organization · Reporting owner
GE CAPITAL EQUITY INVESTMENTS INC
Disclosed activity across 5 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| THERMOVIEW INDUSTRIES INCTHV · Entity 14170 | 10% owner | June 30, 2003 | July 01, 2003 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
THERMOVIEW INDUSTRIES INC
Report date June 30, 2003 · Filed July 01, 2003 · Amendment
Jointly reported with GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CO
Amendment: balances below belong to this corrected disclosure, not necessarily a complete replacement of earlier positions.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.01 · Expires 2007-07-08 | Direct | 1,788,147 |
Reported balance
After 1999-07-08 transaction · row 1
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 1 · 1999-07-08 · Grant · Acquired 561,343 · Balance 1,788,147 |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.28 · Expires 2011-03-22 | Direct | 1,788,147 |
Reported balance
After 2001-03-28 transaction · row 2
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 2 · 2001-03-28 · Grant · Acquired 546,804 · Balance 1,788,147 |
| Warrant (right to buy)SEC Table II · derivative / convertible security · Conversion / exercise price $0.28 · Expires 2013-06-30 | Direct | 1,788,147 |
Reported balance
After 2003-06-30 transaction · row 3
Amendment: may correct only part of an earlier disclosure.
1 source rowRow 3 · 2003-06-30 · Grant · Acquired 680,000 · Balance 1,788,147 |
Past disclosures · reporting ended (4)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
A123 SYSTEMS, INC.
Report date September 29, 2009 · Filed October 01, 2009
Jointly reported with GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GE CAPITAL CFE INC, GPSF Securities, Inc., GENERAL ELECTRIC CO
Section 16 reporting ended · disclosed 2009-10-01. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 800,945 |
Reported balance
After 2009-09-29 transaction · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · 2009-09-29 · Conversion · Acquired 800,945 · Balance 800,945 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F1: Directly owned by GE Capital CFE, Inc. ("GECFE"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Common StockSEC Table I · non-derivative | Direct | 2,382,925 |
Reported balance
After 2009-09-29 transaction · row 2
Holding and transaction disclosures are not merged.
1 source rowRow 2 · 2009-09-29 · Conversion · Acquired 2,382,925 · Balance 2,382,925 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Common StockSEC Table I · non-derivative | Direct | 4,880,843 |
Reported balance
After 2009-09-29 transaction · row 3
Holding and transaction disclosures are not merged.
1 source rowRow 3 · 2009-09-29 · Conversion · Acquired 2,497,918 · Balance 4,880,843 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Common StockSEC Table I · non-derivative | Direct | 6,512,034 |
Reported balance
After 2009-09-29 transaction · row 4
Holding and transaction disclosures are not merged.
1 source rowRow 4 · 2009-09-29 · Conversion · Acquired 1,631,191 · Balance 6,512,034 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Common StockSEC Table I · non-derivative | Direct | 900,277 |
Reported balance
Holding disclosure · report date 2009-09-29 · row 5
Holding and transaction disclosures are not merged.
1 source rowRow 5 · Balance 900,277 F3: Directly owned by GPSF Securities, Inc. ("GPSF"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Series C Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2009-09-29 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2009-09-29 · Conversion · Disposed 800,945 · Balance 0 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F1: Directly owned by GE Capital CFE, Inc. ("GECFE"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Series D Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2009-09-29 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2009-09-29 · Conversion · Disposed 2,382,925 · Balance 0 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Series E Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2009-09-29 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2009-09-29 · Conversion · Disposed 1,808,068 · Balance 0 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
| Series F Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2009-09-29 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2009-09-29 · Conversion · Disposed 1,631,191 · Balance 0 F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. |
Filing footnotes · ownership attribution and instrument terms
F1: Directly owned by GE Capital CFE, Inc. ("GECFE").
F2: Directly owned by GE Capital Equity Investments, Inc. ("GECEI").
F3: Directly owned by GPSF Securities, Inc. ("GPSF").
F4: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock.
F5: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners.
