-----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, Se3QNkhmElK3xYX8r+IYbOySWjeTRhQDdNRA5KQQL8tBnAGd3SbrKdz4WoIiKhLJ xAPbu+/EDaG0AmgvGfAbPQ== 0000897069-96-000160.txt : 19960708 0000897069-96-000160.hdr.sgml : 19960708 ACCESSION NUMBER: 0000897069-96-000160 CONFORMED SUBMISSION TYPE: 10-C PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19960419 FILED AS OF DATE: 19960607 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: EFFECTIVE MANAGEMENT SYSTEMS INC CENTRAL INDEX KEY: 0000853372 STANDARD INDUSTRIAL CLASSIFICATION: 7372 IRS NUMBER: 391292200 STATE OF INCORPORATION: WI FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: 10-C SEC ACT: 1934 Act SEC FILE NUMBER: 000-23438 FILM NUMBER: 96578260 BUSINESS ADDRESS: STREET 1: 12000 WEST PARK PL CITY: MILWAUKEE STATE: WI ZIP: 53224 BUSINESS PHONE: 4143599800 10-C 1 FORM 10-C FOR EFFECTIVE MANAGEMENT SYSTEMS FORM 10-C Securities and Exchange Commission Washington, DC 20549 Report by issuer of securities quoted on The Nasdaq Stock Market, filed pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 and Rule 13a-17 or 15d-17 thereunder. EXACT NAME OF ISSUER AS SPECIFIED IN CHARTER: Effective Management Systems, Inc. ADDRESS OF PRINCIPAL EXECUTIVE OFFICES: 12000 West Park Place, Milwaukee, WI 53224 ISSUER'S TELEPHONE NUMBER (INCLUDING AREA CODE): (414) 359-9800 I. Change in Number of Shares Outstanding Indicate any change (increase or decrease) of five percent or more in the number of shares outstanding: 1. Title of security Warrants to purchase shares of Common Stock 2. Number of warrants outstanding before the change 277,794 3. Number of warrants outstanding after the change 401,461 4. Effective date of change April 19, 1996 5. Method of change Additional issuance of Warrants pursuant to Merger of Intercim Corporation Specify method (such as merger, acquisition, exchange, distribution, stock split, reverse split, acquisition of stock for treasury, etc.) Give brief description of transaction Additional issuance of Warrants based on price of Warrants to purchase Common Stock pursuant to Merger with Intercim Corporation II. Change in Name of Issuer 1. Name prior to change 2. Name after change 3. Effective date of charter amendment changing name 4. Date of shareholder approval of change, if required June 6, 1996 Michael D. Dunham, President Date Officer's Signature and Title -----END PRIVACY-ENHANCED MESSAGE-----