-----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, ODB4ABXjZgN5KTrOP0cP7sVLbVpMpVGi8oS57vjbR9nbKROiPWgxLOHoRBLCss9v INonrFc0DlqKVQmGvmOaWA== 0000909518-09-000584.txt : 20090923 0000909518-09-000584.hdr.sgml : 20090923 20090923204827 ACCESSION NUMBER: 0000909518-09-000584 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 5 CONFORMED PERIOD OF REPORT: 20090923 FILED AS OF DATE: 20090923 DATE AS OF CHANGE: 20090923 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: A123 SYSTEMS, INC. CENTRAL INDEX KEY: 0001167178 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 043583876 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ARSENAL ON THE CHARLES STREET 2: 321 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 BUSINESS PHONE: 6177785700 MAIL ADDRESS: STREET 1: ARSENAL ON THE CHARLES STREET 2: 321 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 FORMER COMPANY: FORMER CONFORMED NAME: A123 SYSTEMS INC DATE OF NAME CHANGE: 20020212 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GENERAL ELECTRIC CAPITAL SERVICES INC/CT CENTRAL INDEX KEY: 0000797463 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091083588 BUSINESS ADDRESS: STREET 1: 3135 EASTON TURNPIKE CITY: FAIRFIELD STATE: CT ZIP: 06828-0001 BUSINESS PHONE: 203-373-2211 MAIL ADDRESS: STREET 1: 3135 EASTON TURNPIKE CITY: FAIRFIELD STATE: CT ZIP: 06828-0001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GENERAL ELECTRIC CAPITAL CORP CENTRAL INDEX KEY: 0000040554 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] STATE OF INCORPORATION: CT FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091083589 BUSINESS ADDRESS: STREET 1: 3135 EASTON TURNPIKE CITY: FAIRFIELD STATE: CT ZIP: 06828-0001 BUSINESS PHONE: 203-373-2211 MAIL ADDRESS: STREET 1: 3135 EASTON TURNPIKE CITY: FAIRFIELD STATE: CT ZIP: 06828-0001 FORMER NAME: FORMER CONFORMED NAME: GENERAL ELECTRIC CREDIT CORP DATE OF NAME CHANGE: 19871216 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GENERAL ELECTRIC CO CENTRAL INDEX KEY: 0000040545 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091083590 BUSINESS ADDRESS: STREET 1: 3135 EASTON TURNPIKE STREET 2: W3F CITY: FAIRFIELD STATE: CT ZIP: 06828 BUSINESS PHONE: 203-373-2211 MAIL ADDRESS: STREET 1: 3135 EASTON TURNPIKE STREET 2: W3F CITY: FAIRFIELD STATE: CT ZIP: 06828 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GE CAPITAL CFE INC CENTRAL INDEX KEY: 0001224822 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091083586 BUSINESS ADDRESS: STREET 1: 201 MERRITT 7 CITY: NORWALK STATE: CT ZIP: 06856 BUSINESS PHONE: (203) 956-4366 MAIL ADDRESS: STREET 1: 201 MERRITT 7 CITY: NORWALK STATE: CT ZIP: 06856 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GPSF Securities, Inc. CENTRAL INDEX KEY: 0001472683 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091083585 BUSINESS ADDRESS: STREET 1: 201 MERRITT 7 CITY: NORWALK STATE: CT ZIP: 06851 BUSINESS PHONE: 203-956-4168 MAIL ADDRESS: STREET 1: 201 MERRITT 7 CITY: NORWALK STATE: CT ZIP: 06851 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: GE CAPITAL EQUITY INVESTMENTS INC CENTRAL INDEX KEY: 0001093083 STANDARD INDUSTRIAL CLASSIFICATION: PERSONAL CREDIT INSTITUTIONS [6141] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091083587 BUSINESS ADDRESS: STREET 1: 120 LONG RIDGE RD CITY: STAMFORD STATE: CT ZIP: 06927 BUSINESS PHONE: 2033576839 MAIL ADDRESS: STREET 1: 120 LONG RIDGE RD CITY: STAMFORD STATE: CT ZIP: 06927 3 1 gecc_a123form3ex.xml X0203 3 2009-09-23 0 0001167178 A123 SYSTEMS, INC. AONE 0000040554 GENERAL ELECTRIC CAPITAL CORP 3135 EASTON TURNPIKE FAIRFIELD CT 06828-0001 0 0 1 0 0000797463 GENERAL ELECTRIC CAPITAL SERVICES INC/CT 3135 EASTON TURNPIKE FAIRFIELD CT 06828-0001 0 0 0 1 See Exhibit 99.1 0001093083 GE CAPITAL EQUITY INVESTMENTS INC 201 MERRITT 7 NORWALK CT 06851 0 0 0 1 See Exhibit 99.1 0001224822 GE CAPITAL CFE INC 201 MERRITT 7 NORWALK CT 06856 0 0 0 1 See Exhibit 99.1 0001472683 GPSF Securities, Inc. 201 MERRITT 7 NORWALK CT 06851 0 0 0 1 See Exhibit 99.1 0000040545 GENERAL ELECTRIC CO 3135 EASTON TURNPIKE FAIRFIELD CT 06828 0 0 0 1 See Exhibit 99.1 Common Stock 900277 D Series C Convertible Preferred Stock Common Stock 800945 D Series D Convertible Preferred Stock Common Stock 2382925 D Series E Convertible Preferred Stock Common Stock 2497918 D Series F Convertible Preferred Stock Common Stock 1631191 D Warrant 2.0781 2012-02-24 Series B Convertible Preferred Stock/Common Stock 67366 D Directly owned by GPSF Securities, Inc. ("GPSF"). Directly owned by GE Capital CFE, Inc. ("GECFE"). Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). Directly owned by Heller Financial Leasing, Inc. ("Heller Leasing"). The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. Each share of preferred stock reported herein is convertible into one share of the Issuer's common stock (subject to certain adjustments), except that each share of the Issuer's Series E Convertible Preferred Stock is convertible into approximately 1.38154 shares of common stock (subject to certain adjustments). Upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein will convert automatically into one share of common stock except that each share of Series E Convertible Preferred Stock will convert automatically into 1.38154 shares of common stock. The Warrant is exercisable at any time by the holder for shares of the Issuer's Series B Convertible Preferred Stock, except that upon the closing of the Issuer's initial public offering, the Warrant will become exercisable only for shares of common stock. The actual exercise price is $2.078192 per share. The exercise price and the number of underlying shares are subject to certain adjustments. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, GECEI or Heller Leasing, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI, Heller Leasing and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Exhibit 24.1: Power of Attorney of General Electric Capital Corporation, incorporated herein by reference. Exhibit 24.2: Power of Attorney of General Electric Capital Services, Inc., incorporated herein by reference. Exhibit 24.3: Power of Attorney of General Electric Company, incorporated herein by reference. Exhibit 99.1: Joint Filer Information, incorporated herein by reference. /s/ Barbara A. Lane, Attorney-in-Fact for GECC 2009-09-23 EX-24 2 mm09-2309a123_form4e241.htm

