UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934
(Amendment No. _____)*
Effective Management Systems, Inc.
(Name of Issuer)
Common Stock, $.01 par value
(Title of Class of Securities)
282017102
(CUSIP Number)
Phillip J. Hanrahan, Foley & Lardner, 777 East Wisconsin Avenue,
Milwaukee, WI 53202 (414)271-2400
(Name, Address and Telephone Number of Person Authorized to Receive
Notices and Communications)
January 10, 1998
(Date of Event which Requires Filing of this Statement)
If 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 [_].
Check the following box if a fee is being paid with the statement [_].
(A fee is not required only if the reporting person: (1) has a previous
statement on file reporting beneficial ownership of more than five percent
of the class of securities described in Item 1; and (2) has filed no
amendment subsequent thereto reporting beneficial ownership of five
percent or less of such class.) (See Rule 13d-7.)
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 5 Pages
(Continued on following pages)
CUSIP No. 282017102
1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Richard W. Grelck
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [_]
(b) [_]
3 SEC USE ONLY
4 SOURCE OF FUNDS*
0
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) [_]
6 CITIZENSHIP OR PLACE OF ORGANIZATION
United States
7 SOLE VOTING POWER
NUMBER OF
SHARES 215,676
8 SHARED VOTING POWER
BENEFICIALLY
OWNED BY
0
EACH
9 SOLE DISPOSITIVE POWER
REPORTING
215,676
PERSON
10 SHARED DISPOSITIVE POWER
WITH
0
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
215,676
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN
SHARES* [_]
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.05%
14 TYPE OF REPORTING PERSON*
IN
*SEE INSTRUCTIONS BEFORE FILLING OUT!
ITEM 1. Security and Issuer.
This Schedule 13D (this "Statement") relates to the shares of
Common Stock, $.01 par value (the "Common Stock"), of Effective
Management Systems, Inc., a Wisconsin corporation ("Effective
Management"), which has its principal executive office located
at 12000 West Park Place, Milwaukee, WI 53224.
ITEM 2. Identity and Background.
The following sets forth the information required by Items 2(a),
(b) and (c):
Richard W. Grelck is the Chief Operating Officer of Effective
Management and his business address is 12000 West Park Place,
Milwaukee, WI 53224.
(d) The Reporting Person has not, during the last five years,
been convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors).
(e) The Reporting Person has not, during the last five years,
been a party to a civil proceeding of a judicial or
administrative body of competent jurisdiction and as a result of
such proceeding was or is subject to a judgment, decree or final
order enjoining future violations of, or prohibiting or
mandating activities subject to, federal or state securities
laws or finding any violation with respect to such laws.
(f) The Reporting person is a citizen of the United States.
ITEM 3. Source and Amount of Funds or Other Consideration.
The following table sets forth the aggregate consideration paid
for the Effective Management Common Stock by the Reporting
Person. The table lists the actual owners of the shares.
Name Number of Shares Aggregate Consideration
Richard W. Grelck 215,676 (1)
(1) The Reporting Person owns of record and beneficially 26,500
shares of Effective Management Common Stock which includes:
(a) 1,000 shares purchased in February 1994 for $8.00 per
share, an aggregate purchase price of $8,000; (b) 400 shares
purchased in March 1995 for $6.375 per share, an aggregate
purchase price of $2,550, and held for the benefit of his minor
child; and (c) 25,100 shares (the "Shares) obtained pursuant to
the conversion of 2987.5 shares of common stock and 1612.5
shares preferred stock of Effective Management Systems of
Illinois, Inc., an Illinois corporation ("EMS of Illinois"),
pursuant to an Agreement of Merger (the "Merger Agreement"),
dated as of March 22, 1995, by and among Effective Management,
EMS of Illinois, EMS Illinois Acquisition Corp., an Illinois
corporation and wholly owned subsidiary of Effective
Management ("Acquisition Corp."), Richard W. Grelck and
Daniel E. Long. As a result of the Merger Agreement,
Acquisition Corp. was merged with and into EMS of Illinois
and EMS of Illinois became a wholly-owned subsidiary of
Effective Management (the "Merger"). In addition to the
Shares, the Reporting Person received $189,980 as cash
consideration pursuant to the Merger. See Item 5 below for a
description of certain other Common Stock deemed to be
beneficially owned by the Reporting Person.
ITEM 4. Purpose of Transaction.
The Reporting Person acquired shares of Effective Management
Common Stock to hold primarily for investment. Depending upon
market conditions and other factors, the Reporting Person may,
from time to time, acquire additional shares of Effective
Management Common Stock or dispose of all or any part of his
holdings of Effective Management Common Stock.
The Reporting Person does not have any present plans to cause
Effective Management to engage in any extraordinary
transactions; to sell or transfer any of its material assets or
the assets of any of its subsidiaries; to effect any change of
its management or its directors, business, corporate structure,
capitalization, dividend policy, articles of incorporation, or
bylaws; or to delist or terminate the registration of any
securities of Effective Management; but reserves the right to
propose or undertake or participate in any of the foregoing
actions in the future.
ITEM 5. Interest in Securities of the Issuer.
(a) and (b): The following set forth the information requires
by Items 5(a) and 5(b):
The Reporting Person is the record and beneficial owner of
26,500 shares of Common Stock and presently exercisable options
to purchase 189,176 shares of Common Stock over which the
Reporting Person has sole voting and dispositive power, the
total number of shares of Common Stock beneficially owned by the
Reporting Person is 215,676 shares, constituting 5.05% of
Effective Management's Common Stock.
(c) Not Applicable.
(d) Not Applicable.
(e) Not Applicable.
ITEM 6. Contracts, Arrangements, Understandings or Relationships With
Respect to Securities of the Issuer.
Not Applicable.
ITEM 7. Material to Be Filed as Exhibits.
Exhibit A - Agreement of Merger, dated as of March 22, 1995,
among Effective Management Systems, Inc., EMS
Illinois Acquisition Corp., Effective Management
Systems of Illinois, Inc., Richard W. Grelck and
Daniel E. Long [Incorporated by reference to
Exhibit 2.2 to the Company's Quarterly Report on
Form 10-QSB for the quarter ended February 28,
1995].
<PAGE>
SIGNATURE
After reasonable 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 this 27 day of April, 1998.
/s/ Richard W. Grelck
Richard W. Grelck
<PAGE>
INDEX TO EXHIBITS
Exhibit
Number Description
Exhibit A Agreement of Merger, dated as of March 22, 1995, among
Effective Management Systems, Inc., EMS Illinois
Acquisition Corp., Effective Management Systems of
Illinois, Inc., Richard W. Grelck and Daniel E. Long
[Incorporated by reference to Exhibit 2.2 to the Company's
Quarterly Report on Form 10-QSB for the quarter ended
February 28, 1995].