BEACON POWER CORP
Report date August 20, 2003 · Filed August 22, 2003
Jointly reported with GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CO
Section 16 reporting ended · disclosed 2003-08-22. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2003-08-20 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2003-08-20 · Sale · Disposed 3,000 · Balance 0 F1: The Reporting Person continues to hold a warrant to purchase 240,000 shares of common stock of the issuer, a warrant to purchase 1,333,333 shares of common stock of the issuer and stock options that are convertible into 10,000 shares of common stock of the issuer. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Person continues to hold a warrant to purchase 240,000 shares of common stock of the issuer, a warrant to purchase 1,333,333 shares of common stock of the issuer and stock options that are convertible into 10,000 shares of common stock of the issuer.
NEWPOWER HOLDINGS INC
Report date September 05, 2003 · Filed September 09, 2003
Jointly reported with GENERAL ELECTRIC CO, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CAPITAL CORP
Section 16 reporting ended · disclosed 2003-09-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2003-09-05 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2003-09-05 · Sale · Disposed 3,696,288 · Balance 0 |
| Class A WarrantSEC Table II · derivative / convertible security · Conversion / exercise price $0.05 · Expires 2005-12-31 | Direct | 0 |
Reported balance
After 2003-09-05 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2003-09-05 · Sale · Disposed 5,250,000 · Balance 0 |
iMedia Brands, Inc.
Report date April 29, 2016 · Filed May 03, 2016
Jointly reported with GENERAL ELECTRIC CO
Section 16 reporting ended · disclosed 2016-05-03. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2016-04-29 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2016-04-29 · Sale · Disposed 3,545,049 · Balance 0 F1: Closing of the sale of shares of Common Stock by GE Capital Equity Investments, Inc. ("GECEI") to ASF Radio, L.P. ("ASF"). ASF is an affiliate of Ardian, an independent private equity investment company. F2: Directly owned by GECEI. See Exhibit 99.1, incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: Closing of the sale of shares of Common Stock by GE Capital Equity Investments, Inc. ("GECEI") to ASF Radio, L.P. ("ASF"). ASF is an affiliate of Ardian, an independent private equity investment company.
F2: Directly owned by GECEI. See Exhibit 99.1, incorporated by reference herein.
Transaction history
JSON APIPurchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”
The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.
| Transaction date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| September 18, 2014 Filed Sep 22, 2014 21:11 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | SaleCommon Stock | 89,755 | $5.47 | $491,354.77 |
DisclosureSEC source: 0001140361-14-036228 · doc1.xml · nonDerivative · entry 1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,968,986 F1 · shares: The number of securities reported represents an aggregate number of shares sold by GE Capital Equity Investments, Inc. ("GECEI") in multiple market transactions over a range of sales prices. The price reported represents the weighted average price per share. The Reporting Persons undertake to provide the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by GECEI at each separate price within the range. F1 · price: The number of securities reported represents an aggregate number of shares sold by GE Capital Equity Investments, Inc. ("GECEI") in multiple market transactions over a range of sales prices. The price reported represents the weighted average price per share. The Reporting Persons undertake to provide the staff of the SEC, the Issuer, or a stockholder of the Issuer, upon request, the number of shares sold by GECEI at each separate price within the range. F2 · price: Sale prices range from $5.44 to $5.55 per share, inclusive. F3 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| June 24, 2014 Filed Jun 26, 2014 21:13 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherWarrant (right to buy) · Derivative | 6,000,000 | $0.00 Strike: $0.75 | $0.00 |
DisclosureSEC source: 0001140361-14-026806 · doc1.xml · derivative · entry 3 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 6,000,000 shares Expires 2019-02-25 F1 · kind: GE Capital Equity Investments, Inc. ("GECEI") paid the exercise price on a cashless basis, resulting in the Issuer withholding 941,259 of the warrant shares to pay the exercise price and issuing to GECEI the remaining 5,058,741 shares. The Issuer also paid $2.40 to GECEI in lieu of a fractional share. F1 · price: GE Capital Equity Investments, Inc. ("GECEI") paid the exercise price on a cashless basis, resulting in the Issuer withholding 941,259 of the warrant shares to pay the exercise price and issuing to GECEI the remaining 5,058,741 shares. The Issuer also paid $2.40 to GECEI in lieu of a fractional share. F2 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| June 24, 2014 Filed Jun 26, 2014 21:13 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | SaleCommon Stock | 941,259 | $4.78 | $4,499,971.03 |