Exhibit 24.1

 

POWER OF ATTORNEY

 

The undersigned, General Electric Capital Corporation, a Delaware corporation (hereinafter referred to as the “Corporation”) does hereby make, constitute and appoint the persons listed below as the Corporation's true and lawful agent and attorney-in-fact (hereinafter referred to as the “Attorney”) to act either together or alone in the name and on behalf of the Corporation for and with respect to the matters hereinafter described.

 

Name of Attorney:

 

 

Preston H. Abbott

Mark Kaplow

 

Brock Austin

Barbara A. Lane

 

Eileen Brumback

Henry Hubschman

 

Carlos Carrasquillo

David L. Lloyd

 

Barbara Daniele

Jonathan Mothner

 

Sherwood Dodge

Michael Pastore

 

Frank Ertl

Ronald Pressman

 

Barbara J. Gould

James C. Ungari

 

Paul J. Halas

Alex Urquhart

 

Daniel Henson

Maryanne Courtney

 

Joseph Lincoln

 

 

Each Attorney shall have the power and authority to do the following:

 

To execute and deliver any Schedule 13D, Schedule 13G or Forms 3, 4 and 5 or any amendments thereto required to be filed with the Securities and Exchange Commission under the Securities Exchange Act of 1934 on behalf of the Corporation with regard to any securities owned by the Corporation or any of their subsidiaries.

