SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
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AMENDMENT NO. 3 TO
SCHEDULE 13E-4
Issuer Tender Offer Statement
(Pursuant to Section 13(e)(1) of the
Securities Exchange Act of 1934)
EMERGENT GROUP, INC.
(Name of Issuer)
EMERGENT GROUP, INC.
(Name of Person Filing Statement)
Class A Common Stock, Par Value $0.05 Per Share ("Class A Stock")
Common Stock, Par Value $0.05 Per Share ("Common Stock")
(Title of Class of Securities)
290916204 (Class A Stock)
290916105 (Common Stock)
CUSIP (Number of Class of Securities)
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Robert S. Davis
Vice President, Treasurer, and CFO
Emergent Group, Inc.
P. O. Box 17526
15 South Main Street, Suite 750
Greenville, SC 29606
(803) 235-8056
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications on Behalf of the Person(s)
Filing Statement)
Copy to:
William W. Kehl
Jo Watson Hackl
Attorneys
Wyche, Burgess, Freeman and Parham, P.A.
P. O. Box 728
44 East Camperdown Way
Greenville, SC 29602
(803) 242-8200
March 31, 1995
(Date Tender Offer First Published, Sent or Given
to Security Holders)
Calculation of Filing Fee
Transaction valuation* Amount of filing fee
$1,150,000 $230
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*Assumes purchase of an aggregate of 1,000,000 shares of Class A
and Common Stock at $1.15 per share
[X] Check box if any part of the fee is offset as provided by
Rule 0-11(a)(2) and identify the filing with which the
offsetting fee was previously paid. Identify the previous
filing by registration statement number of the Form or
Schedule and the date of its filing.
Amount Previously Paid: $230
Filing Party: Emergent Group, Inc.
Form or Registration No.: Schedule 13E-4
Date Filed: March 31, 1995
ITEM 1. Security and Issuer.
(b) The following is hereby added to the material
previously set forth under Item 1(b).
The tender offers terminated at 5:01 p.m., Greenville South
Carolina time on Monday, May 8, 1995. An aggregate of
466,413.96 shares of Class A Stock and an aggregate of
19,386.28 shares of Common Stock were tendered pursuant to
the offers. Mr. F. E. Haag, a director of the Company,
tendered an aggregate of 107,800 shares of Class A Stock and
an aggregate of 2,200 shares of Common Stock pursuant to the
tender offers. The Company is accepting all Shares properly
tendered pursuant to the offers.
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ITEM 9. MATERIAL TO BE FILED AS EXHIBITS.
99(a)(1) Offer to Purchase dated March 31, 1995:
Incorporated herein by reference to Exhibit
99(a)(1) to the Company's Schedule 13E-4 filed
March 31, 1995 (the "Schedule 13E-4").
99(a)(1)(a) Supplement No. 1 dated April 13, 1995 to Offer to
Purchase dated March 31, 1995: Incorporated
herein by reference to Exhibit 99(a)(1)(a) to the
Company's Amendment No. 1 to Schedule 13E-4 filed
April 13, 1995.
99(a)(2) Form of Letter of Transmittal: Incorporated
herein by reference to Exhibit 99(a)(2) to the
Schedule 13E-4.
99(a)(3) Form of Notice of Guaranteed Delivery:
Incorporated herein by reference to Exhibit
99(a)(3) to the Schedule 13E-4.
99(a)(4) Form of Letter to brokers, dealers, commercial
banks, trust companies and other nominees dated
March 31, 1995: Incorporated herein by reference
to Exhibit 99(a)(4) to the Schedule 13E-4.
99(a)(5) Form of Letter to clients for use by brokers,
dealers, commercial banks, trust companies and
other nominees dated March 31, 1995: Incorporated
herein by reference to Exhibit 99(a)(5) to the
Schedule 13E-4.
99(a)(6) Form of Letter to shareholders from the Chairman
and Chief Executive Officer of the Company dated
March 31, 1995: Incorporated herein by reference
to Exhibit 99(a)(6) to the Schedule 13E-4.
99(a)(7) Form of Press Release dated March 31, 1995:
Incorporated herein by reference to Exhibit
99(a)(7) to the Schedule 13E-4.