DisclosureSEC source: 0001140361-14-026806 · doc1.xml · nonDerivative · entry 2 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,058,741 F1 · kind: GE Capital Equity Investments, Inc. ("GECEI") paid the exercise price on a cashless basis, resulting in the Issuer withholding 941,259 of the warrant shares to pay the exercise price and issuing to GECEI the remaining 5,058,741 shares. The Issuer also paid $2.40 to GECEI in lieu of a fractional share. F2 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| June 24, 2014 Filed Jun 26, 2014 21:13 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherCommon Stock | 6,000,000 | $0.75 | $4,500,000.00 |
DisclosureSEC source: 0001140361-14-026806 · doc1.xml · nonDerivative · entry 1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000,000 F1 · kind: GE Capital Equity Investments, Inc. ("GECEI") paid the exercise price on a cashless basis, resulting in the Issuer withholding 941,259 of the warrant shares to pay the exercise price and issuing to GECEI the remaining 5,058,741 shares. The Issuer also paid $2.40 to GECEI in lieu of a fractional share. F1 · price: GE Capital Equity Investments, Inc. ("GECEI") paid the exercise price on a cashless basis, resulting in the Issuer withholding 941,259 of the warrant shares to pay the exercise price and issuing to GECEI the remaining 5,058,741 shares. The Issuer also paid $2.40 to GECEI in lieu of a fractional share. F2 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| April 06, 2011 Filed Feb 17, 2012 21:27 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherSeries B Redeemable Preferred Stock | 4,929,266 | $8.29 | $40,853,756.61 |
DisclosureSEC source: 0001140361-12-009333 · doc1.xml · nonDerivative · entry 1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 F1 · kind: The Issuer redeemed all of its Series B Redeemable Preferred Stock at a redemption price equal to $8.288 per share plus accrued and unpaid cash dividends thereon. F1 · price: The Issuer redeemed all of its Series B Redeemable Preferred Stock at a redemption price equal to $8.288 per share plus accrued and unpaid cash dividends thereon. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| September 29, 2009 Filed Oct 1, 2009 20:31 UTC | A123 SYSTEMS, INC. AONE · Entity 13262 | ConversionSeries F Convertible Preferred Stock · Derivative | 1,631,191 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 9 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,631,191 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document |
| September 29, 2009 Filed Oct 1, 2009 20:31 UTC | A123 SYSTEMS, INC. AONE · Entity 13262 | ConversionSeries E Convertible Preferred Stock · Derivative | 1,808,068 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 8 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,497,918 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document |
| September 29, 2009 Filed Oct 1, 2009 20:31 UTC | A123 SYSTEMS, INC. AONE · Entity 13262 | ConversionSeries D Convertible Preferred Stock · Derivative | 2,382,925 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 7 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,382,925 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document |
| September 29, 2009 Filed Oct 1, 2009 20:31 UTC | A123 SYSTEMS, INC. AONE · Entity 13262 | ConversionSeries C Convertible Preferred Stock · Derivative | 800,945 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 6 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 800,945 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F1 · ownership.direct: Directly owned by GE Capital CFE, Inc. ("GECFE"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document |
| September 29, 2009 Filed Oct 1, 2009 20:31 UTC | A123 SYSTEMS, INC. AONE · Entity 13262 | ConversionCommon Stock | 1,631,191 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 4 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,512,034 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document |
| September 29, 2009 Filed Oct 1, 2009 20:31 UTC | A123 SYSTEMS, INC. AONE · Entity 13262 | ConversionCommon Stock | 2,497,918 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 3 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,880,843 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document |
| September 29, 2009 Filed Oct 1, 2009 20:31 UTC | A123 SYSTEMS, INC. AONE · Entity 13262 | ConversionCommon Stock | 2,382,925 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 2 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,382,925 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document |
| September 29, 2009 Filed Oct 1, 2009 20:31 UTC | A123 SYSTEMS, INC. AONE · Entity 13262 | ConversionCommon Stock | 800,945 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 1 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800,945 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F1 · ownership.direct: Directly owned by GE Capital CFE, Inc. ("GECFE"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document |
| February 25, 2009 Filed Feb 27, 2009 18:04 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherWarrants · Derivative | 6,000,000 | Not disclosed Strike: $0.75 | Not disclosed |