 

And, in connection with the foregoing, to execute and deliver all documents, acknowledgments, consents and other agreements and to take such further action as may be necessary or convenient for the Corporation in order to more effectively carry out the intent and purpose of the foregoing.

 

Agreements, commitments, documents, instruments and other writings executed by the Attorney in accordance with the terms hereof shall be binding upon the Corporation without attestation and without affixation of the seal of the Corporation. The Power of Attorney conferred hereby shall not be delegable by any Attorney. The Attorney shall serve without compensation for acting in the capacity of agent and attorney-in-fact hereunder.

 

Unless revoked by the Corporation, this Power of Attorney shall be governed under the laws of the State of New York and the authority of the Attorney hereunder shall terminate on December 31, 2009.

 

 

 

IN WITNESS WHEREOF, the Corporation has caused the Power of Attorney to be executed, attested and its corporate seal to be affixed pursuant to authority granted by the Corporation’s board of directors, as the 28th day of January 2009.

 

 

General Electric Capital Corporation

 

(Corporate Seal)

 

By:

/s/ Craig T. Beazer

 

Craig T. Beazer

 

Vice President, General Counsel and

 

Secretary

 

Attest:

 

/s/ David P. Russell

Assistant Secretary

 

 

 

 

2

 

 

 EX-24 3 mm09-2309a123_form4e242.htm

Exhibit 24.2

 

POWER OF ATTORNEY

 

The undersigned, General Electric Capital Services, Inc., a Delaware corporation (hereinafter referred to as the “Corporation”) does hereby make, constitute and appoint the persons listed below as the Corporation's true and lawful agent and attorney-in-fact (hereinafter referred to as the “Attorney”) to act either together or alone in the name and on behalf of the Corporation for and with respect to the matters hereinafter described.

 

Name of Attorney:

 

 

Preston H. Abbott

Mark Kaplow

 

Brock Austin

Barbara A. Lane

 

Eileen Brumback

Henry Hubschman

 

Carlos Carrasquillo

David L. Lloyd

 

Barbara Daniele

Jonathan Mothner

 

Sherwood Dodge

Michael Pastore

 

Frank Ertl

Ronald Pressman

 

Barbara J. Gould

James C. Ungari

 

Paul J. Halas

Alex Urquhart

 

Daniel Henson

Maryanne Courtney

 

Joseph Lincoln

 

 

Each Attorney shall have the power and authority to do the following:

 

To execute and deliver any Schedule 13D, Schedule 13G or Forms 3, 4 and 5 or any amendments thereto required to be filed with the Securities and Exchange Commission under the Securities Exchange Act of 1934 on behalf of the Corporation with regard to any securities owned by the Corporation or any of their subsidiaries.

 

And, in connection with the foregoing, to execute and deliver all documents, acknowledgments, consents and other agreements and to take such further action as may be necessary or convenient for the Corporation in order to more effectively carry out the intent and purpose of the foregoing.

 

Agreements, commitments, documents, instruments and other writings executed by the Attorney in accordance with the terms hereof shall be binding upon the Corporation without attestation and without affixation of the seal of the Corporation. The Power of Attorney conferred hereby shall not be delegable by any Attorney. The Attorney shall serve without compensation for acting in the capacity of agent and attorney-in-fact hereunder.

 

Unless revoked by the Corporation, this Power of Attorney shall be governed under the laws of the State of New York and the authority of the Attorney hereunder shall terminate on December 31, 2009.

 

 

 

IN WITNESS WHEREOF, the Corporation has caused the Power of Attorney to be executed, attested and its corporate seal to be affixed pursuant to authority granted by the Corporation’s board of directors, as the 28th day of January 2009.

 

 

General Electric Capital Services, Inc.

 

(Corporate Seal)

 

By:

/s/ Craig T. Beazer

 

Craig T. Beazer

 

Vice President, General Counsel and

 

Secretary

 

Attest:

 

/s/ David P. Russell

Assistant Secretary

 

 

 

 

2

 

 

 EX-24 4 mm09-2309a123_form4e243.htm

Exhibit 24.3

 

POWER OF ATTORNEY

 

The undersigned, General Electric Company, a New York corporation (hereinafter referred to as the “Corporation”) does hereby make, constitute and appoint the persons listed below as the Corporation’s true and lawful agent and attorney-in-fact (hereinafter referred to as the “Attorney”) to act either together or alone in the name and on behalf of the Corporation for and with respect to the matters hereinafter described.

