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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*
BLYTH INDUSTRIES, INC.
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(Name of Issuer)
Common Stock - par value $0.02 per share
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(Title of Class of Securities)
09643P108
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(CUSIP Number)
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*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 16 Pages
Exhibit Index Appears on Page 13
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CUSIP No. 09643P108 13G Page 2 of 16 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Robert B. Goergen
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2 Check the Appropriate Box if a Member of a Group* (a) / /
(b) /X/
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3 SEC Use Only
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4 Citizenship or Place of Organization
United States
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5 Sole Voting Power
Number of 9,880,754
Shares ------------------------------------------------
Beneficially 6 Shared Voting Power
Owned By 53,996
Each ------------------------------------------------
Reporting 7 Sole Dispositive Power
Person 9,880,754
With ------------------------------------------------
8 Shared Dispositive Power
53,996
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9 Aggregate Amount Beneficially Owned by Each Reporting Person 9,934,750
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10 Check Box if the Aggregate Amount in Row (9) /X/
Excludes Certain Shares* Excludes 279,520 shares as to which Mr. Goergen
disclaims beneficial ownership.
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11 Percent of Class Represented by Amount in Row (9) 31.6%
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12 Type of Reporting Person* IN
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* SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 09643P108 13G Page 3 of 16 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Pamela M. Goergen
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2 Check the Appropriate Box if a Member of a Group* (a) / /
(b) /X/
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3 SEC Use Only
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4 Citizenship or Place of Organization
United States
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5 Sole Voting Power
Number of 279,520
Shares ------------------------------------------------
Beneficially 6 Shared Voting Power
Owned By - 0 -
Each ------------------------------------------------
Reporting 7 Sole Dispositive Power
Person 279,520
With ------------------------------------------------
8 Shared Dispositive Power
- 0 -
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9 Aggregate Amount Beneficially Owned by Each Reporting Person 279,520
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10 Check Box if the Aggregate Amount in Row (9) /X/
Excludes Certain Shares* Excludes an aggregate of 9,476,028 shares as
to which Mrs. Goergen disclaims beneficial
ownership.
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11 Percent of Class Represented by Amount in Row (9) 0.9%
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12 Type of Reporting Person* IN
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* SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 09643P108 13G Page 4 of 16 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
The Goergen Foundation, Inc.
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2 Check the Appropriate Box if a Member of a Group* (a) / /
(b) /X/
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3 SEC Use Only
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4 Citizenship or Place of Organization
Connecticut
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5 Sole Voting Power
Number of - 0 -
Shares ------------------------------------------------
Beneficially 6 Shared Voting Power
Owned By 404,726
Each ------------------------------------------------
Reporting 7 Sole Dispositive Power
Person - 0 -
With ------------------------------------------------
8 Shared Dispositive Power
404,726
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9 Aggregate Amount Beneficially Owned by Each Reporting Person 404,726
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10 Check Box if the Aggregate Amount in Row (9) / /
Excludes Certain Shares*
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11 Percent of Class Represented by Amount in Row (9) 1.3%
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12 Type of Reporting Person* CO
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* SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 09643P108 13G Page 5 of 16 Pages
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1 Name of Reporting Person
S.S. or I.R.S. Identification No. of Above Person
Trust FBO Alice B. McCool (Robert B. Goergen & Dennis P. Goergen,
co-trustees)
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2 Check the Appropriate Box if a Member of a Group* (a) / /
(b) /X/
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3 SEC Use Only
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4 Citizenship or Place of Organization
Florida
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5 Sole Voting Power
Number of - 0 -
Shares ------------------------------------------------
Beneficially 6 Shared Voting Power
Owned By 53,996
Each ------------------------------------------------
Reporting 7 Sole Dispositive Power
Person - 0 -
With ------------------------------------------------
8 Shared Dispositive Power
53,996
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9 Aggregate Amount Beneficially Owned by Each Reporting Person 53,996
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10 Check Box if the Aggregate Amount in Row (9) / /
Excludes Certain Shares*
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11 Percent of Class Represented by Amount in Row (9) 0.2%
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12 Type of Reporting Person* OO
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* SEE INSTRUCTION BEFORE FILLING OUT!
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Page 6 of 16 Pages
AMENDMENT NO. 2 TO SCHEDULE 13G
FOR
BLYTH INDUSTRIES, INC.
