-----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, A5OUrmwqv+PZQLpdnz3//m+R7+KwqjrwFMgGBwT6wUqy6R5FGYnFIcVobN74o57d f8JP/SqC5Lh9jvaFWLWVvw== 0000909518-09-000635.txt : 20091001 0000909518-09-000635.hdr.sgml : 20091001 20091001163120 ACCESSION NUMBER: 0000909518-09-000635 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20090929 FILED AS OF DATE: 20091001 DATE AS OF CHANGE: 20091001 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091099050 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 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091099046 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: 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091099051 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: 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091099049 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 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091099048 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: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091099047 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 4 1 gecc_a123form4ex.xml X0303 4 2009-09-29 1 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 2009-09-29 4 C 0 800945 A 800945 D Common Stock 2009-09-29 4 C 0 2382925 A 2382925 D Common Stock 2009-09-29 4 C 0 2497918 A 4880843 D Common Stock 2009-09-29 4 C 0 1631191 A 6512034 D Common Stock 900277 D Series C Convertible Preferred Stock 2009-09-29 4 C 0 800945 D Common Stock 800945 0 D Series D Convertible Preferred Stock 2009-09-29 4 C 0 2382925 D Common Stock 2382925 0 D Series E Convertible Preferred Stock 2009-09-29 4 C 0 1808068 D Common Stock 2497918 0 D Series F Convertible Preferred Stock 2009-09-29 4 C 0 1631191 D Common Stock 1631191 0 D Directly owned by GE Capital CFE, Inc. ("GECFE"). Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). Directly owned by GPSF Securities, Inc. ("GPSF"). 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. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Exhibit 99.1: Joint Filer Information, incorporated herein by reference. /s/ Barbara A. Lane, Attorney-in-Fact for GECC 2009-10-01 EX-99 2 mm10-0109a123_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 Earliest Transaction Required

to be reported (Month/Day/Year):

9/29/2009

 

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

 

 

 

 

 

 

October 1, 2009  

Date

 

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., and GPSF Securities, 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 5

 
 

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 Earliest Transaction Required

to be reported (Month/Day/Year):

9/29/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

GENERAL ELECTRIC COMPANY

 

By:

/s/ Barbara A. Lane

 

Name:

Barbara A. Lane

 

Title:

Attorney-in-Fact

 

 

 

 

 

 

October 1, 2009  

Date

 

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., and GPSF Securities, 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 5

 

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 Earliest Transaction Required

to be reported (Month/Day/Year):

9/29/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

GE CAPITAL EQUITY INVESTMENTS, INC.

 

 

By:

/s/ Michael S. Fisher

 

Name:

Michael S. Fisher

 

Title:

Sr. Managing Director

 

 

 

 

 

 

October 1, 2009  

Date

 



(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., and GPSF Securities, 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 5

 

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 Earliest Transaction Required

to be reported (Month/Day/Year):

9/29/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

GE CAPITAL CFE, INC.

 

 

By:

/s/ Michael S. Fisher

 

Name:

Michael S. Fisher

 

Title:

Senior Vice President

 

 

 

 

 

 

October 1, 2009  

Date

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., and GPSF Securities, 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 5

 

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 Earliest Transaction Required

to be reported (Month/Day/Year):

9/29/2009

 

Designated Filer:

General Electric Capital Corporation

 

Signature:

 

GPSF SECURITIES, INC.

 

 

By:

/s/ Michael S. Fisher

 

Name:

Michael S. Fisher

 

Title:

Vice President

 

 

 

 

 

 

October 1, 2009  

Date

 

 

(1) Each of GE Capital Equity Investments, Inc., GE Capital CFE, Inc., and GPSF Securities, 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 5

 

 

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