UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D/A
(Rule 13d-101)
INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULE 13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO
RULE 13d-2(a)
(Amendment No. 3)
EMERGING VISION, INC.
(Name of Issuer)
COMMON STOCK, PAR VALUE $0.01
(Title of Class of Securities)
859727109
(CUSIP Number)
Dr. Robert Cohen
100 Quentin Roosevelt Blvd., Suite 400
Garden City, New York 11530
(516) 390-2200
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
June 5, 2003
(Date of Event which Requires Filing Statement on Schedule 13D)
If the filing person has previously filed a statement on Schedule 13G to
report the acquisition that is the subject of this Schedule 13D, and is filing
this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the
following box [ X ].
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Dr. Robert Cohen
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 7,424,060*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 7,424,060*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
7,424,060*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.88%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
* Includes warrants and options to purchase 3,702,035 shares of the issuer's
common stock which are exercisable within the 60 day period following the date
hereof. In determining the percentage of class represented by the amount in row
(11), 3,702,035 shares were added to the total outstanding shares of the
issuer's common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Horizons Investors Corp.
11-2651913
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
New York State
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 54,794,307*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 54,794,307*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
54,794,307*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
52.62%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
CO
--------------------------------------------------------------------------------
* Includes warrants to purchase 24,246,616 shares of the issuer's common stock
which are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
24,246,616 shares were added to the total outstanding shares of the issuer's
common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Benito R. Fernandez
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 100,000*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 100,000*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
100,000*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.13%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
* Consists of options to purchase 100,000 shares of the issuer's
common stock which are exercisable within the 60 day period following the date
hereof. In determining the percentage of class represented by the amount in row
(11), 100,000 shares were added to the total outstanding shares of the issuer's
common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Dr. Alan Cohen
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 8,919,822*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 8,919,822*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
8,919,822*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
10.59%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
* Includes warrants and options to purchase 4,365,166 shares of the issuer's
common stock which are exercisable within the 60 day period following the date
hereof. In determining the percentage of class represented by the amount in row
(11), 4,365,166 shares were added to the total outstanding shares of the
issuer's common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Dr. Alan Cohen, a/c/f Erica Cohen
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 21,700*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 21,700*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,700*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.0.027%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
* Includes warrants to purchase 8,350 shares of the issuer's common stock which
are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11), 8,350
shares were added to the total outstanding shares of the issuer's common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Dr. Alan Cohen, a/c/f Nicole Cohen
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 21,700*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 21,700*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
21,700*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
.0.027%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
* Includes warrants to purchase 8,350 shares of the issuer's common stock which
are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11), 8,350
shares were added to the total outstanding shares of the issuer's common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Michael Goodman, as trustee under the Jaclyn Cohen Trust
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 4,608,888*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 4,608,888*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,608,888*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.45%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
* Includes warrants to purchase 2,039,444 shares of the issuer's common stock
which are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
2,039,444 shares were added to the total outstanding shares of the issuer's
common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Eric Fried, as trustee under the Gabrielle Cohen Trust
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 4,608,888*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 4,608,888*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,608,888*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.45%
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
* Includes warrants to purchase 2,039,444 shares of the issuer's common stock
which are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
2,039,444 shares were added to the total outstanding shares of the issuer's
common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Alan Faver, as trustee under the Nicole Cohen Trust
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 4,478,444*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 4,478,444*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,478,444*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.47%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
* Includes warrants to purchase 1,981,722 shares of the issuer's common stock
which are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
1,981,722 shares were added to the total outstanding shares of the issuer's
common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Mark Goodman, as trustee under the Erica Cohen Trust
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
OO
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 4,478,444*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 4,478,444*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,478,444*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
5.47%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
* Includes warrants to purchase 1,981,722 shares of the issuer's common stock
which are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
1,981,722 shares were added to the total outstanding shares of the issuer's
common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Jeffrey Cohen
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 6,933,243*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 6,933,243*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
6,933,243*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
8.39%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
* Includes warrants to purchase 2,725,255 shares of the issuer's common stock
which are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
2,725,255 shares were added to the total outstanding shares of the issuer's
common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Allyson Cohen Shapiro
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 5,093,590*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 5,093,590*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,093,590*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.23%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
* Includes warrants to purchase 1,924,004 shares of the issuer's common stock
which are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
1,924,004 shares were added to the total outstanding shares of the issuer's
common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Stefanie Cohen Rubin
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 5,401,132*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 5,401,132*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
5,401,132*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
6.56%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
* Includes warrants to purchase 2,400,255 shares of the issuer's common stock
which are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
2,400,255 shares were added to the total outstanding shares of the issuer's
common stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Jeffrey Rubin
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 69,000
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 531,022*
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 69,000
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 531,022*
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
600,022**
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.75%**
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
* Consists of 265,511 shares of the issuer's common stock and warrants to
purchase 265,511 shares of the issuer's common stock held by JR Group, LLC, an
entity controlled by Jeffrey Rubin.