The Schedule 13G (as heretofore amended, the "Schedule 13G"), dated
February 3, 1995, of Robert B. Goergen, Pamela M. Goergen, The Goergen
Foundation, Inc., Ropart Inc. and the Trust, dated December 18, 1989, for the
benefit of Alice B. McCool, as amended by Amendment No. 1 thereto, with respect
to the Common Stock, par value $0.02 per share, of Blyth Industries, Inc., a
Delaware corporation (the "Issuer"), is hereby amended as follows:
Items 2(a), 2(b) and 2(c) are hereby amended in their entirety as set forth
below:
Item 2(a) NAME OF PERSON FILING:
(i) Robert B. Goergen ("Mr. Goergen")
(ii) Pamela M. Goergen ("Mrs. Goergen")
(iii) The Goergen Foundation, Inc. (the "Foundation"); and
(iv) Trust, dated December 18, 1989, for the benefit of Alice B.
McCool (Robert B. Goergen and Dennis P. Goergen,
co-trustees) (the "Trust").
Mr. Goergen has ceased to be a co-trustee of the Charitable Remainder
Annuity Trust, dated December 12, 1995, of Robert B. Goergen, which is no longer
a filing person.
Mr. Goergen, Mrs. Goergen, the Foundation, and the Trust are
collectively referred to herein as the "Reporting Entities."
This Schedule 13G is being jointly filed on behalf of each of the
Reporting Entities. A Joint Filing Agreement between and among such parties is
annexed hereto as Exhibit 1.
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Page 7 of 16 Pages
Item 2(b) ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE:
The principal business office for each of Mr. Goergen, Mrs. Goergen
and the Trust is 100 Field Point Road, Greenwich, Connecticut 06830. The
principal business office for the Foundation is c/o Thomas E. Finn, 35 Mason
Street, Greenwich, Connecticut 06830.
Item 2(c) CITIZENSHIP:
(i) Mr. Goergen is a citizen of the United States.
(ii) Mrs. Goergen is a citizen of the United States.
(iii) The Foundation is a Connecticut non-stock corporation.
(iv) The Trust is a trust organized under the laws of the state
of Florida.
Item 4 is hereby amended in its entirety as set forth below:
Item 4 OWNERSHIP:
The approximate percentages of shares of Common Stock reported as
beneficially owned by the Reporting Entities is based upon 31,406,424 shares
outstanding, which is the sum of 30,743,927 shares, the total number of shares
of Common Stock outstanding as of November 29, 1996, as reported in the Issuer's
Quarterly Report on Form 10-Q for the fiscal quarter ended October 31, 1996, as
supplemented by 662,497 shares issued pursuant to the Issuer's acquisition of
New Ideas International, Inc., as disclosed in press releases of the Issuer.
(a), (b) As of December 31, 1996:
(i) (A) Mr. Goergen owned directly 9,476,028 shares of
Common Stock (of which 437,002 shares were held
directly by Mr. Goergen and of which 9,039,026 shares
of Common Stock were held in a living trust for the
benefit of Mr. Goergen, of which Mr. Goergen is
trustee) or 30.2% of the outstanding shares of Common
Stock.
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Page 8 of 16 Pages
(B) Mrs. Goergen owned directly 277,520 shares of
Common Stock (all of which 277,520 shares of Common
Stock were held in a living trust for the benefit of
Mrs. Goergen, of which Mrs. Goergen is trustee), and
held currently exercisable directors' stock options
issued by the Company to purchase an aggregate of 2,000
shares of Common Stock, representing, in the aggregate,
279,520 shares, or 0.9% of the outstanding shares of
Common Stock.
(C) The Foundation owned directly 404,726 shares of
Common Stock or 1.3% of the outstanding shares of
Common Stock.
(D) The Trust owned directly 53,996 shares of Common
Stock or 0.2% of the outstanding shares of Common
Stock.
(ii) (A) Mr. Goergen is the spouse of Mrs. Goergen and,
pursuant to Rule 13d-3 ("Rule 13d-3") promulgated under
the Securities Exchange Act of 1934, as amended (the
"Exchange Act"), may be deemed to beneficially own
indirectly the 279,520 shares of Common Stock
beneficially owned by Mrs. Goergen.
(B) Mr. Goergen is the President, a member of the
Board of Directors of, and the sole investment manager
of the Foundation, and, pursuant to Rule 13d-3, may be
deemed to beneficially own the 404,726 shares of Common
Stock held by the Foundation.
(C) Mr. Goergen is a co-trustee of the Trust and,
pursuant to Rule 13d-3, may be deemed to beneficially
own the 53,996 shares of Common Stock held by the
Trust.
As a result, Mr. Goergen may be deemed to beneficially
own an aggregate of 10,214,270 shares of Common Stock,
or 32.5% of the outstanding shares of Common Stock.
Mr. Goergen disclaims beneficial ownership of the
279,520 shares of Common Stock beneficially owned by
Mrs. Goergen, and the filing of this statement shall
not be construed as an admission that Mr. Goergen is,
for the purposes of Sections 13(d) or (g) of the
Exchange Act, the beneficial owner of such shares.
