-----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, NVhYdAz8XK3lSr/NYivWf89116s30pnkoUwOMH5vCxdIUBg5FR7VKnMUdZOTJS0n FLs1vun2XfdkSTjNuaNMew== 0001209191-04-017126.txt : 20040323 0001209191-04-017126.hdr.sgml : 20040323 20040323170419 ACCESSION NUMBER: 0001209191-04-017126 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20040319 FILED AS OF DATE: 20040323 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CINERGY VENTURES II LLC CENTRAL INDEX KEY: 0001253060 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16265 FILM NUMBER: 04685494 MAIL ADDRESS: STREET 1: 139 EAST FOURTH ST CITY: CINCINNATI STATE: OH ZIP: 45202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CINERGY TECHNOLOGIES INC CENTRAL INDEX KEY: 0001253088 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16265 FILM NUMBER: 04685495 BUSINESS ADDRESS: STREET 1: 139 EAST FOURTH STREET CITY: CINCINNATI STATE: OH ZIP: 45202 MAIL ADDRESS: STREET 1: 139 EAST FOURTH ST CITY: CINCINNATI STATE: OH ZIP: 45202 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: CINERGY CORP CENTRAL INDEX KEY: 0000899652 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC & OTHER SERVICES COMBINED [4931] STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-16265 FILM NUMBER: 04685496 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 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: ELECTRIC CITY CORP CENTRAL INDEX KEY: 0001065860 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRONIC & OTHER ELECTRICAL EQUIPMENT (NO COMPUTER EQUIP) [3600] IRS NUMBER: 364197337 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: 1280 LANDMEIER ROAD CITY: ELK GROVE STATE: IL ZIP: 60007 BUSINESS PHONE: 8474371666 MAIL ADDRESS: STREET 1: 1280 LANDMEIER ROAD CITY: ELK GROVE VILLAGE STATE: IL ZIP: 60007 4 1 bcl06542_bcl1cc.xml MAIN DOCUMENT DESCRIPTION X0201 4 2004-03-19 0 0001065860 ELECTRIC CITY CORP ELC 0000899652 CINERGY CORP 139 E FOURTH STREET P.O. BOX 960 CINCINNATI OH 45202 0 0 1 0 0001253088 CINERGY TECHNOLOGIES INC 139 E FOURTH STREET P.O. BOX 960 CINCINNATI OH 45202 0 0 1 0 0001253060 CINERGY VENTURES II LLC 139 E FOURTH STREET P.O. BOX 960 CINCINNATI OH 45202 0 0 1 0 Series A Preferred Stock (right to buy) 0 2004-03-19 2003-06-27 4 J 0 145993 13.00 D Common Stock 1459930 0 I By Corporation Series A Preferred Stock (right to buy) 0 2004-03-19 2003-06-27 4 J 0 260415 0 D Common Stock 2604150 0 I By Corporation Series D Preferred Stock (right to buy) 0 2004-03-19 2003-06-27 4 J 0 22670 13.00 D Common Stock 226700 0 I By Corporation Series D Preferred Stock (right to buy) 0 2004-03-19 2003-06-27 4 J 0 40438 0 D Common Stock 404380 0 I By Corporation Series E Preferred Stock (right to buy) 0 2004-03-19 2004-03-19 4 J 0 30085 0 A Common Stock 3008500 30085 I By Corporation Series D Preferred Stock Purchase Warrants (right to buy) 0 2004-03-19 2003-06-27 4 J 0 15000 0 D 2003-06-27 2004-06-27 Common Stock 150000 0 I By Corporation Series E Preferred Stock Purchase Warrants (right to buy) 0 2004-03-19 2004-03-19 4 J 0 1500 0 A 2004-03-19 2004-06-27 Common Stock 150000 1500 I By Corporation The derivative security converts into common stock on a ten-for-one basis. The derivative security converts into common stock on a 100-for-one basis. Repurchase by the company. Exchange with the company. Immediately exercisable. The derivative security does not expire. Exchanged for Series E Preferred Stock on a one-for-ten basis. Received in exchange for shares of Series A Preferred Stock and Series D Preferred Stock, on a one-for-ten basis. Warrants to purchase Series D Preferred Stock exchanged for warrants to purchase Series E Preferred Stock. These securities are owned directly by Cinergy Ventures II, LLC whose sole member is Cinergy Technologies, Inc. Cinergy Technologies, Inc. is a wholly-owned subsidiary of Cinergy Corp. /s/ Julia S. Janson, Corporate Secretary 2004-03-23 -----END PRIVACY-ENHANCED MESSAGE-----