** Includes warrants to purchase 265,511 shares of the issuer's common stock
which are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
265,511 shares were added to the total outstanding shares of the issuer's common
stock.
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
JR Group, LLC
11-3463335
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
New York limited liability company
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 0
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 531,022*
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 531,022*
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
531, 022*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.66%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
OO
--------------------------------------------------------------------------------
* Consists of 265,511 shares and warrants to purchase 265,511 shares of the
issuer's common stock held directly by JR Group, LLC, an entity controlled by
Jeffrey Rubin. The warrants to purchase 265,511 shares of the issuer's common
stock were added to the total outstanding shares in determining the percentage
of class represented by the amount in row (11).
--------------------------------------------------------------------------------
1. NAMES OF REPORTING PERSONS
IRS IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)
Lenore Katz
--------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ X ]
(b) [__]
--------------------------------------------------------------------------------
3. SEC USE ONLY
--------------------------------------------------------------------------------
4. SOURCE OF FUNDS
PF
--------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(e) or 2(f) [__]
--------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
USA
--------------------------------------------------------------------------------
NUMBER OF 7. SOLE VOTING POWER 143,480*
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON WITH
--------------------------------------------------------------------------------
8. SHARED VOTING POWER 0
--------------------------------------------------------------------------------
9. SOLE DISPOSITIVE POWER 143,480*
--------------------------------------------------------------------------------
10. SHARED DISPOSITIVE POWER 0
--------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
143,480*
--------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES
CERTAIN SHARES [__]
--------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.18%*
--------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
--------------------------------------------------------------------------------
* Includes warrants to purchase 63,490 shares of the issuer's common stock which
are exercisable within the 60 day period following the date hereof. In
determining the percentage of class represented by the amount in row (11),
63,490 shares were added to the total outstanding shares of the issuer's common
stock.
EXPLANATORY NOTE
On June 5, 2003, Dr. Robert Cohen, Horizons Investors Corp., Dr. Alan Cohen
and certain members of the Cohen families (the "Offering Group") proposed to
form EVI Acquisition, Inc. (the "Purchaser") to acquire all of the outstanding
capital stock of Emerging Vision, Inc. (the "Company") by merger of the
Purchaser into the Company (the "Merger").
In connection with the Merger, by letter dated June 5, 2003 addressed to
the Company, the Offering Group offered to pay the holders of the Company's
common stock $0.07 in cash for each share of common stock not owned by the
Offering Group. Holders of vested employee options and warrants will be entitled
to receive in cash the difference between the offered price and the exercise
price.
Pursuant to Rule 13d-1(k)(2) of the Securities Exchange Act of 1934 (the
"Exchange Act"), filings required to be made by individual members of the
Offering Group under Section 13(d)(1) of the Exchange Act will be made in a
group joint filing filed under the name of Dr. Robert Cohen on this Schedule
13D/A and future amendments hereto.
ITEM 1. SECURITY AND ISSUER.
