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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under The Securities Exchange Act of 1934
(Amendment No. 14)*
First Empire State Corporation
------------------------------
(Name of Issuer)
Common Stock, par value $5.00 per share
---------------------------------------
(Title of Class of Securities)
320076102
--------------
(CUSIP Number)
Howard N. Cayne, Esq.
Arnold & Porter
555 Twelfth Street, N.W.
Washington, D.C. 20004-1202
(202) 942-5656
-----------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to
Receive Notices and Communications)
April 1, 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 ss.ss. 240.13d-l(e), 240.13d-l(f) or 240.13d-l(g), check the
following box. |_|
Note: Schedules filed in paper format shall include a signed original and five
copies of the schedule, including all exhibits. See ss. 240.13d-7 for other
parties to whom copies are being sent.
*The remainder of this cover 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).
This Document Consists of 17 Pages.
CUSIP No. 320076102 Schedule 13D Page 2 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Robert G. Wilmers
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): PF, BK, OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: U.S.
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
672,126
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 672,126
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
672,126
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
8.2%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): IN
================================================================================
CUSIP No. 320076102 Schedule 13D Page 3 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
West Ferry Foundation
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: New York
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
23,000
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 23,000
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
23,000
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
.3%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): OO
================================================================================
CUSIP No. 320076102 Schedule 13D Page 4 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
REM Foundation
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): WC
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: Liechtenstein
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
451,320
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 451,320
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
451,320
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
5.6%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): OO
================================================================================
CUSIP No. 320076102 Schedule 13D Page 5 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Hofin Anstalt
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): WC
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: Liechtenstein
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
320,400
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 320,400
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
320,400
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
4.0%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): CO
================================================================================
CUSIP No. 320076102 Schedule 13D Page 6 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Argali [BVI] Limited
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: British Virgin Islands
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
30,200
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 30,200
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
30,200
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
.4%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): CO
================================================================================
CUSIP No. 320076102 Schedule 13D Page 7 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Bikala Holdings Ltd.
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): WC
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: Gilbraltar
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
2,700
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 2,700
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
2,700
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
0.03%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): CO
================================================================================
CUSIP No. 320076102 Schedule 13D Page 8 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alauda Investments Ltd.
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): WC
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: Gilbraltar
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
317,700
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 317,700
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
317,700
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
3.9%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): CO
================================================================================
CUSIP No. 320076102 Schedule 13D Page 9 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Grantor Retained Annuity Trust No. 4
13-701557
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: New York
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
23,703
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 23,703
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
23,703
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
.3%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): OO
================================================================================
CUSIP No. 320076102 Schedule 13D Page 10 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Grantor Retained Annuity Trust No. 5
13-701558
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: New York
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
27,923
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 27,923
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
27,923
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
.3%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): OO
================================================================================
CUSIP No. 320076102 Schedule 13D Page 11 of 17
================================================================================
1. NAMES OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Grantor Retained Annuity Trust No. 6
13-701559
- --------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |X|
(SEE INSTRUCTIONS)
(b) | |
- --------------------------------------------------------------------------------
3. SEC USE ONLY
- --------------------------------------------------------------------------------
4. SOURCE OF FUNDS (SEE INSTRUCTIONS): OO
- --------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEMS 2(d) OR 2(e) | |
- --------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION: New York
- --------------------------------------------------------------------------------
7. SOLE VOTING POWER:
30,896
NUMBER OF ------------------------------------------------------
SHARES 8. SHARED VOTING POWER:
BENEFICIALLY 0
OWNED BY ------------------------------------------------------
EACH REPORTING 9. SOLE DISPOSITIVE POWER:
PERSON 30,896
WITH ------------------------------------------------------
10. SHARED DISPOSITIVE POWER:
0
- --------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
30,896
- --------------------------------------------------------------------------------
12. CHECK IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(SEE INSTRUCTIONS) | |
- --------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11):
.4%
- --------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS): OO
================================================================================
CUSIP No. 320076102 Schedule 13D Page 12 of 17
Amendment No. 14 to Schedule 13D
The Schedule 13D, dated May 8, 1980, as amended, of Robert G. Wilmers,
West Ferry Foundation, REM Foundation, Hofin Anstalt, Argali [BVI] Limited,
Bikala Holdings Ltd., Alauda Investments Ltd., Grantor Retained Annuity Trust
No. 4, Grantor Retained Annuity Trust No. 5, and Grantor Retained Annuity Trust
No. 6 (collectively, the "Reporting Persons") is hereby amended as set forth
below. As a result of distributions in accordance with the terms of each trust,
Grantor Retained Annuity Trust No. 2 and Grantor Retained Annuity Trust No. 3
have ceased to be reporting persons for the purposes of this Schedule 13D.
