-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, LkHT5t19JVdQ5qwyxqXGZDMCL8mj3z7sbM+TamiosZnYL0CYy0XP4lULSkHA2eRZ RpRUdg5b9AqPUOo8WOOb5w== 0001083753-02-000009.txt : 20020414 0001083753-02-000009.hdr.sgml : 20020414 ACCESSION NUMBER: 0001083753-02-000009 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020219 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LD CAPITAL INC CENTRAL INDEX KEY: 0001106743 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 133 SOUTH THIRD ST STREET 2: SUITE 402 CITY: LOUISVILLE STATE: KY ZIP: 40202 MAIL ADDRESS: STREET 1: 133 SOUTH THIRD ST STREET 2: SUITE 402 CITY: LOUISVILLE STATE: KY ZIP: 40202 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: THERMOVIEW INDUSTRIES INC CENTRAL INDEX KEY: 0001083753 STANDARD INDUSTRIAL CLASSIFICATION: PLASTICS PRODUCTS, NEC [3089] IRS NUMBER: 611325129 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-57825 FILM NUMBER: 02552649 BUSINESS ADDRESS: STREET 1: 5611 FERN VALLEY ROAD STREET 2: SUITE 203 CITY: LOUISVILLE STATE: KY ZIP: 40222 BUSINESS PHONE: 5024125600 MAIL ADDRESS: STREET 1: 1101 HERR LANE CITY: LOUISVILLE STATE: KY ZIP: 40222 SC 13G 1 dim.txt LD CAPITAL, INC. SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. ____)* THERMOVIEW INDUSTRIES, INC. ------------------------------------------------------- (Name of Issuer) COMMON STOCK ------------------------------------------------------- (Title of Class of Securities) 883671 50 5 ------------------------------------------------------- (CUSIP Number) 12/31/2001 ------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed. [ ] Rule 13d-1(b) [ ] Rule 13d-1(c) [x ] Rule 13d-1(d) *The remainder of this cover page shall be filed 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). 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) LD Capital, Inc. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP. (a) [ ] (b) [ ] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION Kentucky NUMBER OF 5. SOLE VOTING POWER: 492,802 SHARES BENEFICIALLY 6. SHARED VOTING POWER: 0 OWNED BY EACH REPORTING 7. SOLE DISPOSITIVE POWER: 492,802 PERSON WITH 8. SHARED DISPOSITIVE POWER: 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 492,802 SHARES 100% OF WHICH ARE UNEXERCISED OPTIONS 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ] 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.90 12. TYPE OF REPORTING PERSON CO Item 1(a) Name of Issuer: ThermoView Industries, Inc. Item 1(b) Address of Issuer's Principal Executive Offices: 5611 Fern Valley Road Louisville, Kentucky 40228 Item 2(a) Name of Person Filing: LD Capital, Inc. Item 2(b) Address of Principal Office: 133 South Third Street, Suite 402, Louisville, KY 40202 Item 2(c) Citizenship: USA Item 2(d) Title of Class of Securities: Common Stock Item 2(e) CUSIP Number: 883671 50 5 Item 3. If this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: (a) [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) [ ] Insurance company as defined in section 3(a) (19) of the Act (15 U.S.C. 78c). (d) [ ] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). (e) [ ] An investment adviser in accordance with 240.13d-1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment funding accordance with 240.13d-1(b)(1) (ii)(F); (g) [ ] A parent holding company or control person in accordance with 240.13d-1(b)(1)(ii)(G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) [ ] Group, in accordance with 240.13d-1(b)(1)(ii)(J). Item 4(a) Amount Beneficially Owned: 492,802 Item 4(b) Percent of Class: 5.9 Item 4(c) Number of shares as to which reporting person has: (i) sole power to vote or to direct the vote: 492,802 (ii) shared power to vote or to direct the vote: 0 (iii) sole power to dispose or to direct the disposition of: 492,802 (iv) shared power to dispose or to direct the disposition of: 0 Item 5 Ownership of 5% or Less of Class: N/A Item 6 Ownership of More than 5% on Behalf of Another Person: N/A Item 7 Identification and Classification of the Subsidiary which Acquired the Security Being Reported on by the Parent Holding Company: N/A Item 8 Identification and Classification of Members of the Group: N/A Item 9 Notice of Dissolution of Group: N/A Item 10 Certification: (a) N/A (b) N/A Signature. 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. 2/18/2002 Dated /s/ Lindsey Maxwell Secretary -----END PRIVACY-ENHANCED MESSAGE-----