-----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, R8s85Jgryg8gXDtIMWVhF+MbMoHiu0WzfTlYkPE459GQFCxrRecKTamyVqyypjW8 dCJ1SgQ1+U77H+9H/9jpgw== 0001209191-09-035830.txt : 20090707 0001209191-09-035830.hdr.sgml : 20090707 20090707135358 ACCESSION NUMBER: 0001209191-09-035830 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090220 FILED AS OF DATE: 20090707 DATE AS OF CHANGE: 20090707 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Lenfest Harold Fitzgerald CENTRAL INDEX KEY: 0001317785 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-10655 FILM NUMBER: 09933034 MAIL ADDRESS: STREET 1: 300 BARR HARBOR DRIVE STREET 2: SUITE 460 CITY: WEST CONSHOHOCKEN STATE: PA ZIP: 19428 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ENVIRONMENTAL TECTONICS CORP CENTRAL INDEX KEY: 0000033113 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 231714256 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: COUNTY LINE INDUSTRIAL PARK CITY: SOUTHAMPTON STATE: PA ZIP: 18966 BUSINESS PHONE: 2153559100 MAIL ADDRESS: STREET 1: COUNTYLINE INDUSTRIAL PARK CITY: SOUTHAMPTON STATE: PA ZIP: 18966 FORMER COMPANY: FORMER CONFORMED NAME: ENVIRONMENTAL TECHNOLOGY CORP DATE OF NAME CHANGE: 19730208 4 1 c87666_4x0.xml MAIN DOCUMENT DESCRIPTION X0303 4 2009-02-20 0000033113 ENVIRONMENTAL TECTONICS CORP ETCC 0001317785 Lenfest Harold Fitzgerald 300 BARR HARBOR DRIVE SUITE 460 WEST CONSHOHOCKEN PA 19428 1 0 1 0 Warrant 1.39 2009-02-20 4 A 0 143885 0 A 2009-02-20 2016-02-20 Common Stock 143885 143885 D Series D Convertible Preferred Stock 0.94 2009-04-24 4 A 0 55 1000 A 2009-04-24 Common Stock 58511 55 D Series D Convertible Preferred Stock 1.11 2009-07-02 4 A 0 100 1000 A 2009-07-02 Common Stock 90090 155 D Senior Subordinated Convertible Promissory Note 6.05 2009-07-02 4 J 0 1 10000000 D 2003-02-18 2010-03-01 Common Stock 1652892 0 D Series B Convertible Preferred Stock 4.95 2009-07-02 4 J 0 3000 1000 D 2006-04-06 Common Stock 606060 0 D Series B Convertible Preferred Stock 6.68 2009-07-02 4 J 0 3000 1000 D 2006-07-31 Common Stock 449101 0 D Series C Convertible Preferred Stock 3.03 2009-07-02 4 J 0 3300 1000 D 2007-08-23 Common Stock 1089109 0 D Series E Cumulative Convertible Preferred Stock 2.00 2009-07-02 4 J 0 23741 1000 A 2009-07-02 Common Stock 11870500 23741 D Warrant 1.11 2009-07-02 4 A 0 450450 0 A 2009-07-02 2016-07-02 Common Stock 450450 594335 D Issued to Reporting Person in connection with $2 million loan by Reporting Person to Issuer on February 20, 2009. Paid to Reporting Person as an origination fee of one percent (1%) of the committed (but not yet advanced) amount of the credit facility provided by Reporting Person to Issuer. Paid to Reporting Person as an origination fee in connection with Issuer's entering into certain financing documents with PNC Bank, National Association. In connection with a certain financing transaction between Reporting Person and Issuer, the Senior Subordinated Convertible Promissory Note in the original principal amount of $10,000,000 issued by Issuer to Reporting Person on February 18, 2003, together with all accrued interest and warrants issuable pursuant to the terms of such note, and all Series B Convertible Preferred Stock of Issuer and Series C Convertible Preferred Stock of Issuer held by Reporting Person, together with all accrued dividends thereon, were exchanged for 23,741 shares of Series E Convertible Preferred Stock of Issuer. Issued to Reporting Person as consideration for Reporting Person entering into a certain Guaranty on behalf of Issuer. N/A /s/ H.F. Lenfest 2009-07-07 -----END PRIVACY-ENHANCED MESSAGE-----