-----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, TwOrf+uFoqIpeYB4JzMQkA4Q6SM9GWNJ/wyIrK07Gxh2sfD7434Cy8wFJcP7jyJx JZsr5I69cvSzc/jcrn8ySA== 0000950147-99-001307.txt : 19991122 0000950147-99-001307.hdr.sgml : 19991122 ACCESSION NUMBER: 0000950147-99-001307 CONFORMED SUBMISSION TYPE: SC 14D1 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991119 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EFFECTIVE MANAGEMENT SYSTEMS INC CENTRAL INDEX KEY: 0000853372 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 391292200 STATE OF INCORPORATION: WI FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-49341 FILM NUMBER: 99760827 BUSINESS ADDRESS: STREET 1: 12000 WEST PARK PL CITY: MILWAUKEE STATE: WI ZIP: 53224 BUSINESS PHONE: 4143599800 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: EFFECTIVE MANAGEMENT SYSTEMS INC CENTRAL INDEX KEY: 0000853372 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-PREPACKAGED SOFTWARE [7372] IRS NUMBER: 391292200 STATE OF INCORPORATION: WI FISCAL YEAR END: 1130 FILING VALUES: FORM TYPE: SC 14D1 SEC ACT: SEC FILE NUMBER: 005-49341 FILM NUMBER: 99760828 BUSINESS ADDRESS: STREET 1: 12000 WEST PARK PL CITY: MILWAUKEE STATE: WI ZIP: 53224 BUSINESS PHONE: 4143599800 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: IFS AB CENTRAL INDEX KEY: 0001094511 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 14D1 BUSINESS ADDRESS: STREET 1: 1900 E GOLF RD STREET 2: STE 900 CITY: SCHAUMBURG STATE: IL ZIP: 60173 MAIL ADDRESS: STREET 1: 1900 E GOLF RD STREET 2: STE 900 CITY: SCHAUMBURG STATE: IL ZIP: 60173 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: IFS AB CENTRAL INDEX KEY: 0001094511 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 14D1 BUSINESS ADDRESS: STREET 1: 1900 E GOLF RD STREET 2: STE 900 CITY: SCHAUMBURG STATE: IL ZIP: 60173 MAIL ADDRESS: STREET 1: 1900 E GOLF RD STREET 2: STE 900 CITY: SCHAUMBURG STATE: IL ZIP: 60173 SC 14D1 1 SCHED 14D-1 AND 13D OF IFS ACQUISITION, INC. ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------- SCHEDULE 14D-1 TENDER OFFER STATEMENT Pursuant to Section 14(d)(1) of the Securities Exchange Act of 1934 and SCHEDULE 13D under the Securities Exchange Act of 1934 (AMENDMENT NO. 2) (FINAL AMENDMENT) EFFECTIVE MANAGEMENT SYSTEMS, INC. (Name of Subject Company) IFS ACQUISITION, INC. IFS AMERICAS, INC. INDUSTRIAL & FINANCIAL SYSTEMS, IFS AB (Bidders) COMMON STOCK, PAR VALUE $.01 PER SHARE (Title of Class of Securities) 282017 10 2 (CUSIP Number of Class of Securities) TERJE VANGBO PRESIDENT AND CHIEF EXECUTIVE OFFICER IFS ACQUISITION, INC. AND IFS AMERICAS, INC. 1900 EAST GOLF ROAD, SUITE 900 SCHAUMBURG, ILLINOIS 60173 (847) 995-9600 (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications on Behalf of Bidders) COPY TO: CHRISTIAN J. HOFFMANN, III, ESQ. STREICH LANG, P.A. TWO NORTH CENTRAL AVENUE PHOENIX, ARIZONA 85004 (602) 229-5200 ================================================================================ (Continued on following page(s)) (Page 1 of 6 Pages) SCHEDULE 14D-1 CUSIP No. 282017 10 2 Page 2 of 6 Pages - -------------------------------------------------------------------------------- (1) Name of reporting persons: Industrial & Financial Systems, IFS AB I.R.S. Identification No. of above person (entities only): N/A - -------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions): (a) [ ] (b) [X] - -------------------------------------------------------------------------------- (3) SEC use only - -------------------------------------------------------------------------------- (4) Source of funds (see instructions): WC - -------------------------------------------------------------------------------- (5) Check box if disclosure of legal proceedings is required pursuant to Items 2(e) or 2(f) [ ] - -------------------------------------------------------------------------------- (6) Citizenship or place of organization: Sweden - -------------------------------------------------------------------------------- (7) Aggregate amount beneficially owned by each reporting person: 5,302,856 shares of common stock (fully diluted)* - -------------------------------------------------------------------------------- (8) Check box if the aggregate amount in Row (7) excludes certain shares (see instructions): [ ] - -------------------------------------------------------------------------------- (9) Percent of class represented by amount in Row (7): 97.2%* - -------------------------------------------------------------------------------- (10) Type of reporting person (see instructions): CO - -------------------------------------------------------------------------------- * Excludes shares that may be issuable under the Stock Option Agreement dated as of September 1, 1999, by and among the Purchaser, Parent and the Company. -2- SCHEDULE 14D-1 CUSIP No. 282017 10 2 Page 3 of 6 Pages - -------------------------------------------------------------------------------- (1) Name of reporting persons: IFS Americas, Inc. I.R.S. Identification No. of above person (entities only): 36-431-4355 - -------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions): (a) [ ] (b) [X] - -------------------------------------------------------------------------------- (3) SEC use only - -------------------------------------------------------------------------------- (4) Source of funds (see instructions): AF - -------------------------------------------------------------------------------- (5) Check box if disclosure