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.
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(Name of Issuer)
Common Stock, par value $.10 per share
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(Title of Class of Securities)
292007-10-1
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(CUSIP Number)
Richard M. Hoffman, Esq.
Rubin Baum Levin Constant & Friedman
30 Rockefeller Plaza, 29th Floor
New York, New York 10112
(212) 698-7700
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(Name, Address and Telephone Number of Person Authorized to Receive Notices
and Communications)
June 18, 1997
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(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
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SCHEDULE 13D
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CUSIP NO. 292007-10-1 Page 2 of 7 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
EMP Associates LLC (Taxpayer ID No. 13-3951570)
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2 Check the Appropriate Box If a Member of a Group* a. |_|
b. |_|
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3 SEC Use Only
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4 Source of Funds*
OO See Item 3
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5 Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item
2(d) or 2(e) |_|
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6 Citizenship or Place of Organization
State of Delaware
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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
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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
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12 Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares* |_|
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13 Percent of Class Represented By Amount in Row (11)
29.92%
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14 Type of Reporting Person*
OO
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*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
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SCHEDULE 13D
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CUSIP NO. 292007-10-1 Page 3 of 7 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
EMP Management LLC (Taxpayer ID No. 13-3951571)
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2 Check the Appropriate Box If a Member of a Group* a. |_|
b. |_|
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3 SEC Use Only
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4 Source of Funds*
OO See Item 3
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5 Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item
2(d) or 2(e) |_|
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6 Citizenship or Place of Organization
State of Delaware
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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
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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
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12 Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares* |_|
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13 Percent of Class Represented By Amount in Row (11)
29.92%
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14 Type of Reporting Person*
OO
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*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
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SCHEDULE 13D
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CUSIP NO. 292007-10-1 Page 4 of 7 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Pellinore Securities Corp. (Taxpayer ID No. 13-3470809)
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2 Check the Appropriate Box If a Member of a Group* a. |_|
b. |_|
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3 SEC Use Only
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4 Source of Funds*
OO See Item 3
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5 Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item
2(d) or 2(e) |_|
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6 Citizenship or Place of Organization
State of New York
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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
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11 Aggregate Amount Beneficially Owned by Each Reporting Person
112,754 shares of Common Stock issuable upon exercise of warrants
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12 Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares* |_|
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13 Percent of Class Represented By Amount in Row (11)
1.45%
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14 Type of Reporting Person*
co
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*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
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SCHEDULE 13D
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CUSIP NO. 292007-10-1 Page 5 of 7 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
J. Richard Messina (Social Security No. 133420156)
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2 Check the Appropriate Box If a Member of a Group* a. |_|
b. |_|
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3 SEC Use Only
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4 Source of Funds*
OO See Item 3
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5 Check Box If Disclosure of Legal Proceedings Is Required Pursuant to Item
2(d) or 2(e) |_|
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6 Citizenship or Place of Organization
United States
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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
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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
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12 Check Box If the Aggregate Amount in Row (11) Excludes Certain Shares* |_|
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13 Percent of Class Represented By Amount in Row (11)
30.63%
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14 Type of Reporting Person*
IN
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*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
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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
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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:
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J. Richard Messina
Manager
EMP MANAGEMENT LLC
By:
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J. Richard Messina, Manager
PELLINORE SECURITIES CORP.
By:
J. Richard Messina, President
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-----------------------------
J. RICHARD MESSINA
Page 7 of 7
