-----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, GULydAJ0kO7Ll8jPWEP/EiFJ97IqNAU5qP7YmFypRybAqgCQ2GWZscOpZDrM+ZbQ Hd/nOQt2Aunl/FBxBbQmBQ== 0001005477-97-002258.txt : 19970922 0001005477-97-002258.hdr.sgml : 19970922 ACCESSION NUMBER: 0001005477-97-002258 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970918 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: SC 13D SEC ACT: SEC FILE NUMBER: 005-32501 FILM NUMBER: 97682638 BUSINESS ADDRESS: STREET 1: 501 DANIEL ST STREET 2: PO BOX 4000 CITY: TARBORO STATE: NC ZIP: 27886-4000 BUSINESS PHONE: 9198234111 MAIL ADDRESS: STREET 1: P O BOX 4000 CITY: TARBORO STATE: NC ZIP: 27886 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: EMP ASSOCIATES LLC CENTRAL INDEX KEY: 0001039544 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 745 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10151 BUSINESS PHONE: 2123084155 MAIL ADDRESS: STREET 1: 745 FIFTH AVE CITY: NEW YORK STATE: NY ZIP: 10151 SC 13D 1 SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1 )* EMPIRE OF CAROLINA, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.10 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 292007-10-1 - -------------------------------------------------------------------------------- (CUSIP Number) Richard M. Hoffman, Esq. Rubin Baum Levin Constant & Friedman 30 Rockefeller Plaza, 29th Floor New York, New York 10112 (212) 698-7700 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) June 18, 1997 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) In the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(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-1(a) 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 1 of 7 SCHEDULE 13D - --------------------- ------------------ CUSIP NO. 292007-10-1 Page 2 of 7 Pages - --------------------- ------------------ - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person EMP Associates LLC (Taxpayer ID No. 13-3951570) - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group* a. |_| b. |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* OO See Item 3 - -------------------------------------------------------------------------------- 5 Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization State of Delaware - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of Shares 3,266,988 Beneficially -------------------------------------------------------- Owned By 8 Shared Voting Power Each Reporting 0 Person -------------------------------------------------------- With 9 Sole Dispositive Power 3,266,988 -------------------------------------------------------- 10 Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 3,266,988 shares of Common Stock, consisting of (i) 1,266,988 shares issuable upon exercise of warrants and (ii) 2,000,000 shares issuable upon conversion of Series A Preferred Stock - -------------------------------------------------------------------------------- 12 Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares* |_| - -------------------------------------------------------------------------------- 13 Percent of Class Represented By Amount in Row (11) 29.92% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION. Page 2 of 7 SCHEDULE 13D - --------------------- ------------------ CUSIP NO. 292007-10-1 Page 3 of 7 Pages - --------------------- ------------------ - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person EMP Management LLC (Taxpayer ID No. 13-3951571) - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group* a. |_| b. |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* OO See Item 3 - -------------------------------------------------------------------------------- 5 Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization State of Delaware - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of Shares 3,266,988 Beneficially -------------------------------------------------------- Owned By 8 Shared Voting Power Each Reporting 0 Person -------------------------------------------------------- With 9 Sole Dispositive Power 3,266,988 -------------------------------------------------------- 10 Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 3,266,988 shares of Common Stock, consisting of (i) 1,266,988 shares issuable upon exercise of warrants and (ii) 2,000,000 shares issuable upon conversion of Series A Preferred Stock - -------------------------------------------------------------------------------- 12 Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares* |_| - -------------------------------------------------------------------------------- 13 Percent of Class Represented By Amount in Row (11) 29.92% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION. Page 3 of 7 SCHEDULE 13D - --------------------- ------------------ CUSIP NO. 292007-10-1 Page 4 of 7 Pages - --------------------- ------------------ - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person Pellinore Securities Corp. (Taxpayer ID No. 13-3470809) - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group* a. |_| b. |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* OO See Item 3 - -------------------------------------------------------------------------------- 5 Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization State of New York - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of Shares 112,754 Beneficially -------------------------------------------------------- Owned By 8 Shared Voting