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Page 9 of 16 Pages
(iii) (A) Mrs. Goergen is the spouse of Mr. Goergen and,
pursuant to Rule 13d-3, may be deemed to beneficially
own indirectly the 9,476,028 shares of Common Stock
held by Mr. Goergen.
As a result, Mrs. Goergen may be deemed to beneficially
own an aggregate of 9,755,548 shares of Common Stock,
or 31.1% of the outstanding shares of Common Stock.
Mrs. Goergen disclaims beneficial ownership of the
9,476,028 shares of Common Stock held by Mr. Goergen,
and the filing of this statement shall not be construed
as an admission that Mrs. Goergen is, for the purposes
of Sections 13(d) or (g) of the Exchange Act, the
beneficial owner of such Shares.
(c) (i) Mr. Goergen has the sole power to vote and dispose of,
or to direct the voting and disposition of, the
aggregate of 9,880,754 shares of Common Stock held by
the Foundation and him. Mr. Goergen has the shared
power to vote or dispose of, or to direct the voting
and disposition of, the aggregate of 53,996 shares of
Common Stock held by the Trust.
(ii) Mrs. Goergen has the sole power to vote and dispose of,
or to direct the voting and disposition of the
aggregate of 279,520 shares of Common Stock
beneficially owned by her.
(iii) The Foundation has the shared power (with Mr. Goergen)
to vote and dispose of, or to direct the voting and
disposition of, the 404,726 shares of Common Stock held
by it.
(iv) The Trust has the shared power (with Mr. Goergen) to
vote and dispose of, or to direct the voting and
disposition of, the 53,996 shares of Common Stock held
by it.
Item 8 is hereby amended in its entirety as set forth below:
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Page 10 of 16 Pages
Item 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
Each of the Reporting Entities filing this Amendment No. 2 to Schedule
13G pursuant to Rule 13d-1(c) is identified on Exhibit 2 hereto (as well as in
item 2(a) above). Neither the filing of this statement nor the attachment of
Exhibit 2 hereto shall be deemed an admission that the filing persons comprise a
group within the meaning of Section 13(d)(3) under the Exchange Act.
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Page 11 of 16 Pages
SIGNATURES
After reasonable inquiry and to the best of our knowledge and belief,
we certify that the information set forth in this statement is true, complete
and correct.
Date: February 7, 1997
/s/ Robert B. Goergen
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Robert B. Goergen
/s/ Pamela M. Goergen
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Pamela M. Goergen
THE GOERGEN FOUNDATION, INC.
By:/s/ Robert B. Goergen
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Name: Robert B. Goergen
Title: President
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Page 12 of 16 Pages
TRUST FOR THE BENEFIT OF ALICE
B. McCOOL
By:/s/ Robert B. Goergen
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Name: Robert B. Goergen
Title: Co-Trustee
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Page 13 of 16 Pages
EXHIBIT INDEX
Exhibit No. Name of Exhibit Page No.
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1 Joint Filing Agreement 14
2 Identification and Classification 16
of Reporting Entities
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Page 14 of 16 Pages
EXHIBIT 1
JOINT FILING AGREEMENT
Each of the undersigned hereby agrees, pursuant to Rule 13d-1(f) under
the Securities Exchange Act of 1934, as amended, that the Amendment No. 2 to
Schedule 13G to which this Joint Filing Agreement is attached relating to the
shares of common stock, par value $0.02 per share, of Blyth Industries, Inc., a
Delaware corporation, is filed jointly on behalf of each such person.
IN WITNESS WHEREOF, the undersigned agree to the terms hereof as of
this 7th day of February, 1997.
/s/ Robert B. Goergen
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Robert B. Goergen
/s/ Pamela M. Goergen
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Pamela M. Goergen
THE GOERGEN FOUNDATION, INC.
By:/s/ Robert B. Goergen
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Name: Robert B. Goergen
Title: President
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Page 15 of 16 Pages
TRUST FOR THE BENEFIT OF ALICE
B. McCOOL
By:/s/ Robert B. Goergen
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Name: Robert B. Goergen
Title: Co-Trustee
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Page 16 of 16 Pages
EXHIBIT 2
IDENTIFICATION AND CLASSIFICATION OF REPORTING ENTITIES
The reporting entities filing this Amendment No. 2 to Schedule 13G
consist of the following:
Name Citizenship
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Robert B. Goergen United States citizen
Pamela M. Goergen United States citizen
The Goergen Foundation, Inc. Connecticut non-stock corporation
Trust for the Benefit of Trust organized under the laws of the state
Alice B. McCool of Florida
