-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, WkV3fz31BNSqylSzLdKk2++DhSCZ/XUtqDgTShzwbuxPXoX9+q/l+KJIkz9GHX1c KSw8dPjnu/b2FrwM1I0V1Q== 0001047469-98-005788.txt : 19980218 0001047469-98-005788.hdr.sgml : 19980218 ACCESSION NUMBER: 0001047469-98-005788 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 3 FILED AS OF DATE: 19980213 SROS: NYSE GROUP MEMBERS: GOERGEN ROBERT B GROUP MEMBERS: PAMELA M. GOERGEN GROUP MEMBERS: THE GOERGEN FOUNDATION, INC. GROUP MEMBERS: TRUST FBO ALICE B.MCCOOL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: BLYTH INDUSTRIES INC CENTRAL INDEX KEY: 0000921503 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS MANUFACTURING INDUSTRIES [3990] IRS NUMBER: 362984916 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48107 FILM NUMBER: 98536416 BUSINESS ADDRESS: STREET 1: 100 FIELD POINT RD CITY: GREENWICH STATE: CT ZIP: 06830 BUSINESS PHONE: 2036611926 MAIL ADDRESS: STREET 1: 100 FIELD POINT RD CITY: GREENWICH STATE: CT ZIP: 06830 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GOERGEN ROBERT B CENTRAL INDEX KEY: 0000937655 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 35 MASON STREET CITY: GREENWICH STATE: CT ZIP: 06830 SC 13G/A 1 SC 13G/A ------------------ OMB APPROVAL OMB Number: 3235-0145 Expires: October 31, 1994 Estimated average burden hours per response. . . .14.90 ------------------ 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 ========================== =================== 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! ========================== =================== 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! ========================== =================== 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! ========================== =================== 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 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. 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 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 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 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 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 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 EX-1 2 JOINT FILING AGREEMENT 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 14 of 15 Pages TRUST FOR THE BENEFIT OF ALICE B. McCOOL By: /s/ Robert B. Goergen --------------------------- Name: Robert B. Goergen Title: Co-Trustee EX-2 3 IDENTIFICATION AND CLASSIFICATION OF REP. ENTITIES 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 -----END PRIVACY-ENHANCED MESSAGE-----