organization · Reporting owner
GENERAL ELECTRIC CAPITAL CORP
Disclosed activity across 16 companies
Sign in to followReported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| GENWORTH FINANCIAL INCGNW · Entity 4085 | 10% owner | March 02, 2006 | March 06, 2006 |
| Genpact LTDG · Entity 3760 | 10% owner | March 24, 2010 | March 26, 2010 |
| REGENCY CENTERS CORPREG · Entity 3380 | 10% owner | December 15, 2003 | December 17, 2003 |
| ROTECH HEALTHCARE INCROHI · Entity 13665 | See footnotes (1) & (2) | April 25, 2006 | May 18, 2006 |
| Regency Energy Partners LPRGNC · Entity 13103 | 10% owner | December 02, 2010 | December 09, 2010 |
| SUPERIOR ESSEX INCSPSX · Entity 13843 | See notes (2) and (3) | July 15, 2005 | July 20, 2005 |
| THERMOVIEW INDUSTRIES INCTHV · Entity 14170 | 10% owner | June 30, 2003 | July 01, 2003 |
| Townsquare Media, Inc.TSQ · Entity 6737 | 10% owner | July 25, 2014 | July 30, 2014 |
| iMedia Brands, Inc.EVLV · Entity 12386 | 10% owner | May 08, 2015 | May 12, 2015 |
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.
GENWORTH FINANCIAL INC
Report date March 02, 2006 · Filed March 06, 2006
Jointly reported with GE FINANCIAL ASSURANCE HOLDINGS INC, GEI, Inc., GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class B Common StockSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2006-03-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2006-03-02 · Sale · Disposed 86,216,559 · Balance 0 F1: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc. |
Filing footnotes · ownership attribution and instrument terms
F1: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc.
Genpact LTD
Report date March 24, 2010 · Filed March 26, 2010
Jointly reported with GE Capital (Mauritius) Holdings Ltd, GE Capital International (Mauritius), GE Indian Services Holding Private LTD, GE India Ventures LLC, General Electric Capital Services Indian Investments LLC, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common SharesSEC Table I · non-derivative | Direct | 0 |
Reported balance
After 2010-03-24 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-03-24 · Sale · Disposed 19,022 · Balance 0 F1: Sale by GE Capital International (Mauritius) ("International"). F2: Directly owned by International. Indirectly owned by GE Indian Services Holding Private Limited ("Indian Holding"), GE India Ventures LLC ("India Ventures"), General Electric Capital Services Indian Investments LLC ("Indian Investments"), General Electric Capital Corporation ("GECC"), General Electric Capital Services, Inc. ("GECS") and General Electric Company ("GE"). International is owned by India Ventures and Indian Holding, which is a subsidiary of India Ventures, which is a subsidiary of Indian Investments, which is a subsidiary of GECC, which is a subsidiary of GECS, which is a subsidiary of GE. Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by International, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein. |
| Common SharesSEC Table I · non-derivative | Direct | 19,947,364 |
Reported balance
After 2010-03-24 transaction · row 2
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 2 · 2010-03-24 · Sale · Disposed 19,980,978 · Balance 19,947,364 F3: Sale by GE Capital (Mauritius) Holdings Ltd. ("Holdings"). F4: Directly owned by Holdings. Indirectly owned by International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE. Holdings is owned by GECC, India Ventures and International. International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by Holdings, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein. |
| Equity SwapSEC Table II · derivative / convertible security | Direct | 1 |
Reported balance
After 2010-03-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2010-03-25 · Other · Acquired 1 · Balance 1 F5: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein. F6: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares. |
Filing footnotes · ownership attribution and instrument terms
F1: Sale by GE Capital International (Mauritius) ("International").
F2: Directly owned by International. Indirectly owned by GE Indian Services Holding Private Limited ("Indian Holding"), GE India Ventures LLC ("India Ventures"), General Electric Capital Services Indian Investments LLC ("Indian Investments"), General Electric Capital Corporation ("GECC"), General Electric Capital Services, Inc. ("GECS") and General Electric Company ("GE"). International is owned by India Ventures and Indian Holding, which is a subsidiary of India Ventures, which is a subsidiary of Indian Investments, which is a subsidiary of GECC, which is a subsidiary of GECS, which is a subsidiary of GE. Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by International, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein.
