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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. 3)*
BLYTH INDUSTRIES, INC.
- --------------------------------------------------------------------------
(Name of Issuer)
Common Stock - par value $0.02 per share
- --------------------------------------------------------------------------
(Title of Class of Securities)
09643P108
---------------------------
(CUSIP Number)
- --------------------------------------------------------------------------
*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 15 Pages
Exhibit Index Appears on Page 13
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========================== ===================
CUSIP No. 09643P108 13G Page 2 of 15 Pages
========================== ===================
================================================================================
1 Name of Reporting Person
S.S or I.R.S. Identification No. of Above Person
Robert B. Goergen
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a)/ /
(b)/x/
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
5 Sole Voting Power
Number of 13,748,486
Shares
Beneficially ---------------------------------------------------------
Owned By 6 Shared Voting Power
Each 79,494
Reporting
Person ---------------------------------------------------------
With 7 Sole Dispositive Power
13,748,486
---------------------------------------------------------
8 Shared Dispositive Power
79,494
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person 13,827,980
- --------------------------------------------------------------------------------
10 Check Box if the Aggregate Amount in Row (9) /x/
Excludes Certain Shares* Excludes 420,780 shares as to which Mr.
Goergen disclaims beneficial ownership.
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row (9) 28.2%
- --------------------------------------------------------------------------------
12 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
- ------------------------
* SEE INSTRUCTION BEFORE FILLING OUT!
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========================== ===================
CUSIP No. 09643P108 13G Page 3 of 15 Pages
========================== ===================
================================================================================
1 Name of Reporting Person
S.S or I.R.S. Identification No. of Above Person
Pamela M. Goergen
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) / /
(b) /x/
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
United States
- --------------------------------------------------------------------------------
5 Sole Voting Power
Number of 420,780
Shares
Beneficially ---------------------------------------------------------
Owned By 6 Shared Voting Power
Each - 0 -
Reporting
Person ---------------------------------------------------------
With 7 Sole Dispositive Power
420,780
---------------------------------------------------------
8 Shared Dispositive Power
- 0 -
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person 420,780
- --------------------------------------------------------------------------------
10 Check Box if the Aggregate Amount in Row (9) /x/
Excludes Certain Shares* Excludes an aggregate of 13,279,197 shares as
to which Mrs. Goergen disclaims beneficial ownership.
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row (9) 0.9%
- --------------------------------------------------------------------------------
12 Type of Reporting Person* IN
- --------------------------------------------------------------------------------
- ---------------------
* SEE INSTRUCTION BEFORE FILLING OUT!
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========================== ===================
CUSIP No. 09643P108 13G Page 4 of 15 Pages
========================== ===================
================================================================================
1 Name of Reporting Person
S.S or I.R.S. Identification No. of Above Person
The Goergen Foundation, Inc.
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) / /
(b) /x/
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
Connecticut
- --------------------------------------------------------------------------------
5 Sole Voting Power
Number of - 0 -
Shares
Beneficially ---------------------------------------------------------
Owned By Shared Voting Power
Each 6 469,289
Reporting
Person ---------------------------------------------------------
With Sole Dispositive Power
7 - 0 -
---------------------------------------------------------
Shared Dispositive Power
8 469,289
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person 469,289
- --------------------------------------------------------------------------------
10 Check Box if the Aggregate Amount in Row (9) / /
Excludes Certain Shares*
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row (9) 1.0%
- --------------------------------------------------------------------------------
12 Type of Reporting Person* CO
- --------------------------------------------------------------------------------
- ------------------------------
* SEE INSTRUCTION BEFORE FILLING OUT!
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========================== ===================
CUSIP No. 09643P108 13G Page 5 of 15 Pages
========================== ===================
================================================================================
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)
- --------------------------------------------------------------------------------
2 Check the Appropriate Box if a Member of a Group* (a) / /
(b) /x/
- --------------------------------------------------------------------------------
3 SEC Use Only
- --------------------------------------------------------------------------------
4 Citizenship or Place of Organization
Florida
- --------------------------------------------------------------------------------
5 Sole Voting Power
Number of - 0 -
Shares
Beneficially ---------------------------------------------------------
Owned By 6 Shared Voting Power
Each 79,494
Reporting
Person ---------------------------------------------------------
With 7 Sole Dispositive Power
- 0 -
---------------------------------------------------------
8 Shared Dispositive Power
79,494
- --------------------------------------------------------------------------------
9 Aggregate Amount Beneficially Owned by Each Reporting Person 79,494
- --------------------------------------------------------------------------------
10 Check Box if the Aggregate Amount in Row (9) / /
Excludes Certain Shares*
- --------------------------------------------------------------------------------
11 Percent of Class Represented by Amount in Row (9) 0.2%
- --------------------------------------------------------------------------------
12 Type of Reporting Person* OO
- --------------------------------------------------------------------------------
- ------------------------------
* SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
Page 6 of 15 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 Amendments Nos. 1 and 2 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, 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 15 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 49,077,631 shares
outstanding as of November 28, 1997, as reported in the Issuer's Quarterly
Report on Form 10-Q for the fiscal quarter ended October 31, 1997.