DisclosureSEC source: 0000909518-09-000174 · vvmedia_form4ex.xml · derivative · entry 3 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,000,000 Underlying: Common Stock · 6,000,000 shares Expires 2019-02-25 F1 · kind: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000. F1 · price: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000. F2 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| February 25, 2009 Filed Feb 27, 2009 18:04 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherSeries A Redeemable Convertible Preferred Stock · Derivative | 5,339,500 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000174 · vvmedia_form4ex.xml · derivative · entry 2 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,339,500 shares Expires not disclosed F3 · derivative.exercise_price: The Series A Redeemable Convertible Preferred Stock was convertible into an equal number of shares of the Issuer's Common Stock and was subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends. F1 · kind: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000. F1 · price: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000. F3 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock was convertible into an equal number of shares of the Issuer's Common Stock and was subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends. F3 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock was convertible into an equal number of shares of the Issuer's Common Stock and was subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends. F2 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| February 25, 2009 Filed Feb 27, 2009 18:04 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherSeries B Redeemable Preferred Stock | 4,929,266 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-09-000174 · vvmedia_form4ex.xml · nonDerivative · entry 1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,929,266 F1 · kind: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000. F1 · price: ValueVision Media, Inc. (the "Issuer") and GE Capital Equity Investments, Inc. ("GECEI") exchanged 5,339,500 shares of Series A Redeemable Convertible Preferred Stock held by GECEI for (i) 4,929,266 shares of a new series of Series B Redeemable Preferred Stock of the Issuer, (ii) warrants to purchase up to 6,000,000 shares of the Issuer's common stock and (iii) a cash payment of $3,400,000. F2 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| June 26, 2006 Filed Jun 28, 2006 22:28 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherSeries A Redeemable Convertible Preferred Stock · Derivative | 1,206,258 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-06-000657 · nbc6-2806_form4ex.xml · derivative · entry 2 NBC Universal, Inc. · CIK 0000902739 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,339,500 Underlying: Common Stock · 1,206,258 shares Expires not disclosed F1 · derivative.exercise_price: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends. F2 · kind: A wholly-owned subsidiary of NBC Universal, Inc. ("NBC") sold the shares to an affiliate, GE Capital Equity Investments, Inc. ("GECEI"). F3 · price: $12.75684 per share. F1 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends. F1 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends. F5 · ownership.direct: Directly owned by GECEI. Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| June 26, 2006 Filed Jun 28, 2006 22:28 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherSeries A Redeemable Convertible Preferred Stock · Derivative | 1,206,258 | Not disclosed | Not disclosed |
DisclosureSEC source: 0000909518-06-000657 · nbc6-2806_form4ex.xml · derivative · entry 1 NBC Universal, Inc. · CIK 0000902739 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,206,258 shares Expires not disclosed F1 · derivative.exercise_price: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends. F2 · kind: A wholly-owned subsidiary of NBC Universal, Inc. ("NBC") sold the shares to an affiliate, GE Capital Equity Investments, Inc. ("GECEI"). F3 · price: $12.75684 per share. F1 · derivative.exercise_date: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends. F1 · derivative.expiration_date: The Series A Redeemable Convertible Preferred Stock is convertible into an equal number of shares of the Issuer's Common Stock and is subject to mandatory redemption by the Issuer on the 10th anniversary of its issuance or upon a "change of control" at $8.29 per share plus declared and unpaid dividends. F4 · ownership.direct: Directly owned by NBC through a wholly-owned subsidiary. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| November 11, 2005 Filed Nov 15, 2005 22:25 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherDistributor Warrant (right to buy) · Derivative | 1,125,000 | Not disclosed Strike: $8.29 | Not disclosed |
DisclosureSEC source: 0000909518-05-000896 · nbc11-15_form4ex.xml · derivative · entry 4 NBC Universal, Inc. · CIK 0000902739 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,125,000 shares Expires 2005-11-16 F1 · kind: Exercise of Distributor Warrant in a cashless manner with the Issuer. F4 · price: Not applicable. F2 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC"). Read SEC document |
