-----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, LmRmG6RBGwjVV+whnDsYu/p0Y2rQ9kyQNDha+ikpJ7T5uKw5yh5hv9PwH7flCXHT jY2t+dbtm50Av/2czpXUyw== 0000933259-96-000050.txt : 19961011 0000933259-96-000050.hdr.sgml : 19961011 ACCESSION NUMBER: 0000933259-96-000050 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19961010 SROS: NYSE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: TRIGEN ENERGY CORP CENTRAL INDEX KEY: 0000925655 STANDARD INDUSTRIAL CLASSIFICATION: STEAM & AIR CONDITIONING SUPPLY [4961] IRS NUMBER: 133378939 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-13264 FILM NUMBER: 96641809 BUSINESS ADDRESS: STREET 1: ONE WATER ST CITY: WHITE PLAINS STATE: NY ZIP: 10601 BUSINESS PHONE: 9142866600 MAIL ADDRESS: STREET 1: ONE WATER ST CITY: WHITE PLAINS STATE: NY ZIP: 10601 COMPANY DATA: COMPANY CONFORMED NAME: SOCIETE LYONNAISE DES EAUX CENTRAL INDEX KEY: 0001024620 STANDARD INDUSTRIAL CLASSIFICATION: [] OWNER FILING VALUES: FORM TYPE: 4 BUSINESS ADDRESS: STREET 1: 72 AVE DE LA LIBERTE CITY: NANTERRE FRANCE ZIP: 92000 MAIL ADDRESS: STREET 1: 185 RUE DE BERCY CITY: PARI FRANCE ZIP: 77561 4 1 FORM 4 OF SOCIETE LYONNAISE DES EAUX =================================== ---------------------------- FORM 4 OMB APPROVAL =================================== ---------------------------- |_| Check this box if no longer OMB Number 3235-0287 subject to Section 16. Form 4 Expires: April 30, 1997 or Form 5 obligations may Estimated average burden continue. See Instruction 1(b). hours per response...0.5 =================================== ---------------------------- U.S. SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP 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 2. Issuer Name and Ticker or Trading Symbol 6. Relationship of Reporting Person to Issuer (Check all applicable) Societe Lyonnaise des Eaux Trigen Energy Corporation (TGN) _____ Director ___X___10% Owner - ------------------------------------------ ------------------ ------------------------ (Last) (First) (Middle) 3. IRS or Social 4. Statement for _____ Officer (give title below) Security Number Month/Year 72, Avenue de la Liberte of Reporting Oct. 1996 _____ Other (specify below) - ------------------------------------------ Person ------------------------ (Street) (Voluntary) 5. If Amendment, Date of Original _________________________________ Nanterre, France 92022 (Month/Year) - ------------------------------------------ (City) (State) (Zip) n/a ------------------ ------------------------ ------------------------------------------
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned --------------------------------------------------------------------------------------------------------- - -------------------------- ---------- ------------ ----------------------------------- --------------- ------------- --------------- 1. Title of Security 2. Trans- 3. Trans- 4. Securities Acquired (A) 5. Amount of 6.Owner- 7. Nature of (Instr. 3) action action or Disposed of (D) Securities ship Indirect Date Code (Instr. 3, 4 and 5) Beneficially Form: Beneficial (Instr. 8) owned at Direct Ownership (Month/ End of Month (D) or (Instr. 4) Day/ (Instr. 3 Indirect Year) and 4) (I) ------------ ---------------------------------- (Instr.4) ------ ----- ------------- ------ ------------- Code V Amount (A)or Price (D) (See Note 1) - -------------------------- ---------- ------ ----- ------------- ------ -------------- ---------------- ------------- -------------- - -------------------------- ---------- ------ ----- ------------- ------ -------------- ---------------- ------------- -------------- Common Stock 9/30/96 P 240,000 A $21.75 I See Note 2 - -------------------------- ---------- ------ ----- ------------- ------ -------------- ---------------- ------------- -------------- Common Stock 9/30/96 P 14,000 A $22.50 7,829,376* I See Note 2 - -------------------------- ---------- ------ ----- ------------- ------ -------------- ---------------- ------------- --------------
* Total amount for both 9/30/96 transactions plus prior holdings. Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. (Print or Type Responses) SEC 1474 (8-92) Page 1 of 3