F3: Sale by GE Capital (Mauritius) Holdings Ltd. ("Holdings").
F4: Directly owned by Holdings. Indirectly owned by International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE. Holdings is owned by GECC, India Ventures and International. International, Indian Holding, India Ventures, Indian Investments, GECC, GECS and GE disclaim beneficial ownership of all shares owned by Holdings, except to the extent of their pecuniary interest therein. See Exhibit 99.1, incorporated by reference herein.
F5: Holdings entered into an internal cash-settled swap arrangement with an indirect wholly-owned subsidiary of GECC as the counterparty relating to 19,947,364 notional Common Shares (the "referenced assets") having a reference price of $15.53 per notional share. Following the swap's maturity (March 24, 2015) or the date of earlier acceleration thereof, Holdings will be obligated to pay the counterparty in cash an amount determined by reference to price appreciation above the reference price, and the counterparty will be obligated to pay Holdings in cash an amount determined by reference to price depreciation below the reference price. GECC, GECS and GE disclaim beneficial ownership, except to the extent of their pecuniary interest therein.
F6: (Continuation of Footnote 5) In addition, Holdings is obligated to pay the counterparty an amount equal to any distributions received on the referenced assets during the term of the swap. The counterparty neither has nor shares voting or investment power over Common Shares.
REGENCY CENTERS CORP
Report date December 15, 2003 · Filed December 17, 2003
Jointly reported with SECURITY CAPITAL GROUP INC/, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CO, GE CAPITAL INTERNATIONAL HOLDINGS CORP
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01 per shareSEC Table I · non-derivative | IndirectBy subsidiary | 0 |
Last balance in matching sequence
After 2003-12-16 transaction · row 3
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
3 source rowsRow 1 · 2003-12-15 · Other · Disposed 4,080,000 · Balance 8,106,667 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F3: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Row 2 · 2003-12-15 · Other · Disposed 4,200,000 · Balance 3,906,667 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F4: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Row 3 · 2003-12-16 · Other · Disposed 3,906,667 · Balance 0 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F5: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock. F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. |
| Put equivalent position (obligation to sell)SEC Table II · derivative / convertible security · Expires 2004-04-01 | IndirectBy subsidiary | 0 |
Reported balance
After 2003-12-15 transaction · row 4
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 4 · 2003-12-15 · Other · Disposed 4,080,000 · Balance 0 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F3: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. |
| Put equivalent position (obligation to sell)SEC Table II · derivative / convertible security · Expires 2004-06-01 | IndirectBy subsidiary | 0 |
Reported balance
After 2003-12-15 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2003-12-15 · Other · Disposed 4,200,000 · Balance 0 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F4: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. |
| Put equivalent position (obligation to sell)SEC Table II · derivative / convertible security · Expires 2004-06-18 | IndirectBy subsidiary | 0 |
Reported balance
After 2003-12-16 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2003-12-16 · Other · Disposed 3,906,667 · Balance 0 F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F5: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock. F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. |
Filing footnotes · ownership attribution and instrument terms
F1: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose.
F2: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock.
F3: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)).
F4: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)).
F5: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock.
ROTECH HEALTHCARE INC
Report date April 25, 2006 · Filed May 18, 2006
Jointly reported with GE CAPITAL CFE INC, GENERAL ELECTRIC CO, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $.0001SEC Table I · non-derivative | Direct | 2,551,156 |
Reported balance
Holding disclosure · report date 2006-04-25 · row 1
Holding and transaction disclosures are not merged.
1 source rowRow 1 · Balance 2,551,156 F1: GE Capital CFE, Inc. ("GECFE") directly owns 2,551,156 shares of Common Stock of the issuer, Rotech Healthcare, Inc. General Electric Capital Corporation ("GE Capital") is the parent company of GECFE. General Electric Capital Services, Inc. ("GECS") is the parent company of GE Capital. General Electric Company ("GE") is the parent company of GECS. F2: Pursuant to Rule 16a-1(4) promulgated under the Securities and Exchange Act of 1934, as amended, each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned by GECFE. |
Filing footnotes · ownership attribution and instrument terms
F1: GE Capital CFE, Inc. ("GECFE") directly owns 2,551,156 shares of Common Stock of the issuer, Rotech Healthcare, Inc. General Electric Capital Corporation ("GE Capital") is the parent company of GECFE. General Electric Capital Services, Inc. ("GECS") is the parent company of GE Capital. General Electric Company ("GE") is the parent company of GECS.
