-----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, RLx4tfn7DB82i5m1/7jKW33VjUeSpfJQeN4sFJwHxHUwrS8EuL44n3FORSvH7+Jg /e5gnkQQQLLMJIy6Tb6qnw== 0001169232-03-007060.txt : 20031215 0001169232-03-007060.hdr.sgml : 20031215 20031215171932 ACCESSION NUMBER: 0001169232-03-007060 CONFORMED SUBMISSION TYPE: 5 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20031130 FILED AS OF DATE: 20031215 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ECOGEN INC CENTRAL INDEX KEY: 0000814050 STANDARD INDUSTRIAL CLASSIFICATION: AGRICULTURE CHEMICALS [2870] IRS NUMBER: 222487948 STATE OF INCORPORATION: DE FISCAL YEAR END: 1031 BUSINESS ADDRESS: STREET 1: 2000 CABOT BLVD W #170 CITY: LANGHORNE STATE: PA ZIP: 19047-1811 BUSINESS PHONE: 2157571590 MAIL ADDRESS: STREET 1: 2005 CABOT BLVD W CITY: LANGHORNE STATE: PA ZIP: 19047 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: MARX MOSES CENTRAL INDEX KEY: 0000941992 FILING VALUES: FORM TYPE: 5 SEC ACT: 1934 Act SEC FILE NUMBER: 001-09579 FILM NUMBER: 031055356 BUSINESS ADDRESS: STREET 1: 160 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10038 BUSINESS PHONE: 2123492875 MAIL ADDRESS: STREET 1: 160 BROADWAY CITY: NEW YORK STATE: NY ZIP: 10038 5 1 d03-57721_ex.xml X0201 5 2003-11-30 0 0 0 0000814050 ECOGEN INC ECGN 0000941992 MARX MOSES 160 BROADWAY NEW YORK NY 10038 0 0 1 0 Common Stock 2002-12-30 5 J 0 22500000 0 D 0 I By United Equities (Commodities) Company Common Stock 2002-12-30 5 J 0 22500000 0 A 22500000 I By ECN Holdings LLC 8% Series 1998-C Convertible Preferred Stock 2002-12-30 5 J 0 10854 0 D 1999-08-29 Common Stock 0 I By United Equities (Commodities) Company 8% Series 1998-C Convertible Preferred Stock 2002-12-30 5 J 0 10854 0 A 1999-08-29 Common Stock 10854 I By ECN Holdings LLC 7% Series 2000-A Convertible Preferred Stock 2002-12-30 5 J 0 4345 0 D 2002-10-01 Common Stock 0 I By United Equities (Commodities) Company 7% Series 2000-A Convertible Preferred Stock 2002-12-30 5 J 0 4345 0 A 2002-10-01 Common Stock 4345 I By ECN Holdings LLC Represents change in the nature of beneficial ownership of securities owned by the Reporting Person from indirect ownership through United Equities (Commodities) Company to indirect ownership through ECN Holdings LLC The conversion price for each share of Preferred Stock in effect on any conversion date is the lesser of (a) $2.125, and (b) the average of the Per Share Market Values, as defined in the Certificate of Designation for the Preferred Stock, for the five (5) consecutive trading days immediately preceding the applicable conversion date. Varies depending on the conversion price as set forth in Note (2). The conversion price for each share of Series 2000-A Convertible Preferred Stock in effect on any conversion date is the lesser of (a) 120% of the average Per Share Market Values , as defined in the Certificate of Designations for the Series 2000-A Convertible Preferred Stock, for the ten trading days immediately preceding the original issue date and (b) 95% of the average of the three lowest Per Share Market Values during the twenty consecutive trading day period immediately preceding the applicable conversion date; provided that such twenty day trading period may be extended as provided in the Certificate of Designations for the Series 2000-A Convertible Preferred Stock Varies depending on the conversion price as set forth in Note (4). Exercisable so long as the Preferred Stock is outstanding. /s/ Moses Marx 2003-12-12 -----END PRIVACY-ENHANCED MESSAGE-----