 | | | | | | | - -----------------------------------------------------------------------------------------------------------------------------------| | | | | | | | | | | | | | | | ___________________________________________________________________________________________________________________________________|
Explanation of Responses: This amendment is being filed to correct an error in the ownership form of the 10,000 shares of Series A Preferred Stock purchased on March 3, 1998. These shares were purchase by Telcom Partners, L.P., a limited partnerhsip of which Mr. James Pinto is the sole general partner. * $100,000 was paid in the aggregate for the purchase of the 10,000 shares of the Series A Preferred Stock and the 10,000 Warrants SIGNATURE OF REPORTING PERSON \s\ James Pinto DATE October 9, 1998
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