of legal proceedings is required pursuant to Items 2(e) or 2(f) [ ] - -------------------------------------------------------------------------------- (6) Citizenship or place of organization: Delaware - -------------------------------------------------------------------------------- (7) Aggregate amount beneficially owned by each reporting person: 5,302,856 shares of common stock (fully diluted)* - -------------------------------------------------------------------------------- (8) Check box if the aggregate amount in Row (7) excludes certain shares (see instructions): [ ] - -------------------------------------------------------------------------------- (9) Percent of class represented by amount in Row (7): 97.2%* - -------------------------------------------------------------------------------- (10) Type of reporting person (see instructions): CO - -------------------------------------------------------------------------------- * Excludes shares that may be issuable under the Stock Option Agreement dated as of September 1, 1999, by and among the Purchaser, Parent and the Company. -3- SCHEDULE 14D-1 CUSIP No. 282017 10 2 Page 4 of 6 Pages - -------------------------------------------------------------------------------- (1) Name of reporting persons: IFS Acquisition, Inc. I.R.S. Identification No. of above person (entities only): 36-431-4350 - -------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions): (a) [ ] (b) [X] - -------------------------------------------------------------------------------- (3) SEC use only - -------------------------------------------------------------------------------- (4) Source of funds (see instructions): AF - -------------------------------------------------------------------------------- (5) Check box if disclosure of legal proceedings is required pursuant to Items 2(e) or 2(f) [ ] - -------------------------------------------------------------------------------- (6) Citizenship or place of organization: Wisconsin - -------------------------------------------------------------------------------- (7) Aggregate amount beneficially owned by each reporting person: 5,302,856 shares of common stock (fully diluted)* - -------------------------------------------------------------------------------- (8) Check box if the aggregate amount in Row (7) excludes certain shares (see instructions): [ ] - -------------------------------------------------------------------------------- (9) Percent of class represented by amount in Row (7): 97.2%* - -------------------------------------------------------------------------------- (10) Type of reporting person (see instructions): CO - -------------------------------------------------------------------------------- * Excludes shares that may be issuable under the Stock Option Agreement dated as of September 1, 1999, by and among the Purchaser, Parent and the Company. -4- This Amendment No. 2, amends the joint Schedule 14D-1 Tender Offer Statement and Schedule 13D Statement (the "Schedule 14D-1") relating to the offer by IFS Acquisition, Inc., a Wisconsin corporation (the "Purchaser") and a wholly-owned subsidiary of IFS Americas Inc., a Delaware corporation (the "Parent"), to purchase all outstanding shares of common stock, par value $.01 per share, of Effective Management Systems, Inc., a Wisconsin corporation (the "Company"), at a price of $4.50 per share net to the seller in cash, without interest thereon, upon the terms and subject to the conditions set forth in the Offer to Purchase, dated September 8, 1999 (the "Offer to Purchase"), and in the related Letter of Transmittal. Parent is a subsidiary of Industrial & Financial Systems, IFS AB, a corporation organized under the laws of Sweden ("IFS"). Capitalized terms used but not otherwise defined herein shall have their meanings assigned in the Schedule 14D-1. ITEM 6. INTEREST IN SECURITIES OF THE SUBJECT COMPANY. The information set forth in Item 6 of the Schedule 14D-1 and in the Offer to Purchase are hereby amended as follows: At 5:00 p.m., New York City time, on Friday, October 15, 1999, the Offer expired. Based on a preliminary count, 4,981,224 (5,302,856 on a fully diluted basis) Shares were tendered pursuant to the Offer, of which 15,861 Shares were tendered pursuant to notices of guaranteed delivery. Effective as of 5:01 p.m. on October 15, 1999, all Shares validly tendered and not withdrawn prior to the expiration of the Offer were accepted for payment. The acceptance of such tendered Shares resulted in Parent and its subsidiaries owning approximately 97% of the outstanding Shares. A copy of the press release announcing the expiration of the Offer and the acceptance for payment of validly tendered Shares is attached hereto as Exhibit (a)(9) and is incorporated herein by reference. ITEM 11. MATERIAL TO BE FILED AS EXHIBITS. Item 11 is hereby amended by adding the following exhibit: (a)(9) Press Release issued by Parent on October 18, 1999. -5- SIGNATURES After due inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: November 3, 1999 INDUSTRIAL & FINANCIAL SYSTEMS, IFS AB By: /s/ Terje Vangbo ------------------------------------ Name: Terje Vangbo Title: Area Manager, North America and Director IFS AMERICAS, INC. By: /s/ Terje Vangbo ------------------------------------ Name: Terje Vangbo Title: President IFS ACQUISITION, INC. By: /s/ Terje Vangbo ------------------------------------ Name: Terje Vangbo Title: President -6- -----END PRIVACY-ENHANCED MESSAGE-----