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.