(a), (b) As of December 31, 1997:
(i) (A) Mr. Goergen owned directly 13,279,197 shares of
Common Stock (of which 493,503 shares were held
directly by Mr. Goergen and of which 12,785,694
shares of Common Stock were held in a living trust
for the benefit of Mr. Goergen, of which Mr. Goergen
is trustee) or 27.1% of the outstanding shares of
Common Stock.
(B) Mrs. Goergen owned directly 416,280 shares of Common
Stock (all of which 416,280 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
<PAGE>
Page 8 of 15 Pages
issued by the Company to purchase an aggregate of 4,500
shares of Common Stock, representing, in the aggregate,
420,780 shares, or 0.9% of the outstanding shares of
Common Stock.
(C) The Foundation owned directly 469,289 shares of Common
Stock or 1.0% of the outstanding shares of Common Stock.
(D) The Trust owned directly 79,494 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
420,780 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 469,289 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 79,494
shares of Common Stock held by the Trust.
As a result, Mr. Goergen may be deemed to beneficially own
an aggregate of 14,248,760 shares of Common Stock, or 29.0%
of the outstanding shares of Common Stock. Mr. Goergen
disclaims beneficial ownership of the 420,780 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.
(iii) (A) Mrs. Goergen is the spouse of Mr. Goergen and,
pursuant to Rule 13d-3, may be deemed to
beneficially own indirectly the 13,279,197 shares of
Common Stock held by Mr. Goergen.
As a result, Mrs. Goergen may be deemed to beneficially own
an aggregate of 13,699,677 shares of Common Stock, or 27.9%
of the
<PAGE>
Page 9 of 15 Pages
outstanding shares of Common Stock. Mrs. Goergen
disclaims beneficial ownership of the 13,279,197 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 13,748,486 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 79,494
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
420,780 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 469,289 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 79,494 shares of Common Stock held by it.
Item 8 is hereby amended in its entirety as set forth below:
Item 8 IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP:
Each of the Reporting Entities filing this Amendment No. 3 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.
<PAGE>
Page 10 of 15 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 13, 1998
/s/ Robert B. Goergen
------------------------
Robert B. Goergen
/s/ Pamela M. Goergen
------------------------
Pamela M. Goergen
THE GOERGEN FOUNDATION, INC.
By: /s/ Robert B. Goergen
-----------------------
Name: Robert B. Goergen
Title: President
<PAGE>
Page 11 of 15 Pages
TRUST FOR THE BENEFIT OF ALICE B.
McCOOL
By: /s/ Robert B. Goergen
--------------------------
Name: Robert B. Goergen
Title: Co-Trustee
<PAGE>
Page 12 of 15 Pages
EXHIBIT INDEX
EXHIBIT NO. NAME OF EXHIBIT PAGE NO.
1 Joint Filing Agreement 13
2 Identification and Classification 15
of Reporting Entities
<PAGE>
Page 13 of 15 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. 3 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
13th day of February, 1998.
/s/ Robert B. Goergen
------------------------
Robert B. Goergen
/s/ Pamela M. Goergen
------------------------
Pamela M. Goergen
THE GOERGEN FOUNDATION, INC.
By: /s/ ROBERT B. GOERGEN
------------------------
Name: Robert B. Goergen
Title: President
<PAGE>
Page 14 of 15 Pages
TRUST FOR THE BENEFIT OF ALICE B.
McCOOL
By: /s/ Robert B. Goergen
---------------------------
Name: Robert B. Goergen
Title: Co-Trustee
<PAGE>
Page 15 of 15 Pages
EXHIBIT 2
IDENTIFICATION AND CLASSIFICATION OF REPORTING ENTITIES
The reporting entities filing this Amendment No. 3 to Schedule 13G
consist of the following:
NAME CITIZENSHIP
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
Alice B. McCool the state of Florida