 

Name of Attorney:

 

 

Preston H. Abbott

Mark Kaplow

 

Brock Austin

Barbara A. Lane

 

Eileen Brumback

Henry Hubschman

 

Carlos Carrasquillo

David L. Lloyd

 

Barbara Daniele

Jonathan Mothner

 

Laura E.B. Dawson

Keith W. Newman

 

Sherwood Dodge

Michael Pastore

 

Frank Ertl

Ronald Pressman

 

Barbara J. Gould

James C. Ungari

 

Paul J. Halas

Alex Urquhart

 

Daniel Henson

Maryanne Courtney

 

Joseph Lincoln

 

 

Each Attorney shall have the power and authority to do the following:

 

To execute and deliver any Schedule 13D, Schedule 13G or Forms 3, 4 and 5 or any amendments thereto required to be filed with the Securities and Exchange Commission under the Securities Exchange Act of 1934 on behalf of the Corporation with regard to any securities owned by the Corporation or any of its subsidiaries.

 

And, in connection with the foregoing, to execute and deliver all documents, acknowledgments, consents and other agreements and to take such further action as may be necessary or convenient for the Corporation in order to more effectively carry out the intent and purpose of the foregoing.

 

Agreements, commitments, documents, instruments and other writings executed by the Attorney in accordance with the terms hereof shall be binding upon the Corporation without attestation and without affixation of the seal of the Corporation. The Power of Attorney conferred hereby shall not be delegable by any Attorney. The Attorney shall serve without compensation for acting in the capacity of agent and attorney-in-fact hereunder.

 

Unless revoked by the Corporation, this Power of Attorney shall be governed under the laws of the State of New York and the authority of the Attorney hereunder shall terminate on December 31, 2009.

 

 

 

 

IN WITNESS WHEREOF, the Corporation has caused the Power of Attorney to be executed, attested and its corporate seal to be affixed pursuant to authority granted by the Corporation’s board of directors, as the 5th day of February 2009.

 

 

General Electric Company

 

(Corporate Seal)

 

By:

/s/ Michael McAlevey

 

Michael McAlevey

 

Vice President

 

Attest:

 

/s/ Eliza W. Fraser

Eliza W. Fraser

Attesting Secretary

 

 

 

 

2

 

 

 EX-99 5 mm09-2309a123_form4e991.htm

Exhibit 99.1

 

Joint Filer Information

 

Name of Joint Filer:

General Electric Capital Services, Inc.

 

Address of Joint Filer:

3135 Easton Turnpike

Fairfield, Connecticut 06828

 

Relationship of Joint Filer to Issuer:

Other (1)

 

Issuer Name and Ticker or Trading Symbol:

A123 Systems, Inc. (AONE)

 

Date of Event Requiring Statement

(Month/Day/Year):

9/23/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

GENERAL ELECTRIC CAPITAL SERVICES, INC.

 

 

By:

/s/ Barbara A. Lane

 

Name:

Barbara A. Lane

 

Title:

Attorney-in-Fact

 

 

 

 

 

 

September 23, 2009

Date

 

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., GPSF Securities, Inc., and Heller Financial Leasing, Inc. is a direct or indirect subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Capital Services, Inc. disclaims beneficial ownership of all equity securities of the Issuer, and the filing of this Form shall not be deemed an admission that General Electric Capital Services, Inc. is the beneficial owner of any equity securities of the Issuer for the purpose of Section 16 or any other purpose.

 

 

 

Page 1 of 6

 

 

Joint Filer Information

 

Name of Joint Filer:

General Electric Company

 

Address of Joint Filer:

3135 Easton Turnpike

Fairfield, Connecticut 06828

 

Relationship of Joint Filer to Issuer:

Other (1)

 

Issuer Name and Ticker or Trading Symbol:

A123 Systems, Inc. (AONE)

 

Date of Event Requiring Statement

(Month/Day/Year):

9/23/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

GENERAL ELECTRIC COMPANY

 

 

By:

/s/ Barbara A. Lane

 

Name:

Barbara A. Lane

 

Title:

Attorney-in-Fact

 

 

 

 

 

 

September 23, 2009

Date

 

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., GPSF Securities, Inc., and Heller Financial Leasing, Inc. is a direct or indirect subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company disclaims beneficial ownership of all equity securities of the Issuer, and the filing of this Form shall not be deemed an admission that General Electric Company is the beneficial owner of any equity securities of the Issuer for the purpose of Section 16 or any other purpose.