Power Each Reporting 0 Person -------------------------------------------------------- With 9 Sole Dispositive Power 112,754 -------------------------------------------------------- 10 Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 112,754 shares of Common Stock issuable upon exercise of warrants - -------------------------------------------------------------------------------- 12 Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares* |_| - -------------------------------------------------------------------------------- 13 Percent of Class Represented By Amount in Row (11) 1.45% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* co - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION. Page 4 of 7 SCHEDULE 13D - --------------------- ------------------ CUSIP NO. 292007-10-1 Page 5 of 7 Pages - --------------------- ------------------ - -------------------------------------------------------------------------------- 1 Name of Reporting Person S.S. or I.R.S. Identification No. of Above Person J. Richard Messina (Social Security No. 133420156) - -------------------------------------------------------------------------------- 2 Check the Appropriate Box If a Member of a Group* a. |_| b. |_| - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Source of Funds* OO See Item 3 - -------------------------------------------------------------------------------- 5 Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item 2(d) or 2(e) |_| - -------------------------------------------------------------------------------- 6 Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- 7 Sole Voting Power Number of Shares 3,379,742 Beneficially -------------------------------------------------------- Owned By 8 Shared Voting Power Each Reporting 0 Person -------------------------------------------------------- With 9 Sole Dispositive Power 3,379,742 -------------------------------------------------------- 10 Shared Dispositive Power 0 - -------------------------------------------------------------------------------- 11 Aggregate Amount Beneficially Owned by Each Reporting Person 3,379,742 shares of Common Stock, consisting of (i) 1,379,742 shares issuable upon exercise of warrants and (ii) 2,000,000 shares issuable upon conversion of shares of Series A Preferred Stock - -------------------------------------------------------------------------------- 12 Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares* |_| - -------------------------------------------------------------------------------- 13 Percent of Class Represented By Amount in Row (11) 30.63% - -------------------------------------------------------------------------------- 14 Type of Reporting Person* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7 (INCLUDING EXHIBITS) OF THE SCHEDULE AND THE SIGNATURE ATTESTATION. Page 5 of 7 Schedule 13D Amendment No. 1 Empire of Carolina, Inc. This Amendment No. 1 amends the Statement on Schedule 13D filed on July 1, 1997 (the "Original Schedule 13D") by EMP Associates LLC ("EMP Associates"), EMP Management LLC ("EMP Management"), Pellinore Securities Corp. ("Pellinore") and J. Richard Messina ("Messina" and, collectively with EMP Associates, EMP Management and Pellinore, the "Reporting Persons") relating to the common stock, par value $.10 per share (the "Common Stock"), of Empire of Carolina, Inc., a Delaware corporation (the "Issuer"). The sole purpose of the Amendment is to correct a typographical error in the number of shares of Common Stock stated to be issuable upon conversion of the shares of Series A Preferred Stock of the Issuer held by the Reporting Persons and the resulting calculation of the number of shares and percentage of Common Stock beneficially owned by the Reporting Persons. There has been no change in the Reporting Persons' ownership of securities of the Issuer since the date of the Original Schedule 13D. The Issuer's principal executive offices are located at 5150 Linton Boulevard, Delray Beach, Florida 33484. Item 3. Source and Amount of Funds and Other Consideration. Item 3 is amended to correct the references (A) in clause (i) of the first paragraph thereof and clause (i) of the third paragraph thereof to the number of shares of Common Stock issuable upon conversion of shares of Series A Preferred Stock of the Issuer beneficially owned by the Reporting Persons from 200,000 to 2,000,000; and (B) in clause (iii) of the first paragraph thereof to the number of shares of Common Stock beneficially owned by Messina from 1,579,742 to 3,379,742. Item 5. Interest in Securities of the Issuer. Item 5 is amended to correct the reference in paragraphs (a) and (b) thereof to the number of shares of Common Stock beneficially owned by the Page 6 of 7 Reporting Persons in the aggregate from 1,579,742 to 3,379,742 and to the number of shares of Common Stock beneficially owned by EMP Associates to 3,266,988 from 1,466,988. SIGNATURES After reasonable inquiry and to the best of the undersigned's knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Dated: September 17, 1997 EMP ASSOCIATES LLC By EMP Management LLC, Managing Member By: ----------------------------- J. Richard Messina Manager EMP MANAGEMENT LLC By: ----------------------------- J. Richard Messina, Manager PELLINORE SECURITIES CORP. By: J. Richard Messina, President ----------------------------- ----------------------------- J. RICHARD MESSINA Page 7 of 7 -----END PRIVACY-ENHANCED MESSAGE-----