The name of the issuer is Emerging Vision, Inc., a New York corporation, which
has its principal executive offices at 100 Quentin Roosevelt Boulevard Garden
City, New York 11530. This statement relates to the Company's common stock,
$0.01 par value per share.
ITEM 2. IDENTITY AND BACKGROUND.
(a)-(f). DR. ROBERT COHEN. This Schedule 13D is being filed by Dr. Robert Cohen,
a citizen of the United States of America. Dr. Cohen's principal business
address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530.
Dr. Cohen's principal occupation is an entrepreneur, business owner and
operator. During the last five years, Dr. Robert Cohen has not been (A)
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) or (B) 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.
(a)-(f). HORIZONS INVESTORS CORP. This Schedule 13D is being filed by Horizons
Investors Corp., a corporation organized under the laws of the State of New
York. Mr. Fernandez's principal business is to provide management consulting
services. The address of the principal office at which Horizons Investors Corp.
engages in its principal business activity is 131 Lancaster Street, Albany , NY
12210. During the last five years, Horizons Investors Corp. has not been (A)
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) or (B) 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.
(a)-(f). BENITO R. FERNANDEZ. This Schedule 13D is being filed by Benito R.
Fernandez. The principal business of Horizons Investors Corp. is an
entrepreneur, business owner and operator. The address of the principal office
at which Mr. Fernandez engages in his principal business activity is 131
Lancaster Street, Albany , NY 12210. During the last five years, Mr. Fernandez
has not been (A) convicted in a criminal proceeding (excluding traffic
violations or similar misdemeanors) or (B) 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.
(a)-(f). DR. ALAN COHEN. This Schedule 13D is being filed by Dr. Alan Cohen, a
citizen of the United States of America. Dr. Cohen's principal business address
is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Dr.
Cohen's principal occupation is an entrepreneur, business owner and operator.
During the last five years, Dr. Cohen has not been (A) convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (B) 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.
(a)-(f). DR. ALAN COHEN, A/C/F ERICA COHEN. This Schedule 13D is being filed by
Dr. Alan Cohen, A/C/F Erica Cohen. Dr. Alan Cohen is deemed to be the beneficial
owner of the shares held by him as custodian for his child, Erica Cohen, who
owns 13,350 shares of common stock and warrants to purchase 8,350 shares of
common stock. Dr. Alan Cohen and Erica Cohen are citizens of the United States
of America. Dr. Alan Cohen's principal business address is 100 Quentin Roosevelt
Blvd., Suite 400, Garden City, New York 11530. Dr. Alan Cohen's principal
occupation is an entrepreneur, business owner and operator. During the last five
years, neither Dr. Alan Cohen nor Erica Cohen has been (A) convicted in a
criminal proceeding (excluding traffic violations or similar misdemeanors) or
(B) 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.
(a)-(f). DR. ALAN COHEN, A/C/F NICOLE COHEN. This Schedule 13D is being filed by
Dr. Alan Cohen, A/C/F Nicole Cohen. Dr. Alan Cohen is deemed to be the
beneficial owner of the shares held by him as custodian for his child, Erica
Cohen, who owns 13,350 shares of common stock and warrants to purchase 8,350
shares of common stock. Dr. Alan Cohen and Nicole Cohen are citizens of the
United States of America. Dr. Alan Cohen's principal business address is 100
Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Dr. Alan
Cohen's principal occupation is an entrepreneur, business owner and operator.
During the last five years, neither Dr. Alan Cohen nor Nicole Cohen has been (A)
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) or (B) 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.
(a)-(f). MICHAEL GOODMAN, AS TRUSTEE. This Schedule 13D is being filed by
Michael Goodman, as trustee under the Jaclyn Cohen Trust. Michael Goodman is
deemed to be the beneficial owner of the shares held by him as trustee under the
Jaclyn Cohen Trust, which owns 2,569,444 shares of common stock and warrants to
purchase 2,039,444 shares of common stock. Michael Goodman and Jaclyn Cohen are
citizens of the United States of America. Michael Goodman's principal business
address is 100 Quentin Roosevelt Blvd., Suite 516, Garden City, New York 11530.