F2: Pursuant to Rule 16a-1(4) promulgated under the Securities and Exchange Act of 1934, as amended, each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned by GECFE.
Regency Energy Partners LP
Report date December 02, 2010 · Filed December 09, 2010
Jointly reported with Aircraft Services CORP, EFS Regency GP Holdco II, LLC, Regency LP Acquirer, L.P., GENERAL ELECTRIC CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Units representing limited partner interestsSEC Table I · non-derivative | IndirectSee Footnote | 15,277,106 |
Reported balance
After 2010-12-02 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2010-12-02 · Sale · Disposed 5,160,561 · Balance 15,277,106 F1: The Reporting Persons are the beneficial owners of 15,277,106 Common Units following the closing on December 2, 2010 of the sale by LP Holdings to ZLP Fund, L.P. ("ZLP Fund"), ZLP Master Opportunity Fund, Ltd. ("ZLP Master Opportunity Fund"), ZLP Master Utility Fund, Ltd. ("ZLP Master Utility Fund," and together with ZLP Fund and ZLP Master Opportunity Fund, the "Zimmer Purchasers"), pursuant to the exercise by the Zimmer Purchasers of their right of first offer under the Common Unit Purchase Agreement (the "Common Unit Purchase Agreement"), dated as of October 22, 2010, by and among LP Holdings, the Zimmer Purchasers and Credit Suisse Management LLC, of 5,160,561 Common Units for $125,002,204.90. F2: These securities are owned by LP Holdings, which is a member of a "group" for purposes of Section 13(d) of the Exchange Act including LP Holdings, EFS Regency GP Holdco II, LLC, Aircraft Services Corporation, General Electric Capital Corporation and General Electric Company. The joint filers are jointly filing this Form 4 and information regarding the joint filers other than Aircraft Services Corporation is set forth on Exhibit 99 to this Form 4. |
Filing footnotes · ownership attribution and instrument terms
F1: The Reporting Persons are the beneficial owners of 15,277,106 Common Units following the closing on December 2, 2010 of the sale by LP Holdings to ZLP Fund, L.P. ("ZLP Fund"), ZLP Master Opportunity Fund, Ltd. ("ZLP Master Opportunity Fund"), ZLP Master Utility Fund, Ltd. ("ZLP Master Utility Fund," and together with ZLP Fund and ZLP Master Opportunity Fund, the "Zimmer Purchasers"), pursuant to the exercise by the Zimmer Purchasers of their right of first offer under the Common Unit Purchase Agreement (the "Common Unit Purchase Agreement"), dated as of October 22, 2010, by and among LP Holdings, the Zimmer Purchasers and Credit Suisse Management LLC, of 5,160,561 Common Units for $125,002,204.90.
F2: These securities are owned by LP Holdings, which is a member of a "group" for purposes of Section 13(d) of the Exchange Act including LP Holdings, EFS Regency GP Holdco II, LLC, Aircraft Services Corporation, General Electric Capital Corporation and General Electric Company. The joint filers are jointly filing this Form 4 and information regarding the joint filers other than Aircraft Services Corporation is set forth on Exhibit 99 to this Form 4.
SUPERIOR ESSEX INC
Report date July 15, 2005 · Filed July 20, 2005
Jointly reported with GREENWATER HOLDINGS LTD, HELLER INTERNATIONAL GROUP INC, HELLER FINANCIAL INC, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 1,241,318 |
Reported balance
After 2005-07-15 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2005-07-15 · Sale · Disposed 1,250,000 · Balance 1,241,318 F1: The parties reached agreement as to material terms on July 15, 2005. The transaction was executed on Nasdaq on July 19, 2005. F2: These shares are owned directly by Greenwater Holding, Ltd. ("Greenwater"). Heller International Group, Inc. ("HIG") is the sole shareholder of Greenwater. Heller Financial, Inc. ("Heller Financial") is the sole shareholder of HIG. General Electric Capitol Corporation ("GECC") is the sole shareholder of Heller Financial. General Electric Capital Services, Inc. ("GECS") is the sole shareholder of GECC. General Electric Company ("GE") is the sole shareholder of GECS. F3: Pursuant to Rule 16a-1(4) promulgated under the Securities and Exchange Act of 1934, as amended, each of GE, GECS, GECC, Heller Financial and HIG disclaims beneficial ownership of the Common Stock directly owned by Greenwater. |
Filing footnotes · ownership attribution and instrument terms
F1: The parties reached agreement as to material terms on July 15, 2005. The transaction was executed on Nasdaq on July 19, 2005.