| November 11, 2005 Filed Nov 15, 2005 22:25 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | SaleCommon Stock | 843,801 | $11.05 | $9,324,001.05 |
DisclosureSEC source: 0000909518-05-000896 · nbc11-15_form4ex.xml · nonDerivative · entry 2 NBC Universal, Inc. · CIK 0000902739 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 382,708 F1 · kind: Exercise of Distributor Warrant in a cashless manner with the Issuer. F2 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC"). Read SEC document |
| November 11, 2005 Filed Nov 15, 2005 22:25 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherCommon Stock | 1,125,000 | $8.29 | $9,324,000.00 |
DisclosureSEC source: 0000909518-05-000896 · nbc11-15_form4ex.xml · nonDerivative · entry 1 NBC Universal, Inc. · CIK 0000902739 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,226,509 F1 · kind: Exercise of Distributor Warrant in a cashless manner with the Issuer. F2 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC"). Read SEC document |
| July 08, 2005 Filed Jul 12, 2005 21:27 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | SaleCommon Stock | 2,604,932 | $11.00 | $28,654,252.00 |
DisclosureSEC source: 0000909518-05-000514 · ge7-12_form4ex.xml · nonDerivative · entry 1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See Exhibit 99.1 NBC Universal, Inc. · CIK 0000902739 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,069,486 F1 · date: Sale agreement entered into on July 8, 2005, but closing will not occur until a future date. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. Also indirectly owned by NBC Universal, Inc. ("NBC") because of an agreement between GECEI and NBC regarding allocation of investment proceeds. GECEI, GE Capital and NBC disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| February 11, 2005 Filed Feb 15, 2005 22:25 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | SaleCommon Stock | 2,000,000 | $13.75 | $27,500,000.00 |
DisclosureSEC source: 0000909518-05-000094 · ge2-15_form4ex.xml · nonDerivative · entry 1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See Exhibit 99.1 NBC Universal, Inc. · CIK 0000902739 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 8,674,418 F1 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GECEI is a wholly-owned subsidiary of GE Capital. Also indirectly owned by NBC Universal, Inc. ("NBC") because of an agreement between GECEI and NBC regarding allocation of investment proceeds. GECEI, GE Capital and NBC disclaim beneficial ownership of such securities except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Read SEC document |
| April 07, 2004 Filed Aug 31, 2004 19:04 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherDistributor Warrant (right to buy) · Derivative | 200,000 | Not disclosed Strike: $8.29 | Not disclosed |
DisclosureSEC source: 0000909518-04-000747 · nbc7-16_form4ex.xml · derivative · entry 4 NBC Universal, Inc. · CIK 0000902739 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,250,000 Underlying: Common Stock · 200,000 shares Expires not disclosed F5 · price: Not applicable. F4 · derivative.exercise_date: Vests in three tranches: 4/22/99 - 200,000 shares; 4/22/00 - an additional 125,000 shares; and 11/16/00 - an additional 1,125,000 shares. Expiration date as to: first tranche - 4/22/04; second tranche - 4/22/05; and third tranche - 11/16/05. F4 · derivative.expiration_date: Vests in three tranches: 4/22/99 - 200,000 shares; 4/22/00 - an additional 125,000 shares; and 11/16/00 - an additional 1,125,000 shares. Expiration date as to: first tranche - 4/22/04; second tranche - 4/22/05; and third tranche - 11/16/05. F1 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC"). Read SEC document |
| April 07, 2004 Filed Aug 31, 2004 19:04 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | SaleCommon Stock | 98,491 | $16.83 | $1,657,603.53 |
DisclosureSEC source: 0000909518-04-000747 · nbc7-16_form4ex.xml · nonDerivative · entry 2 NBC Universal, Inc. · CIK 0000902739 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 101,509 F3 · kind: Partial exercise of the Distributor Warrant in a cashless manner with Issuer. F1 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC"). Read SEC document |
| April 07, 2004 Filed Aug 31, 2004 19:04 UTC | iMedia Brands, Inc. VVTV · Entity 12386 | OtherCommon Stock | 200,000 | $8.29 | $1,657,600.00 |
DisclosureSEC source: 0000909518-04-000747 · nbc7-16_form4ex.xml · nonDerivative · entry 1 NBC Universal, Inc. · CIK 0000902739 · 10% owner National Broadcasting CO Holding, Inc. · CIK 0001295844 · See (1) to Joint Filer Info GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See (1) to Joint Filer Info GENERAL ELECTRIC CO · CIK 0000040545 · See (1) to Joint Filer Info Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 F3 · kind: Partial exercise of the Distributor Warrant in a cashless manner with Issuer. F1 · ownership.direct: Directly owned by NBC Universal, Inc. ("NBC"). Read SEC document |
| September 05, 2003 Filed Sep 9, 2003 22:00 UTC | NEWPOWER HOLDINGS INC NWPW · Entity 14159 | SaleClass A Warrant · Derivative | 5,250,000 | $0.35 Strike: $0.05 | $1,811,250.00 |
DisclosureSEC source: 0000909518-03-000683 · geci9-8_f4ex.xml · derivative · entry 2 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 5,250,000 shares Expires 2005-12-31 Read SEC document |