Michael Goodman's principal occupation is certified public accountant. During
the last five years, neither Michael Goodman nor Jaclyn Cohen has been (A)
convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) or (B) 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.
(a)-(f). ERIC FRIED, AS TRUSTEE. This Schedule 13D is being filed by Eric Fried,
as trustee under the Gabrielle Cohen Trust. Eric Fried is deemed to be the
beneficial owner of the shares held by him as trustee under the Gabrielle Cohen
Trust, which owns 2,569,444 shares of common stock and warrants to purchase
2,039,444 shares of common stock. Eric Fried and Gabrielle Cohen are citizens of
the United States of America. Eric Fried's principal business address is 100
Quentin Roosevelt Blvd., Suite 516, Garden City, New York 11530. Eric Fried's
principal occupation is certified public accountant. During the last five years,
neither Eric Fried nor Gabrielle Cohen has been (A) convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (B) 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.
(a)-(f). ALAN FAVER, AS TRUSTEE. This Schedule 13D is being filed by Alan Faver,
as trustee under the Nicole Cohen Trust. Alan Faver is deemed to be the
beneficial owner of the shares held by him as trustee under the Nicole Cohen
Trust, which owns 2,304,323 shares of common stock and warrants to purchase
1,981,722 shares of common stock. Alan Faver and Nicole Cohen are citizens of
the United States of America. Alan Faver's principal business address is 100
Quentin Roosevelt Blvd., Suite 516, Garden City, New York 11530. Alan Faver's
principal occupation is certified public accountant. During the last five years,
neither Alan Faver nor Nicole Cohen has been (A) convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (B) 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.
(a)-(f). MARK GOODMAN, AS TRUSTEE. This Schedule 13D is being filed by Mark
Goodman, as trustee under the Erica Cohen Trust. Mark Goodman is deemed to be
the beneficial owner of the shares held by him as trustee under the Erica Cohen
Trust, which owns 2,304,323 shares of common stock and warrants to purchase
1,981,722 shares of common stock. Mark Goodman and Erica Cohen are citizens of
the United States of America. Mark Goodman's principal business address is 100
Quentin Roosevelt Blvd., Suite 516, Garden City, New York 11530. Mark Goodman's
principal occupation is certified public accountant. During the last five years,
neither Mark Goodman nor Erica Cohen has been (A) convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (B) 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.
(a)-(f). JEFFREY COHEN. This Schedule 13D is being filed by Jeffrey Cohen, a
citizen of the United States of America. Jeffrey Cohen's principal business
address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530.
Jeffrey Cohen's principal occupation is an entrepreneur, business owner and
operator. During the last five years, Jeffrey Cohen has not been (A) convicted
in a criminal proceeding (excluding traffic violations or similar misdemeanors)
or (B) 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.
(a)-(f). ALLYSON COHEN SHAPIRO. This Schedule 13D is being filed by Allyson
Cohen Shapiro, a citizen of the United States of America. Allyson Cohen
Shapiro's principal business address is 100 Quentin Roosevelt Blvd., Suite 400,
Garden City, New York 11530. Her principal occupation is homemaker. During the
last five years, Allyson Cohen Shapiro has not been (A) convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (B) 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.
(a)-(f). STEFANIE COHEN RUBIN. This Schedule 13D is being filed by Stefanie
Cohen Rubin, a citizen of the United States of America. Stefanie Cohen Rubin's
principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden
City, New York 11530. Her principal occupation is homemaker. During the last
five years, Stefanie Cohen Rubin has not been (A) convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (B) 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.
(a)-(f). JEFFREY RUBIN. This Schedule 13D is being filed by Jeffrey Rubin, a
citizen of the United States of America. Jeffrey Rubin's principal business
address is 100 Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530.