F2: These shares are owned directly by Greenwater Holding, Ltd. ("Greenwater"). Heller International Group, Inc. ("HIG") is the sole shareholder of Greenwater. Heller Financial, Inc. ("Heller Financial") is the sole shareholder of HIG. General Electric Capitol Corporation ("GECC") is the sole shareholder of Heller Financial. General Electric Capital Services, Inc. ("GECS") is the sole shareholder of GECC. General Electric Company ("GE") is the sole shareholder of GECS.
F3: Pursuant to Rule 16a-1(4) promulgated under the Securities and Exchange Act of 1934, as amended, each of GE, GECS, GECC, Heller Financial and HIG disclaims beneficial ownership of the Common Stock directly owned by Greenwater.
THERMOVIEW INDUSTRIES INC
Report date June 30, 2003 · Filed July 01, 2003 · Amendment
Jointly reported with GE CAPITAL EQUITY INVESTMENTS INC, 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 |
Townsquare Media, Inc.
Report date July 25, 2014 · Filed July 30, 2014
Jointly reported with GE Capital Equity Holdings, Inc., GE Business Financial Services Inc., GEI, Inc., Antares Capital Corp, GENERAL ELECTRIC CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Class A Common UnitsSEC Table II · derivative / convertible security | Indirectsee note | 0 |
Reported balance
After 2014-07-25 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2014-07-25 · Other · Disposed 10,958,912.512 · Balance 0 F1: In connection with the Issuer's initial public offering, on July 25, 2014, Townsquare Media, LLC (the "LLC") was converted (the "Conversion") into a corporation named Townsquare Media, Inc. (the "Corporation"). As part of the Conversion, the Class A Preferred Units ("PUnits") and the Class A Common Units ("CUnits") of the LLC owned by any Reporting Person were together converted into shares of Class C Common Stock in the Corporation. Each share of the Class C Common Stock has no expiration date and is convertible at the election of the holder into a share of Class A Common Stock, and automatically converts under certain circumstances, subject to certain limitations set forth in the certificate of incorporation of the Issuer. F2: 10,078,144.597 PUnits and 10,078,144.597 CUnits in the LLC directly owned by GE Capital Equity Holdings, Inc. ("GECEH") were together converted into 2,996,283 shares of Class C Common Stock in the Corporation. 485,308.016 PUnits and 485,308.016 CUnits in the LLC directly owned by GE Business Financial Services Inc. ("GEBFS") (GEBFS is a wholly-owned subsidiary of GEI, Inc. ("GEI")) were together converted into 144,284 shares of Class C Common Stock in the Corporation. 395,459.899 PUnits and 395,459.899 CUnits in the LLC directly owned by Antares Capital Corporation ("Antares") were together converted into 144,284 shares of Class C Common Stock in the Corporation. F3: Indirectly owned by General Electric Capital Corporation ("GE Capital"). GECEH, GEI and Antares are wholly-owned subsidiaries GE Capital, and GE Capital is a wholly-owned subsidiary of General Electric Company ("GE"). GE disclaims beneficial ownership. See Exhibit 99.1, incorporated by reference herein. |
| Class A Preferred UnitsSEC Table II · derivative / convertible security | Indirectsee note | 0 |
Reported balance
After 2014-07-25 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2014-07-25 · Other · Disposed 10,958,912.512 · Balance 0 F1: In connection with the Issuer's initial public offering, on July 25, 2014, Townsquare Media, LLC (the "LLC") was converted (the "Conversion") into a corporation named Townsquare Media, Inc. (the "Corporation"). As part of the Conversion, the Class A Preferred Units ("PUnits") and the Class A Common Units ("CUnits") of the LLC owned by any Reporting Person were together converted into shares of Class C Common Stock in the Corporation. Each share of the Class C Common Stock has no expiration date and is convertible at the election of the holder into a share of Class A Common Stock, and automatically converts under certain circumstances, subject to certain limitations set forth in the certificate of incorporation of the Issuer. F2: 10,078,144.597 PUnits and 10,078,144.597 CUnits in the LLC directly owned by GE Capital Equity Holdings, Inc. ("GECEH") were together converted into 2,996,283 shares of Class C Common Stock in the Corporation. 