FORM 4 (continued) Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) - ----------------- ---------- ------- ------- ----------------- ------------ ------------------ -------- ---------- ------- --------- 1.Title of Deri- 2.Conver- 3.Trans-4.Trans-5.Number of Deri- 6.Date Exer- 7.Title and Amount 8.Price 9.Number 10.Own- 11.Nature vative Security sion or action action vative Securities cisable and of Underlying Sec- of Deri- of Deri- ership of Bene- (Instr. 3) Exercise Date Code Acquired (A) or Expiration urities vative vative Form of ficial Price of (Month/ (Instr. Disposed of (D) Date (Instr. 3 and 4) Security Securities Deriva- Indirect Deriva- Day/ 8) (Instr.3,4 and 5) (Month/Day (Instr. Benefi- tive Ownership tive Year) Year) 5) cially Securi (Instr. Security Owned at ty: Di- 4) End of rect (D) Month or In- (Instr. 4) direct (I) (Instr. 4) ------- ----------------- ------------- ----------------- ---- -- -------- -------- ------ ------ ------- --------- Code V (A) (D) Date Expir- Title Amount or Exer- ation Number of cis- Date Shares able - ----------------- ---------- ------- -------- ------- -------- ------ ------ ------- --------- -------- ---------- ------- --------- - ----------------- ---------- ------- -------- ------- -------- ------ ------ ------- --------- -------- ---------- ------- --------- n/a
Explanation of Responses: Note 1: This filing is being made by Societe Lyonnaise des Eaux ("Lyonnaise") on behalf of itself and its subsidiaries Elyo S.A., formerly Ufiner-Cofreth, S.A. ("Elyo"), Cofreth American Corporation ("CAC") and Compagnie Parisienne de Chauffage Urbain ("CPCU"). Lyonnaise owns 78.3% of the outstanding voting stock of Elyo. Elyo directly owns 72.3% of the outstanding voting stock of CAC, and may be deemed to own beneficially 89% of the outstanding voting stock of CAC due to its ownership of stock in certain other entities which are themselves owners of outstanding voting stock of CAC. CPCU is a subsidiary of Elyo, which owns 64.5% of the outstanding voting stock of CPCU. Note 2: Lyonnaise indirectly owns the Common Stock through its subsidiary, Elyo which directly owns CAC and CPCU. The aggregate of 7,829,376 shares of Common Stock beneficially owned indirectly by Lyonnaise, includes 1,511,432 shares beneficially owned indirectly by CAC and CPCU pursuant to the the terms of the Stockholders' Agreement. According to the terms of the Stockholders' Agreement, the Management Stockholders have agreed to vote all their shares of Common Stock for election of directors in accordance with the instructions of the majority of the Elyo Stockholder Group. At all annual or special meetings of stockholders the Management Stockholders have also agreed to exercise their voting rights in accordance with the instructions of the majority of the Elyo Stockholder Group in connection with any (i) merger or consolidation of Trigen or any subsidiary of Trigen, (ii) sale, lease or other disposition of substantial assets of Trigen or any significant subsidiary, (iii) purchase, lease, exchange or other acquisition of substantial assets, (iv) increase or reduction of Trigen's authorized capital stock, or creation of additional classes of stock, (v) modification of the Certificate of Incorporation or By-laws of Trigen or (vi) dissolution or liquidation by Trigen. The obligations of the Management Stockholders to exercise their voting rights pursuant to the Stockholders' Agreement will terminate upon the earlier of (a) the termination date of the Stockholders' Agreement and (b) the third anniversary of the consummation of the public offering of the Common Stock. SOCIETE LYONNAISE DES EAUX By:/s/ Ray A. Mantle, Attorney-in-Fact* Oct. 10, 1996 **(Signature of Reporting Person) Date * See attached Power of Attorney. **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. Page 2 of 3 POWER OF ATTORNEY SOCIETE LYONNAISE DES EAUX hereby authorizes any of RAYMOND F. STECKEL, RAY A. MANTLE or GARRY P. McCORMACK, acting alone, to sign and file with the Securities and Exchange Commission on its behalf Form 3, Form 4, Form 5, Schedule 13-D and Schedule 13-G and any amendments thereto, relating to its actual and deemed beneficial ownership of shares of TRIGEN ENERGY CORPORATION. This Power of Attorney is valid for twelve (12) months from the date set forth below. SOCIETE LYONNAISE DES EAUX By: /s/ Michel Cassou Name: Michel Cassou Title: Deputy General Manager Date: October 10, 1996 Page 3 of 3 -----END PRIVACY-ENHANCED MESSAGE-----