His principal occupation is an entrepreneur, business owner and operator. During
the last five years, Jeffrey Rubin has not been (A) convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors) or (B) 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.
(a)-(f). JR GROUP, LLC. This Schedule 13D is being filed by JR Group, LLC, a New
York limited liability company controlled by Jeffrey Rubin. JR Group, LLC's
principal business address is 100 Quentin Roosevelt Blvd., Suite 400, Garden
City, New York 11530. JR Group, LLC's principal business activity is to act as a
holding company for Jeffrey Rubin's investments. During the last five years, JR
Group, LLC has not been (A) convicted in a criminal proceeding (excluding
traffic violations or similar misdemeanors) or (B) 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.
(a)-(f). LENORE KATZ. This Schedule 13D is being filed by Lenore Katz, a citizen
of the United States of America. Lenore Katz's principal business address is 100
Quentin Roosevelt Blvd., Suite 400, Garden City, New York 11530. Her principal
occupation is homemaker. During the last five years, Lenore Katz has not been
(A) convicted in a criminal proceeding (excluding traffic violations or similar
misdemeanors) or (B) 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.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION.
See Item 4.
ITEM 4. PURPOSE OF TRANSACTION.
On June 5, 2003, the Offering Group proposed to form the Purchaser to
acquire all of the outstanding capital stock of the Company through the Merger.
In connection with the Merger, the Offering Group offered to pay the holders of
the Company's common stock $0.07 in cash for each share of common stock not
owned by the Offering Group. Holders of vested employee options and warrants
will be entitled to receive in cash the difference between the offered price and
the exercise price.
Completion of the Merger shall be conditioned upon, among other things, the
entering into of a mutually acceptable definitive merger agreement, clearance of
filings required by the Securities and Exchange Commission, favorable
determination by a Special Committee of the Board of Directors of the Company as
to the fairness of the Merger, and approval of the transaction by the holders of
the requisite number of shares of the Company's common stock. The Offering Group
owns 59,776,356 shares of the Company, or approximately 74.8% of the Company's
common stock. Assuming the exercise of all warrants held by the Offering Group,
the Offering Group owns 107,627,720 shares of the Company's common stock or
approximately 84% of the Company's common stock. Accordingly, the Offering
Group has more than the requisite number of votes to approve the Merger. The
Offering Group does not intend to sell its equity interests in the Company to
any third party.
The members of the Offering Group intend to use their own funds to pay the
merger consideration payable in the Merger.
The Offering Group has orally agreed to vote their shares in favor of the
Merger, but no written agreement currently exists.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER.
1. Dr. Robert Cohen
----------------
(a) Amount of Securities Beneficially Owned: 7,424,060
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 7,424,060
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 7,424,060
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
2. Horizons Investors Corp.
------------------------
(a) Amount of Securities Beneficially Owned: 54,794,307
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 54,794,307
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 54,794,307
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
3. Benito R. Fernandez
-------------------
(a) Amount of Securities Beneficially Owned: 100,000
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 100,000
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 100,000
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: None
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
4. Dr. Alan Cohen
--------------
(a) Amount of Securities Beneficially Owned: 8,919,822
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 8,919,822
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 8,919,822
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
5. Dr. Alan Cohen, a/c/f Erica Cohen
---------------------------------
(a) Amount of Securities Beneficially Owned: 21,700
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 21,700
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 21,700
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
6. Dr. Alan Cohen, a/c/f Nicole Cohen
----------------------------------
(a) Amount of Securities Beneficially Owned: 21,700
(b) Number of shares as to which such person has:
(ii Sole power to vote or direct vote: 21,700
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 21,700
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