485,308.016 PUnits and 485,308.016 CUnits in the LLC directly owned by GE Business Financial Services Inc. ("GEBFS") (GEBFS is a wholly-owned subsidiary of GEI, Inc. ("GEI")) were together converted into 144,284 shares of Class C Common Stock in the Corporation. 395,459.899 PUnits and 395,459.899 CUnits in the LLC directly owned by Antares Capital Corporation ("Antares") were together converted into 144,284 shares of Class C Common Stock in the Corporation. F3: Indirectly owned by General Electric Capital Corporation ("GE Capital"). GECEH, GEI and Antares are wholly-owned subsidiaries GE Capital, and GE Capital is a wholly-owned subsidiary of General Electric Company ("GE"). GE disclaims beneficial ownership. See Exhibit 99.1, incorporated by reference herein. |
| Class C Common StockSEC Table II · derivative / convertible security | Indirectsee note | 3,258,139 |
Reported balance
After 2014-07-25 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2014-07-25 · Other · Acquired 3,258,139 · Balance 3,258,139 F1: In connection with the Issuer's initial public offering, on July 25, 2014, Townsquare Media, LLC (the "LLC") was converted (the "Conversion") into a corporation named Townsquare Media, Inc. (the "Corporation"). As part of the Conversion, the Class A Preferred Units ("PUnits") and the Class A Common Units ("CUnits") of the LLC owned by any Reporting Person were together converted into shares of Class C Common Stock in the Corporation. Each share of the Class C Common Stock has no expiration date and is convertible at the election of the holder into a share of Class A Common Stock, and automatically converts under certain circumstances, subject to certain limitations set forth in the certificate of incorporation of the Issuer. F2: 10,078,144.597 PUnits and 10,078,144.597 CUnits in the LLC directly owned by GE Capital Equity Holdings, Inc. ("GECEH") were together converted into 2,996,283 shares of Class C Common Stock in the Corporation. 485,308.016 PUnits and 485,308.016 CUnits in the LLC directly owned by GE Business Financial Services Inc. ("GEBFS") (GEBFS is a wholly-owned subsidiary of GEI, Inc. ("GEI")) were together converted into 144,284 shares of Class C Common Stock in the Corporation. 395,459.899 PUnits and 395,459.899 CUnits in the LLC directly owned by Antares Capital Corporation ("Antares") were together converted into 144,284 shares of Class C Common Stock in the Corporation. F3: Indirectly owned by General Electric Capital Corporation ("GE Capital"). GECEH, GEI and Antares are wholly-owned subsidiaries GE Capital, and GE Capital is a wholly-owned subsidiary of General Electric Company ("GE"). GE disclaims beneficial ownership. See Exhibit 99.1, incorporated by reference herein. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the Issuer's initial public offering, on July 25, 2014, Townsquare Media, LLC (the "LLC") was converted (the "Conversion") into a corporation named Townsquare Media, Inc. (the "Corporation"). As part of the Conversion, the Class A Preferred Units ("PUnits") and the Class A Common Units ("CUnits") of the LLC owned by any Reporting Person were together converted into shares of Class C Common Stock in the Corporation. Each share of the Class C Common Stock has no expiration date and is convertible at the election of the holder into a share of Class A Common Stock, and automatically converts under certain circumstances, subject to certain limitations set forth in the certificate of incorporation of the Issuer.
F2: 10,078,144.597 PUnits and 10,078,144.597 CUnits in the LLC directly owned by GE Capital Equity Holdings, Inc. ("GECEH") were together converted into 2,996,283 shares of Class C Common Stock in the Corporation. 485,308.016 PUnits and 485,308.016 CUnits in the LLC directly owned by GE Business Financial Services Inc. ("GEBFS") (GEBFS is a wholly-owned subsidiary of GEI, Inc. ("GEI")) were together converted into 144,284 shares of Class C Common Stock in the Corporation. 395,459.899 PUnits and 395,459.899 CUnits in the LLC directly owned by Antares Capital Corporation ("Antares") were together converted into 144,284 shares of Class C Common Stock in the Corporation.