Capitalized terms used herein without definition have the meanings set
forth in Amendment No. 13 to this Schedule 13D. This Amendment No. 14 to
Schedule 13D should be read in conjunction with, and is qualified in its
entirety by reference to, the Schedule 13D and Amendments Nos. 1 through 13
thereto.
Item 4. Purpose of Transaction
Item 4 of the Schedule 13D is amended as set forth below:
Robert G. Wilmers is a director and president and chief executive
officer of First Empire and Jorge G. Pereira, the owner of Hofin Anstalt, is a
director and vice chairman of the Board of Directors of First Empire. In their
capacities with First Empire, these persons may from time to time consider plans
or proposals relating to: the acquisition or disposition of securities of First
Empire; extraordinary corporate transactions involving First Empire or any of
its subsidiaries; selling or transferring a material amount of assets of First
Empire or any subsidiaries; changing the present board of directors or
management of First Empire; materially changing the present capitalization or
dividend policy of First Empire, making other material changes in First Empire's
business or corporate structure; changing First Empire's charter, bylaws or
instruments corresponding thereto or other actions which may affect control of
First Empire; causing the First Empire common stock to no longer be quoted on
the American Stock Exchange; causing the First Empire common stock to become
eligible for termination of registration pursuant to Section 12(g)(4) of the
Securities Exchange Act of 1934; or taking any action similar to any of those
enumerated above.
Other than as described herein, the Reporting Persons do not have any
plans or proposals which relate to or would result in any of the foregoing
actions.
Item 5. Interest in Securities of the Issuer
Item 5 of the Schedule 13D is revised and amended and restated as set
forth below:
(a)-(b) The aggregate number and percentage of outstanding Shares
beneficially owned by each Reporting Person are set forth below. Unless
otherwise indicated, each
CUSIP No. 320076102 Schedule 13D Page 13 of 17
Reporting Person has sole voting and dispositive power with respect to the First
Empire Shares listed opposite his name.
Percentage of
Number of Outstanding
First Empire First Empire
Reporting Person Shares Owned Shares Owned(1)
- ---------------- ------------ ---------------
Robert G. Wilmers 672,126(2) 8.2%
West Ferry Foundation 23,000 .3%
REM Foundation 451,320 5.6%
Hofin Anstalt 320,400(3) 4.0%
Bikala Holdings Ltd. 2,700 0.03%
Alauda Investments Ltd. 317,700 3.9%
Argali [BVI] Limited 30,200 .4%
Trust No. 4 23,703 .3%
Trust No. 5 27,923 .3%
Trust No. 6 30,896 .4%
Reporting Persons as a Group 1,474,046 18.0%
(1) Based upon 8,100,085 Shares outstanding as of the close of business on
April 2, 1998. In calculating the beneficial ownership percentage for
Mr. Wilmers and the aggregate percentage for all of the Reporting
Persons, Shares subject to options held by Mr. Wilmers which are
currently exercisable or exercisable within 60 days from the date hereof
are added to the total Shares outstanding.
(2) Includes the 23,000 Shares owned by the West Ferry Foundation, a
charitable trust formed by Mr. Wilmers, as to which Mr. Wilmers, as
trustee, holds sole voting and dispositive power and 82,522 Shares held,
in the aggregate, by the Trusts. Also includes (i) 96,000 Shares subject
to employee stock options granted to Mr. Wilmers which are currently
exercisable or exercisable within 60 days of the date hereof, (ii) 3,392
Shares allocated under First Empire's Retirement Savings Plan as of
December 31, 1997, and (iii) 3,610 Shares held by a close relative or
the estate of a close relative as to which beneficial ownership is
disclaimed. Excludes (i) 30,000 Shares subject to stock options which
will become exercisable over the course of the following 3 years, and
(ii) 198 phantom Shares allocated to Mr. Wilmers under a supplemental
401(k) plan as of December 31, 1997. Other than the transactions set
forth in Item 5 below, there were no transactions within the last sixty
days by any Reporting Persons with respect to the First Empire Shares.