7. Michael Goodman, as trustee under the Jaclyn Cohen Trust
--------------------------------------------------------
(a) Amount of Securities Beneficially Owned: 4,608,888
(b) Number of shares as to which such person has:
(iii) Sole power to vote or direct vote: 4,608,888
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 4,608,888
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
8. Eric Fried, as trustee under the Gabrielle Cohen Trust
------------------------------------------------------
(a) Amount of Securities Beneficially Owned: 4,608,888
(b) Number of shares as to which such person has:
(iv) Sole power to vote or direct vote: 4,608,888
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 4,608,888
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e ) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
9. Alan Faver, as trustee under the Nicole Cohen Trust
---------------------------------------------------
(a) Amount of Securities Beneficially Owned: 4,478,444
(b) Number of shares as to which such person has:
(v) Sole power to vote or direct vote: 4,478,444
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 4,478,444
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
10. Mark Goodman, as trustee under the Erica Cohen Trust
----------------------------------------------------
(a) Amount of Securities Beneficially Owned: 4,478,444
(b) Number of shares as to which such person has:
(vi) Sole power to vote or direct vote: 4,478,444
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 4,478,444
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
11. Jeffrey Cohen
-------------
(a) Amount of Securities Beneficially Owned: 6,933,243
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 6,933,243
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 6,933,243
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
12. Allyson Cohen Shapiro
---------------------
(a) Amount of Securities Beneficially Owned: 5,093,590
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 5,093,590
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 5,093,590
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
13. Stefanie Cohen Rubin
--------------------
(a) Amount of Securities Beneficially Owned: 5,401,132
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 5,401,132
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 5,401,132
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
14. Jeffrey Rubin
-------------
(a) Amount of Securities Beneficially Owned: 600,022
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 69,000
(ii) Shared power to vote or direct vote: 531,022
(iii) Sole power to dispose of or direct disposition
of shares: 69,000
(iv) Shared power to dispose of or direct disposition
of shares: 531,022
(c) Transactions in securities of the Company within last 60
days: Acquisition by JR Group, LLC, an entity controlled by Jeffrey Rubin, of
units in Company's shareholders rights offering, each consisting of one share of
common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
15. JR Group, LLC
-------------
(a) Amount of Securities Beneficially Owned: 531,022
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 0
(ii) Shared power to vote or direct vote: 531,022
(iii) Sole power to dispose of or direct disposition
of shares: 0
(iv) Shared power to dispose of or direct disposition
of shares: 531,022
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
16. Lenore Katz
-----------
(a) Amount of Securities Beneficially Owned: 143,480
(b) Number of shares as to which such person has:
(i) Sole power to vote or direct vote: 143,480
(ii) Shared power to vote or direct vote: 0
(iii) Sole power to dispose of or direct disposition
of shares: 143,480
(iv) Shared power to dispose of or direct disposition
of shares: 0
(c) Transactions in securities of the Company within last 60
days: Acquisition of units in Company's shareholders rights offering, each
consisting of one share of common stock and one warrant.
(d) Third party right to receive dividends or proceeds from
sale of securities: None
(e) Date reporting person ceased to be the beneficial owner of
more than five percent of the class of securities: Not applicable.
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH
RESPECT TO SECURITIES OF THE ISSUER.
The Offering Group has an oral understanding regarding the voting of each
member's respective shares in favor of the Merger.
ITEM 7. MATERIAL TO BE FILED AS EXHIBITS.
Exhibit 1. Joint Filing Agreement, dated as of June 6, 2003, among each member
of the Offering Group.
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.
Dated: June 9, 2003
/s/ Dr. Robert Cohen
----------------------------------------
DR. ROBERT COHEN
HORIZONS INVESTORS CORP.
By: /s/ B.R. Fernandez
-------------------------------------
Name: B.R. Fernandez
Title: President
/s/ B.R. Fernandez
----------------------------------------
B.R. FERNANDEZ
Dr. Alan Cohen
Dr. Alan Cohen a/c/f Erica Cohen Dr.