99(a)(7)(a) Form of Press Release dated May 1, 1995:
Incorporated herein by reference to Exhibit
99(a)(7)(a) to the Company's Amendment No. 2 to
Schedule 13E-4 filed May 1, 1995.
99(a)(8) Form of Summary Advertisement dated March 31,
1995: Incorporated herein by reference to Exhibit
99(a)(8) to the Schedule 13E-4.
99(a)(8)(a) Form of Advertisement regarding extension of
offers: Incorporated herein by reference to
Exhibit 99(a)(8)(a) to the Company's Amendment No.
2 to Schedule 13E-4 filed May 1, 1995.
99(b) Not applicable.
99(c)(1) Stock Option Plan and Form of Letter addressed to
participants: Incorporated herein by reference to
Exhibit to the Company's Registration Statement
(File No. 2-62687).
99(c)(2) Form of Warrants issued pursuant to Plan of
Reorganization: Incorporated herein by reference
to Exhibit to the Company's Annual Report on Form
10-K for the year ended December 31, 1985 (File
No. 0-8909).
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99(d) Not applicable.
99(e) Not applicable.
99(f) Not applicable.
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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.
EMERGENT GROUP, INC.
By: /s/ Robert S. Davis
Robert S. Davis
Vice President, Treasurer and
Chief Financial Officer
Dated: May 17, 1995
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EXHIBIT INDEX
Exhibit
99(a)(1) Offer to Purchase dated March 31, 1995:
Incorporated herein by reference to Exhibit
99(a)(1) to the Company's Schedule 13E-4 filed
March 31, 1995 (the "Schedule 13E-4").
99(a)(1)(a) Supplement No. 1 dated April 13, 1995 to Offer to
Purchase dated March 31, 1995: Incorporated
herein by reference to Exhibit 99(a)(1)(a) to the
Company's Amendment No. 1 to Schedule 13E-4 filed
April 13, 1995.
99(a)(2) Form of Letter of Transmittal: Incorporated
herein by reference to Exhibit 99(a)(2) to the
Schedule 13E-4.
99(a)(3) Form of Notice of Guaranteed Delivery:
Incorporated herein by reference to Exhibit
99(a)(3) to the Schedule 13E-4.
99(a)(4) Form of Letter to brokers, dealers, commercial
banks, trust companies and other nominees dated
March 31, 1995: Incorporated herein by reference
to Exhibit 99(a)(4) to the Schedule 13E-4.
99(a)(5) Form of Letter to clients for use by brokers,
dealers, commercial banks, trust companies and
other nominees dated March 31, 1995: Incorporated
herein by reference to Exhibit 99(a)(5) to the
Schedule 13E-4.
99(a)(6) Form of Letter to shareholders from the Chairman
and Chief Executive Officer of the Company dated
March 31, 1995: Incorporated herein by reference
to Exhibit 99(a)(6) to the Schedule 13E-4.
99(a)(7) Form of Press Release dated March 31, 1995:
Incorporated herein by reference to Exhibit
99(a)(7) to the Schedule 13E-4.
99(a)(7)(a) Form of Press Release dated May 1, 1995:
Incorporated herein by reference to Exhibit
99(a)(7)(a) to the Company's Amendment No. 2 to
Schedule 13E-4 filed May 1, 1995.
99(a)(8) Form of Summary Advertisement dated March 31,
1995: Incorporated herein by reference to Exhibit
99(a)(8) to the Schedule 13E-4.
99(a)(8)(a) Form of Advertisement regarding extension of
offers: Incorporated herein by reference to
Exhibit 99(a)(8)(a) to the Company's Amendment No.
2 to Schedule 13E-4 filed May 1, 1995.
99(b) Not applicable.
99(c)(1) Stock Option Plan and Form of Letter addressed to
participants: Incorporated herein by reference to
Exhibit to the Company's Registration Statement
(File No. 2-62687).
99(c)(2) Form of Warrants issued pursuant to Plan of
Reorganization: Incorporated herein by reference
to Exhibit to the Company's Annual Report on Form
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10-K for the year ended December 31, 1985 (File
No. 0-8909).
99(d) Not applicable.
99(e) Not applicable.
99(f) Not applicable.
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