(3) Since Hofin Anstalt is the sole stockholder of Alauda Investments Ltd.
and Bikala Holdings Ltd., its beneficial ownership includes Shares held
by such entities. Excludes 7 shares held directly by Jorge G. Pereira, a
director and vice chairman of First Empire and owner of Hofin Anstalt.
CUSIP No. 320076102 Schedule 13D Page 14 of 17
Since the filing of Amendment No. 13 to this Schedule 13D, the
percentage of Shares beneficially owned by the Reporting Persons have changed
primarily as a result of the issuance of 1,429,998 Shares by First Empire on
April 1, 1998 in connection with its acquisition of ONBANCorp, Inc. on April 1,
1998.
(c) Information with respect to transactions during the last 60 days by
the Reporting Persons is set forth in Schedule I hereto.
Item 7. Material to be Filed as Exhibits
None.
JOINT FILING AGREEMENT
By signing this Amendment No. 14, each Reporting Person acknowledges and
agrees that the Schedule 13D, as amended hereby, is filed on such Reproting
Person's behalf and agrees to such joint filing in accordance with Rule 13d-1(k)
of the Securities and Exchange Commission.
CUSIP No. 320076102 Schedule 13D Page 15 of 17
SIGNATURES
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.
April 24, 1998 /s/ Robert G. Wilmers
-------------------- ---------------------
(Date) Robert G. Wilmers
REM FOUNDATION
April 24, 1998 By: /s/ Rene Merkt
-------------------- ------------------
(Date) Rene Merkt, Director
WEST FERRY FOUNDATION
April 24, 1998 By: /s/ Robert G. Wilmers
-------------------- --------------------------
(Date) Robert G. Wilmers, Trustee
HOFIN ANSTALT
April 24, 1998 By: /s/ Jorge G. Pereira
-------------------- -------------------------
(Date) Jorge G. Pereira, Director
ALAUDA INVESTMENTS LTD.
April 24, 1998 By: /s/ Jorge G. Pereira
-------------------- -------------------------
(Date) Jorge G. Pereira, Director
BIKALA HOLDINGS LTD.
April 24, 1998 By: /s/ Jorge G. Pereira
-------------------- -------------------------
(Date) Jorge G. Pereira, Director
CUSIP No. 320076102 Schedule 13D Page 16 of 17
ARGALI [BVI] LIMITED
April 24, 1998 By: /s/ Chiquita G.M. Harding
-------------------- ------------------------------
(Date) Chiquita G.M. Harding, President
GRANTOR RETAINED ANNUITY
TRUST NO. 4
April 24, 1998 By: /s/ Robert G. Wilmers
-------------------- ------------------------------
(Date) Robert G. Wilmers, Trustee
April 24, 1998 By: /s/ Ira H. Jolles
-------------------- ------------------------------
(Date) Ira H. Jolles, Trustee
GRANTOR RETAINED ANNUITY
TRUST NO. 5
April 24, 1998 By: /s/ Robert G. Wilmers
-------------------- ------------------------------
(Date) Robert G. Wilmers, Trustee
April 24, 1998 By: /s/ Ira H. Jolles
-------------------- ------------------------------
(Date) Ira H. Jolles, Trustee
GRANTOR RETAINED ANNUITY
TRUST NO. 6
April 24, 1998 By: /s/ Robert G. Wilmers
-------------------- ------------------------------
(Date) Robert G. Wilmers, Trustee
April 24, 1998 By: /s/ Ira H. Jolles
-------------------- ------------------------------
(Date) Ira H. Jolles, Trustee
CUSIP No. 320076102 Schedule 13D Page 17 of 17
SCHEDULE I
- ------------------- -------------- ------------- -------------- ------------
(1) Person (2) Date of (3) Number (4) Price Per (5) Where
Effecting Transaction of Shares Share and How
Transaction Disposed of Effected
- ------------------- -------------- ------------- -------------- ------------
Robert G. Wilmers 4/3/98 20 n/a gift
- ------------------- -------------- ------------- -------------- ------------