-----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, NDbvhHYZ0znzLyx9+oKZ1l/zIZexAk/IZUaRpaQvo2vY7CW+q6tVm6gMViv99uSA rqs3ISGYQxfch03oqprulQ== 0000950109-96-003524.txt : 19960709 0000950109-96-003524.hdr.sgml : 19960709 ACCESSION NUMBER: 0000950109-96-003524 CONFORMED SUBMISSION TYPE: 10-C PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 19960524 FILED AS OF DATE: 19960531 SROS: NASD FILER: COMPANY DATA: COMPANY CONFORMED NAME: ENVIROGEN INC CENTRAL INDEX KEY: 0000863815 STANDARD INDUSTRIAL CLASSIFICATION: 4955 IRS NUMBER: 222899415 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 10-C SEC ACT: 1934 Act SEC FILE NUMBER: 000-20404 FILM NUMBER: 96575570 BUSINESS ADDRESS: STREET 1: 4100 QUAKERBRIDGE RD STREET 2: PRINCETON RESEARCH CENTER CITY: LAWRENCEVILLE STATE: NJ ZIP: 08648 BUSINESS PHONE: 6099369300 MAIL ADDRESS: STREET 1: PRINCETON RESEARCH CENTER STREET 2: 4100 QUAKERBRIDGE RD CITY: LAWRENCEVILLE STATE: NJ ZIP: 08648 10-C 1 FORM 10-C SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-C REPORT BY ISSUER OF SECURITIES QUOTED ON NASDAQ INTERDEALER QUOTATION SYSTEM FILED PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 AND RULE 13a-17 OR 15d-17 THEREUNDER Envirogen, Inc. (Exact name of issuer as specified in charter) 4100 Quakerbridge Road Lawrenceville, NJ 08648 (Address of principal executive offices) Issuer's telephone number, including area code 609-936-9300 ------------ I. CHANGE IN NUMBER OF SHARES OUTSTANDING Indicate any change (increase or decrease) of five percent or more in the number of shares outstanding: 1. Title of security Common Stock ------------ 2. Number of shares outstanding before the change 9,453,240 --------- 3. Number of shares outstanding after the change 12,423,240 ---------- 4. Effective date of change May 23 and 24, 1996 -------------------- 5. Method of change: Specify method (such as merger, acquisition, exchange, distribution, stock split, reverse split, acquisition of stock for treasury, etc.) (1) Conversion of Convertible Preferred Stock; (2) Private placement of ----------------------------------------------------------------------- Common Stock ------------ Give brief description of transaction: (1) On May 23, 1996, 97,000 shares of the Company's outstanding Series C ------------------------------------------------------------------------ Convertible Preferred Stock were voluntarily converted into 970,000 shares -------------------------------- ----------------------------------------- of the Company's Common Stock. ------------------------------ (2) On May 24, 1996, the Company issued and sold 2,000,000 shares of Common --------------------------------------------------------------------------- Stock pursuant to a private placement, resulting in net proceeds to the ----------------------------------------------------------------------- Company of approximately $4,650,000. The investors in the private ------------------------------------------------------------------ placement have certain demand and piggyback registration rights with -------------------------------------------------------------------- respect to their shares. Allen & Company Incorporated acted as placement ------------------------------------------------------------------------- agent, and in connection therewith the Company issued seven-year warrants ------------------------------------------------------------------------- to purchase 200,000 shares of the Company's Common Stock at $2.50 per --------------------------------------------------------------------- share. The Company paid Allen & Company a placement fee of $300,000 -------------------------------------------------------------------- and reimbursed it for legal fees and other expenses of $12,495. Allen & ------------------------------------------------------------------------ Company is a principal stockholder of the Company, and an officer of -------------------------------------------------------------------- Allen & Company is a director of the Company. --------------------------------------------- The foregoing issuances resulted in an increase of approximately 31.4% in ------------------------------------------------------------------------- the number of outstanding shares of the Company's Common Stock. --------------------------------------------------------------- II. CHANGE IN NAME OF ISSUER 1. Name prior to change N/A ----- 2. Name after change N/A -------- 3. Effective date of charter amendment changing name N/A ------ 4. Date of shareholder approval of change, if required N/A ------ ENVIROGEN, INC. Date: May 31, 1996 By:/s/ Harcharan S. Gill, Ph.D. ------------ ---------------------------- Harcharan S. Gill, Ph.D. President -----END PRIVACY-ENHANCED MESSAGE-----