| September 05, 2003 Filed Sep 9, 2003 22:00 UTC | NEWPOWER HOLDINGS INC NWPW · Entity 14159 | SaleCommon Stock | 3,696,288 | $0.41 | $1,496,996.64 |
DisclosureSEC source: 0000909518-03-000683 · geci9-8_f4ex.xml · nonDerivative · entry 1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 6,000 | $0.70 | $4,200.60 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 30 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 653,962 F1 · balance_after: The Reporting Person continues to hold a warrant to purchase 240,000 shares of common stock of the issuer, a warrant to purchase 1,333,333 shares of common stock of the issuer and stock options that are convertible into 10,000 shares of common stock of the issuer. Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 204,378 | $0.70 | $143,064.60 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 29 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 659,962 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 2,000 | $0.70 | $1,394.00 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 28 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 864,340 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 3,000 | $0.69 | $2,082.00 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 27 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 866,340 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 5,500 | $0.69 | $3,811.50 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 26 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 869,340 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 1,000 | $0.69 | $692.00 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 25 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 874,840 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 14,500 | $0.69 | $10,019.50 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 24 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 875,840 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 114,460 | $0.69 | $78,977.40 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 23 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 890,340 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 4,900 | $0.69 | $3,361.40 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 22 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,004,800 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 500 | $0.68 | $342.00 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 21 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,009,700 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 3,000 | $0.68 | $2,049.00 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 20 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,010,200 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 3,600 | $0.68 | $2,455.20 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 19 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,013,200 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 4,900 | $0.68 | $3,336.90 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 18 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,016,800 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 5,000 | $0.68 | $3,400.50 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 17 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,021,700 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 83,326 | $0.68 | $56,661.68 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 16 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,026,700 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 18,200 | $0.68 | $12,285.00 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 15 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,110,026 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 4,900 | $0.67 | $3,297.70 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 14 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,128,226 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 7,000 | $0.67 | $4,697.00 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 13 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,133,126 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 345,900 | $0.67 | $231,753.00 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 12 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,140,126 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 1,000 | $0.67 | $669.00 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 11 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,486,026 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 1,900 | $0.67 | $1,267.30 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 10 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,487,026 Read SEC document |
| August 20, 2003 Filed Aug 22, 2003 14:49 UTC | BEACON POWER CORP BCON · Entity 14163 | SaleCommon Stock | 7,850 | $0.67 | $5,220.25 |
DisclosureSEC source: 0000895345-03-000577 · ds42-beacon_gecapitalex.xml · nonDerivative · entry 9 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · 10% owner GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · 10% owner GENERAL ELECTRIC CO · CIK 0000040545 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,488,926 Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.