F3: Indirectly owned by General Electric Capital Corporation ("GE Capital"). GECEH, GEI and Antares are wholly-owned subsidiaries GE Capital, and GE Capital is a wholly-owned subsidiary of General Electric Company ("GE"). GE disclaims beneficial ownership. See Exhibit 99.1, incorporated by reference herein.
iMedia Brands, Inc.
Report date May 08, 2015 · Filed May 12, 2015
Jointly reported with GE CAPITAL EQUITY INVESTMENTS INC, GENERAL ELECTRIC CO
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 3,545,049 |
Last balance in matching sequence
After 2015-05-11 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2015-05-08 · Sale · Disposed 5,000 · Balance 3,550,636 F1: 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: 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. Row 2 · 2015-05-11 · Sale · Disposed 5,587 · Balance 3,545,049 F1: 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: 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. |
Filing footnotes · ownership attribution and instrument terms
F1: 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: 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.
Past disclosures · reporting ended (7)
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 SERVICES INC/CT, GE CAPITAL EQUITY INVESTMENTS INC, 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 GE CAPITAL EQUITY INVESTMENTS INC, 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.
CASTLE DENTAL CENTERS INC
Report date June 14, 2004 · Filed June 16, 2004
Jointly reported with GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CO
Section 16 reporting ended · disclosed 2004-06-16. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Series B Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2004-06-14 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2004-06-14 · Other · Disposed 5,644 · Balance 0 F1: Each share of Series B Preferred Stock ("Series B") was convertible into the number of shares of Castle Dental Centers, Inc. ("Company") Common Stock determined by dividing 100 by 0.04798729 initially, or 2,083.9 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series B Preferred Stock of the Company. F2: The disposition reported herein occurred on June 14, 2004, in conjunction with a merger between the Company, Bright Now! Dental, Inc. and Drawbridge Acquisitions, Inc. (the "Merger"). Upon consummation of the Merger, each share of Series B held by General Electric Capital Corporation ("GECC") converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series B was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $1,848,899.47. F3: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date. |
| Series A-1 Convertible Preferred StockSEC Table II · derivative / convertible security | Direct | 0 |
Reported balance
After 2004-06-14 transaction · row 2
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 2 · 2004-06-14 · Other · Disposed 119,520 · Balance 0 F4: Each share of Series A-1 was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series A-1 Convertible Preferred Stock and Series A-2 Convertible Preferred Stock of the Company (the "Series A Certificate of Designation"). F5: Upon consummation of the Merger, each share of Series A-1 held by GECC converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-1 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $3,432,355.73. F3: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date. |
| Warrant for A-2SEC Table II · derivative / convertible security · Conversion / exercise price $0.00 · Expires 2012-07-19 | Direct | 0 |
Reported balance
After 2004-06-14 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2004-06-14 · Other · Disposed 1 · Balance 0 F6: This warrant was exercisable for 10,984 shares of Series A-2 Convertible Preferred Stock ("Series A-2") of the Company, which was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the Series A Certificate of Designation. F7: Pursuant to the Merger and upon the payment of the exercise price of $0.001 per share of Series A-2 into which the Warrant was exercisable, the Warrant reported herein was converted into the right to receive a cash payment, without interest, equal to the number of shares of Series A-2 into which the Warrant was exercisable, multiplied by the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-2 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $315,425.75. |
Filing footnotes · ownership attribution and instrument terms
F1: Each share of Series B Preferred Stock ("Series B") was convertible into the number of shares of Castle Dental Centers, Inc. ("Company") Common Stock determined by dividing 100 by 0.04798729 initially, or 2,083.9 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series B Preferred Stock of the Company.
F2: The disposition reported herein occurred on June 14, 2004, in conjunction with a merger between the Company, Bright Now! Dental, Inc. and Drawbridge Acquisitions, Inc. (the "Merger"). Upon consummation of the Merger, each share of Series B held by General Electric Capital Corporation ("GECC") converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series B was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $1,848,899.47.
F3: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date.
F4: Each share of Series A-1 was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series A-1 Convertible Preferred Stock and Series A-2 Convertible Preferred Stock of the Company (the "Series A Certificate of Designation").
F5: Upon consummation of the Merger, each share of Series A-1 held by GECC converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-1 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $3,432,355.73.
F6: This warrant was exercisable for 10,984 shares of Series A-2 Convertible Preferred Stock ("Series A-2") of the Company, which was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the Series A Certificate of Designation.