Alan Cohen a/c/f Nicole Cohen
Michael Goodman, as trustee under
the Jaclyn Cohen Trust
Eric Fried, as trustee under the
Gabrielle Cohen Trust
Alan Faver, as trustee under
the Nicole Cohen Trust
Mark Goodman, as trustee under the
Erica Cohen Trust
Jeffrey Cohen
Allyson Cohen Shapiro
Stefanie Cohen Rubin
Jeffrey Rubin
JR Group, LLC
Lenore Katz
By: /s/ Dr. Robert Cohen,
as Attorney-in-Fact
-----------------------------------
Dr. Robert Cohen
Attorney-in-Fact
Exhibit 1
Joint Filing Agreement
Dated as of June 9, 2003
In accordance with Rule 13d-1(k)(1) under the Securities Exchange Act of
1934, as amended, the undersigned hereby agree to the joint filing by Dr. Robert
Cohen, Dr. Alan Cohen, Horizons Investors Corp., Benito R. Fernandez, Dr. Alan
Cohen a/c/f Erica Cohen, Dr. Alan Cohen a/c/f Nicole Cohen, Michael Goodman, as
trustee under the Jaclyn Cohen Trust, Eric Fried, as trustee under the Gabrielle
Cohen Trust, Alan Faver, as trustee under the Nicole Cohen Trust, Mark Goodman,
as trustee under the Erica Cohen Trust, Jeffrey Cohen, Allyson Cohen Shapiro,
Stefanie Cohen Rubin, Jeffrey Rubin, JR Group, LLC, and Lenore Katz on behalf of
each of them of a statement on Schedule 13D (including amendments thereto) with
respect to shares of Common Stock, $0.01 par value per share, of Emerging
Vision, Inc., and that this Agreement be included as an Exhibit to such joint
filing.
Each of the undersigned, other than Horizons Investors Corp. and Benito R.
Fernandez, hereby appoints Dr. Robert Cohen as his/her attorney-in-fact to sign
in his/her name and behalf, in any and all capacities stated below, and to file
with the Securities and Exchange Commission, the Schedule 13D that this Joint
Filing Agreement is an exhibit to and any and all amendments to such Schedule
13D.
This Agreement may be executed in any number of counterparts all of which
taken together shall constitute one and the same instrument. Facsimile execution
and delivery of this agreement is legal, valid and binding for all purposes.
IN WITNESS WHEREOF, the undersigned hereby execute this Agreement as of the
date first above written.
/s/ Dr. Robert Cohen
----------------------------------------
DR. ROBERT COHEN
HORIZONS INVESTORS CORP.
By: /s/ B.R. Fernandez
----------------------------------------
Name:
Title:
/s/ Benito R. Fernandez
----------------------------------------
Benito R. Fernandez
/s/ Dr. Alan Cohen
----------------------------------------
DR. ALAN COHEN
/s/ Dr. Alan Cohen
----------------------------------------
DR. ALAN COHEN A/C/F ERICA COHEN DR.
ALAN COHEN A/C/F NICOLE COHEN
/s/ Michael Goodman
----------------------------------------
MICHAEL GOODMAN, AS TRUSTEE UNDER THE
JACLYN COHEN TRUST
/s/ Eric Fried
----------------------------------------
ERIC FRIED, AS TRUSTEE UNDER THE
GABRIELLE COHEN TRUST
/s/ Alan Faver
----------------------------------------
ALAN FAVER, AS TRUSTEE UNDER THE
NICOLE COHEN TRUST
/s/ Mark Goodman
----------------------------------------
MARK GOODMAN, AS TRUSTEE UNDER THE
ERICA COHEN TRUST
/s/ Jeffrey Cohen
----------------------------------------
JEFFREY COHEN
/s/ Allyson Cohen Shapiro
----------------------------------------
ALLYSON COHEN SHAPIRO
/s/ Stefanie Cohen Rubin
----------------------------------------
STEFANIE COHEN RUBIN
/s/ Jeffrey Rubin
----------------------------------------
JEFFREY RUBIN
JR GROUP, LLC
By: Jeffrey Rubin
----------------------------------------
Name: Jeffrey Rubin
Title: Manager
/s/ Lenore Katz
----------------------------------------
LENORE KATZ