-----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, BO3dRia4iwClIliFBlhqAXu958xdDLA+WwKUDpkVQzhrmTmKT9VVR/hwba+IAEGW XYjUZ4slZr6VAygZZg81Fg== 0000950152-01-501910.txt : 20010516 0000950152-01-501910.hdr.sgml : 20010516 ACCESSION NUMBER: 0000950152-01-501910 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20010510 FILED AS OF DATE: 20010515 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: U S ENERGY SYSTEMS INC CENTRAL INDEX KEY: 0000351917 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC, GAS & SANITARY SERVICES [4900] IRS NUMBER: 521216347 STATE OF INCORPORATION: DE FISCAL YEAR END: 0131 FILING VALUES: FORM TYPE: 3 SEC ACT: SEC FILE NUMBER: 000-10238 FILM NUMBER: 1634335 BUSINESS ADDRESS: STREET 1: 515 N FLAGLER DR STREET 2: STE 702 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 BUSINESS PHONE: 5618209779 MAIL ADDRESS: STREET 1: 515 NORTH FLAGLER DRIVE STREET 2: SUITE 702 CITY: WEST PALM BEACH STATE: FL ZIP: 33401 FORMER COMPANY: FORMER CONFORMED NAME: U S ENVIROSYSTEMS INC /DE/ DATE OF NAME CHANGE: 19960607 COMPANY DATA: COMPANY CONFORMED NAME: CINERGY CORP CENTRAL INDEX KEY: 0000899652 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] OWNER IRS NUMBER: 311385023 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 BUSINESS ADDRESS: STREET 1: 139 E FOURTH ST CITY: CINCINNATI STATE: OH ZIP: 45202 BUSINESS PHONE: 5132872644 MAIL ADDRESS: STREET 1: 139 E FOURTH STREET STREET 2: P.O BOX 960 CITY: CINCINATI STATE: OH ZIP: 45202 3 1 l85621ae3.txt CINERGY CORP./U.S.ENERGY SYTEMS, INC. FORM 3 1
FORM 3 U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ---------------------------------------- ----------------------- ----------------------------------------------------------------- 1. Name and Address of Reporting 2. Date of Event 4. Issuer Name and Ticker or Trading Symbol Person* Requiring Statement (Month/Day/Year) May 10, 2001 U.S. Energy Systems, Inc. (Ticker Symbol "USEY") - ---------------------------------------- ----------------------- ----------------------------------------- ----------------------- (Last) (First) (Middle) 3.I.R.S. Identification 5. Relationship of Reporting Person to 6.If Amendment, Date of Number of Reporting Issuer (Check all applicable) Original Person, if an Entity ___ Director _X_ 10% Owner (Month/Day/Year) (Voluntary) ___ Officer (give) ___ Other (specify 1) Cinergy Corp. 1) 31-1385023 title below) below) 2) Cinergy Solutions, Inc. 2) 31-1735353 _________________________ 3) Cinergy Energy Solutions, Inc. 3) 31-1758230 (Same address for all) - ---------------------------------------- (Street) 139 E. Fourth Street - ---------------------------------------- ---------------------------------------------------------------------------- (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED Cincinnati, OH 45202 - ---------------------------------------------------------------- -------------------------- ------------------------- 1. Title of Security 2. Amount of Securities 3. Ownership (Instr. 4) Beneficially Owned Form: Direct (D) (Instr. 4) or Indirect (I) (Instr. 5) - ---------------------------------------------------------------- -------------------------- ------------------------- Common Stock 583,333 D - ---------------------------------------------------------------- -------------------------- ------------------------- The same shares as above I - ---------------------------------------------------------------- -------------------------- ------------------------- - ---------------------------------------------------------------- -------------------------- ------------------------- - ---------------------------------------------------------------- -------------------------- ------------------------- - ---------------------------------------------------------------- -------------------------- ------------------------- - ---------------------------------------------------------------- -------------------------- -------------------------
U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(f) of the Investment Company Act of 1940 - ---------------------------------------- ------------------------------- 1. Name and Address of Reporting Person* - ---------------------------------------- ------------------------------ (Last) (First) (Middle) 7. Individual or Joint/Group Filing (Check applicable line) 1) Cinergy Corp. ___ Form filed by One 2) Cinergy Solutions, Inc. _X_ Reporting Person 3) Cinergy Energy Solutions, Inc. Form Filed by More than One Reporting Person (Same address for all) - ---------------------------------------- (Street) 139 E. Fourth Street - ---------------------------------------- -------------------------------------------------------- (City) (State) (Zip) TABLE I - NON-DERIVATIVE SECURITIES BENEFICIALLY OWNED Cincinnati, OH 45202 - ---------------------------------------------- -------------------------------------------------- 1. Title of Security 4. Nature of Indirect Beneficial Ownership (Instr. 4) (Instr. 5) - ---------------------------------------------- -------------------------------------------------- Common Stock Cinergy Solutions, Inc. - ---------------------------------------------- -------------------------------------------------- Cinergy Corp. - ---------------------------------------------- -------------------------------------------------- - ---------------------------------------------- -------------------------------------------------- - ---------------------------------------------- -------------------------------------------------- - ---------------------------------------------- -------------------------------------------------- - ---------------------------------------------- --------------------------------------------------
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) * If the Form is filed by more than one Reporting Person, see Instruction 5(b)(v). 2
FORM 3 (CONTINUED) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------ --------------------------- --------------------------------------- ---------------- 1. Title of Derivative Security 2. Date Exercisable and 3. Title and Amount of Securities 4. Conversion (Instr. 4) Expiration Date Underlying Derivative Security or Exercise (Month, Day, Year) (Instr. 4) Price of Derivative Security -------------- ------------ -------------------------- ------------ ---------------- Date Expiration Title Amount or Exercisable Date Number of Shares - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- 4,574 Shares of Class B Common May 10, 2001 May 8, 2003 Common Stock of U.S. 1,967,000 $11,500,000 Stock of Zahren Alternative Energy Systems, Inc. Power Corporation - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- - ------------------------------------ -------------- ------------ -------------------------- ------------ ---------------- Explanation of Responses:
FORM 3 (CONTINUED) TABLE II - DERIVATIVE SECURITIES BENEFICIALLY OWNED (E.G., PUTS, CALLS, WARRANTS, OPTIONS, CONVERTIBLE SECURITIES) - ------------------------------------ ----------------- ----------------------- 1. Title of Derivative Security 5. Ownership 6. Nature of Indirect (Instr. 4) Form of Beneficial Derivative Ownership Security: (Instr. 5) Direct (D) or Indirect (I) (Instr. 5) ----------------- ----------------------- - ------------------------------------ ----------------- ----------------------- 4,574 Shares of Class B Common D Cinergy Energy Stock of Zahren Alternative Solutions, Inc. Power Corporation I Cinergy Solutions, Inc. I Cinergy Corp - ------------------------------------ ----------------- ----------------------- - ------------------------------------ ----------------- ----------------------- - ------------------------------------ ----------------- ----------------------- - ------------------------------------ ----------------- ----------------------- - ------------------------------------ ----------------- ----------------------- - ------------------------------------ ----------------- ----------------------- - ------------------------------------ ----------------- ----------------------- - ------------------------------------ ----------------- ----------------------- - ------------------------------------ ----------------- ----------------------- Explanation of Responses: /s/ M. Stephen Harkness May 14, 2001 ---------------------------------------------------- ----------------- **Signature of Reporting Person Date **Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). Note: File three copies of this Form, one of which must be manually signed. If space provided is insufficient, See Instruction 6 for procedure.
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