-----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, CvJ35TfxfDpeOqXJ0I48SotvupJhE9o0MbiYGD7moikr1mKW1VOmia2GQm6VYgvh htfzdjtIHK+pc73tTE1l5w== 0001042910-00-000024.txt : 20000202 0001042910-00-000024.hdr.sgml : 20000202 ACCESSION NUMBER: 0001042910-00-000024 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20000110 FILED AS OF DATE: 20000110 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: 504652 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: 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 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 4 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 [ ] Check this box if no longer subject of Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b). ================================================================================ 1. Name and Address of Reporting Person* Holmes, Charles S. - -------------------------------------------------------------------------------- (Last) (First) (Middle) P.O. Box 2850 - -------------------------------------------------------------------------------- (Street) Southhampton, New York 11969 - -------------------------------------------------------------------------------- (City) (State) (Zip) ================================================================================ 2. Issuer Name and Ticker or Trading Symbol EMPIRE OF CAROLINA - "EMP" ================================================================================ 3. IRS or Social Security Number of Reporting Person (Voluntary) ================================================================================ 4. Statement for Month/Year December 1999 ================================================================================ 5. If Amendment, Date of Original (Month/Year) ================================================================================ 6. Relationship of Reporting Person to Issuer (Check all applicable) [ X ] Director [ ] __% 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 ================================================================================
6. 4. 5. Owner- Securities Acquired (A) or Amount of ship 3. Disposed of (D) Securities Form: 7. Transaction (Instr. 3, 4 and 5) Beneficially Direct Nature of 2. Code ------------------------------- Owned at End (D) or Indirect 1. Transaction (Instr. 8) (A) of Month Indirect Beneficial Title of Security Date ------------ Amount or Price (Instr. 3 (I) Ownership (Instr. 3) (mm/dd/yy) Code V (D) and 4) (Instr.4) (Instr. 4) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/02/99 P 20,000 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/03/99 P 50,000 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/06/99 P 25,000 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/07/99 P 38,600 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/08/99 P 5,500 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/20/99 P 25,000 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/21/99 P 25,000 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/22/99 P 45,000 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/27/99 P 10,000 A $.219 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/28/99 P 25,000 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/29/99 P 80,000 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/30/99 P 10,000 A $.25 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------ Common Stock 12/30/99 P 18,900 A $.219 5,404,008 (1) (1) - ------------------------------------------------------------------------------------------------------------------------------------
* If the Form is filed by more than one Reporting Person, see Instruction 4(b)(v). Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Printed or Type Response) FORM 4 (continued) Table II -- Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) ================================================================================
9. 10. Number Owner- of ship 2. Deriv- of Conver- 5. 7. ative Deriv- 11. sion Number of Title and Amount Secur- ative Nature of Derivative 6. of Underlying 8. ities Secur- of Exer- 4. Securities Date Securities Price Bene- ity: In- cise 3. Trans- Acquired (A) Exercisable and (Instr. 3 and 4) of ficially Direct direct Price Trans- action or Disposed Expiration Date ---------------- Deriv- Owned (D) or Bene- 1. of action Code of(D) (Month/Day/Year) Amount ative at End In- ficial Title of Deriv- Date (Instr. (Instr. 3, ---------------- or Secur- of direct Owner- Derivative ative (Month/ 8) 4 and 5) Date Expira- Number ity Month (I) ship Security Secur- Day/ ------ ------------ Exer- tion of (Instr. (Instr. (Instr. (Instr. (Instr. 3) ity Year) Code V (A) (D) cisable Date Title Shares 5) 4) 4) 4) - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ - ------------------------------------------------------------------------------------------------------------------------------------ ====================================================================================================================================
Explanation of Responses: (1) Includes: 265,656 shares of unregistered Common Stock in addition to 3,933,752 shares of Common Stock issuable upon the conversion of 145,000 shares of Series A Preferred Stock and 2,773,752 Warrants owned directly by Charles Holmes. Also includes: 175,000 shares of Common Stock purchased for Carrie Catherine Holmes, a minor, which are held by Diane Holmes in a custodian account and 1,029,600 shares of Common Stock owned by Diane Holmes (the acquisition of 378,000 of which are the subject of this report) which are owned indirectly by Charles Holmes. /s/ Charles S. Holmes January 10, 2000 ----------------------------------------- ----------------------- **Signature of Reporting Person Date CHARLES S. HOLMES ** 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 procedures. Page 2 -----END PRIVACY-ENHANCED MESSAGE-----