 

 

 

Page 2 of 6

 

 

Joint Filer Information

 

Name of Joint Filer:

GE Capital Equity Investments, Inc.

 

Address of Joint Filer:

201 Merritt 7

Norwalk, Connecticut 06851

 

Relationship of Joint Filer to Issuer:

Other (1)

 

Issuer Name and Ticker or Trading Symbol:

A123 Systems, Inc. (AONE)

 

Date of Event Requiring Statement

(Month/Day/Year):

9/23/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

 

By:

/s/ Michael S. Fisher

 

Name:

Michael S. Fisher

 

Title:

Sr. Managing Director

 

 

 

 

 

 

September 23, 2009

Date

 

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., GPSF Securities, Inc., and Heller Financial Leasing, Inc. is a direct or indirect subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GE Capital Equity Investments, Inc. disclaims beneficial ownership of all securities reported on this Form except to the extent of its pecuniary interest.

 

 

Page 3 of 6

 

 

Joint Filer Information

 

Name of Joint Filer:

GE Capital CFE, Inc.

 

Address of Joint Filer:

201 Merritt 7

Norwalk, Connecticut 06851

 

Relationship of Joint Filer to Issuer:

Other (1)

 

Issuer Name and Ticker or Trading Symbol:

A123 Systems, Inc. (AONE)

 

Date of Event Requiring Statement

(Month/Day/Year):

9/23/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

GE CAPITAL CFE, INC.

 

 

By:

/s/ Michael S. Fisher

 

Name:

Michael S. Fisher

 

Title:

Senior Vice President

 

 

 

 

 

 

September 23, 2009

Date

 

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., GPSF Securities, Inc., and Heller Financial Leasing, Inc. is a direct or indirect subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GE Capital CFE, Inc. disclaims beneficial ownership of all securities reported on this Form except to the extent of its pecuniary interest.

 

 

Page 4 of 6

 

 

Joint Filer Information

 

Name of Joint Filer:

GPSF Securities, Inc.

 

Address of Joint Filer:

201 Merritt 7

Norwalk, Connecticut 06851

 

Relationship of Joint Filer to Issuer:

Other (1)

 

Issuer Name and Ticker or Trading Symbol:

A123 Systems, Inc. (AONE)

 

Date of Event Requiring Statement

(Month/Day/Year):

9/23/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

GPSF SECURITIES, INC.

 

 

By:

/s/ Michael S. Fisher

 

Name:

Michael S. Fisher

 

Title:

Vice President

 

 

 

 

 

 

September 23, 2009

Date

 

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., GPSF Securities, Inc., and Heller Financial Leasing, Inc. is a direct or indirect subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GPSF Securities, Inc. disclaims beneficial ownership of all securities reported on this Form except to the extent of its pecuniary interest.

 

 

Page 5 of 6

 

 

Joint Filer Information

 

Name of Joint Filer:

Heller Financial Leasing, Inc.

 

Address of Joint Filer:

201 Merritt 7

Norwalk, Connecticut 06851

 

Relationship of Joint Filer to Issuer:

Other (1)

 

Issuer Name and Ticker or Trading Symbol:

A123 Systems, Inc. (AONE)

 

Date of Event Requiring Statement

(Month/Day/Year):

9/23/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

HELLER FINANCIAL LEASING, INC.

 

 

By:

/s/ Michael S. Fisher

 

Name:

Michael S. Fisher

 

Title:

Authorized Signatory

 

 

 

 

 

 

September 23, 2009

Date

 

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., GPSF Securities, Inc., and Heller Financial Leasing, Inc. is a direct or indirect subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. Heller Financial Leasing disclaims beneficial ownership of all securities reported on this Form except to the extent of its pecuniary interest.

 

 

 

Page 6 of 6

 

 

 

WGM_TRAILER 2 WGM_TRAILER -----END PRIVACY-ENHANCED MESSAGE-----