-----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, KTWQ/SOKmsd7lbal5kR8ezqtVJLf5Nh+oMvMBzGBArYpy1Cay4KUoOQLPhXsnJnT bLeV+T9l6JHMoASDe43few== 0000950142-98-000007.txt : 19980109 0000950142-98-000007.hdr.sgml : 19980109 ACCESSION NUMBER: 0000950142-98-000007 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19971201 FILED AS OF DATE: 19980108 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 SEC ACT: SEC FILE NUMBER: 001-07909 FILM NUMBER: 98502644 BUSINESS ADDRESS: STREET 1: 5150 LINTON BLVD STREET 2: 5TH FL CITY: DELRAY BEACH STATE: FL ZIP: 33484 BUSINESS PHONE: 9198234111 MAIL ADDRESS: STREET 1: P O BOX 4000 CITY: TARBORO STATE: NC ZIP: 27886 COMPANY DATA: COMPANY CONFORMED NAME: HOLMES CHARLES S CENTRAL INDEX KEY: 0000901020 STANDARD INDUSTRIAL CLASSIFICATION: [] DIRECTOR FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 3555 CURTIS BLVD CITY: CLEVELAND STATE: OH ZIP: 44059 BUSINESS PHONE: 2169462525 4 1
U.S. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ----------------------------------- -------------------------------- FORM 4 OMB APPROVAL - ----------------------------------- -------------------------------- [ ] CHECK THIS BOX IF NO LONGER OMB Number: 3235-0287 SUBJECT TO SECTION 16. FORM 4 Expires: September 30, 1998 OR FORM 5 OBLIGATIONS MAY Estimated average burden CONTINUE. SEE INSTRUCTION 1(B). hours per response .... 0.5 --------------------------------
1. Name and Address of Reporting Person * Holmes Charles S. (Last) (First) (Middle) P.O. Box 2850 (Street) Southampton NY 11969 (City) (State) (Zip) 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 of Month/Year December 1997 5. If Amendment, Date or Original (Month/Year) 6. Relationship of Reporting Person to Issuer (Check all applicable) X Director X 10% Owner ----- ----- Officer (give title Other ----- below) ----- (specify below) ---------------------------------------- 7. Individual or Join/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. Transaction 3. Trans- 4. Securities Acquired (A) 5. Amount of 6. Owner- 7. Nature (Instr. 3) Date action or Disposed of (D) Securities ship of In- Code (Instr. 3, 4 and 5) Beneficially Form: direct (Month/ (Instr. 8) Owned at Direct Bene- Day/ ------------- ------------------------- End of (D) ficial Year) (A) Month Indirect Owner- Code Amount or Price (Instr. 3 (I) ship (D) and 4) (Instr. 4) (Instr. 4) - ----------------------------- -------------- ------------- ---------- --- ------- --------------- ------------- ----------- - ----------------------------- -------------- ------------- ---------- --- ------- --------------- ------------- ----------- Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Over) * If the form is filed by more than one reporting person, SEE Instruction 4(b)(v). SEC 1474 8-92)
FORM 4 (CONTINUED) TABLE II -- DERIVATIVE SECURITIES ACQUIRED, DISPOSED OF, OR BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) 1. Title of Derivative 2. Conver- 3. Trans- 4. Transac- 5. Number of Deriv- 6. Date Exer- Security (Instr. 3) sion or action tion Code ative Securities Ac- cisable and Ex- Exercise Date (Instr. 8) quired (A) or Dis- piration Date Price of posed of (D) Deriv- (Month/ (Instr. 3, 4 and 5) (Month/Day/ ative Day/ Year) Secur Year) ------------- ------------------------- ---------------------- Date Expira- Code (A) (D) Exer- tion cisable Date - -------------------------------------- ------------- ----------- ------------- ----------- ----------- ----------- --------- Warrants to Purchase Common Stock $1.375 12/22/97 P 50,000 Immediat 5/6/03 - -------------------------------------- ------------- ----------- ------------- ----------- ----------- ----------- --------- 7. Title and Amount of 8. Price 9. Number 10. Owner- 11. Na- Underlying Securities Deriv of Deriv- ship ture ative ative Form of In- (Instr. 3 and 4) Secur- Secur- of De- direct ity ities rivative Bene- (Instr. Bene Secu- ficial 5) ficially rity: Own- Owned Direct ership - -------------------------------------- at End (D) or (Instr. 4) Amount or of Indi- Title Number of Month rect (I) Shares (Instr. 4) (Instr. 4) - --------------------- --------------- ------------- ------------- ------------- -------------- Common Stock 50,000 $1.00 2,753,752 D - --------------------- --------------- ------------- ------------- ------------- --------------
Explanation of Responses: **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. SEE 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, SEE Instruction 6 for procedure. /s/ Charles S. Holmes January 8, 1998 - ----------------------------------------------- ---------------------- **Signature of Reporting Person Date Charles S. Holmes -----END PRIVACY-ENHANCED MESSAGE-----