F7: Pursuant to the Merger and upon the payment of the exercise price of $0.001 per share of Series A-2 into which the Warrant was exercisable, the Warrant reported herein was converted into the right to receive a cash payment, without interest, equal to the number of shares of Series A-2 into which the Warrant was exercisable, multiplied by the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-2 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $315,425.75.
MEDIA SERVICE GROUP INC
Report date July 07, 2004 · Filed July 09, 2004
Jointly reported with GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CO
Section 16 reporting ended · disclosed 2004-07-09. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 108,910 |
Last balance in matching sequence
After 2004-07-08 transaction · row 2
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
2 source rowsRow 1 · 2004-07-07 · Sale · Disposed 48,800 · Balance 143,610 F1: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. Row 2 · 2004-07-08 · Sale · Disposed 34,700 · Balance 108,910 F1: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. |
Filing footnotes · ownership attribution and instrument terms
F1: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation.
NEWPOWER HOLDINGS INC
Report date September 05, 2003 · Filed September 09, 2003
Jointly reported with GE CAPITAL EQUITY INVESTMENTS INC, GENERAL ELECTRIC CO, GENERAL ELECTRIC CAPITAL SERVICES INC/CT
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 |
Synchrony Financial
Report date November 17, 2015 · Filed November 19, 2015
Jointly reported with GENERAL ELECTRIC CO, GE Consumer Finance, Inc.
Section 16 reporting ended · disclosed 2015-11-19. 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 2015-11-17 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2015-11-17 · Other · Disposed 705,270,833 · Balance 0 F1: General Electric Company ("GE") disposed of 705,270,833 shares of common stock of the Issuer in exchange for 671,366,809 shares of GE common stock pursuant to a registered exchange offer to GE's common stockholders. The final exchange ratio was 1.0505 shares of Issuer common stock per share of GE common stock accepted in the exchange offer. In preparation for the consummation of the exchange offer, Power Holding LLC (formerly known as GE Consumer Finance, Inc.), a wholly-owned subsidiary of GE, distributed all of the shares of common stock of the Issuer that it directly owned to GE. |
Filing footnotes · ownership attribution and instrument terms
F1: General Electric Company ("GE") disposed of 705,270,833 shares of common stock of the Issuer in exchange for 671,366,809 shares of GE common stock pursuant to a registered exchange offer to GE's common stockholders. The final exchange ratio was 1.0505 shares of Issuer common stock per share of GE common stock accepted in the exchange offer. In preparation for the consummation of the exchange offer, Power Holding LLC (formerly known as GE Consumer Finance, Inc.), a wholly-owned subsidiary of GE, distributed all of the shares of common stock of the Issuer that it directly owned to GE.
VOLUME SERVICES AMERICA HOLDINGS INC
Report date December 16, 2003 · Filed December 18, 2003
Jointly reported with RECREATIONAL SERVICES LLC, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CO
Section 16 reporting ended · disclosed 2003-12-18. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common Stock, par value $0.01SEC Table I · non-derivative | IndirectSee Note 2 | 1,474,502 |
Reported balance
After 2003-12-16 transaction · row 1
Joint disclosure: continuity of the reported position is unresolved; see ownership footnotes.
1 source rowRow 1 · 2003-12-16 · Sale · Disposed 983,000 · Balance 1,474,502 F1: In connection with the initial public offering ("IPO") of 16,785,450 Income Deposit Securities ("IDSs"), representing 16,785,450 shares of Common Stock of the Issuer and $95,677,065 aggregate principal amount of the Issuer's 13.5% subordinated notes due 2013 ("Notes"), the underwriters exercised their over-allotment option in full, purchasing an additional 1,678,545 IDSs, representing 1,678,545 shares of Common Stock and $9,567,706.50 aggregate principal amount of Notes. The Issuer used the net proceeds from the sale of these additional IDSs to purchase from Recreational Services L.L.C. ("Recreational Services") 983,000 shares of Common Stock directly owned by Recreational Services prior to the IPO. F2: Recreational Services directly owns 1,474,502 shares of Common Stock. General Electric Capital Corporation ("GE Capital") is the managing member of Recreational Services and may be deemed to beneficially own the Common Stock owned by Recreational Services. General Electric Capital Services, Inc. ("GECS"), the parent corporation of GE Capital, and General Electric Company ("GE"), the parent corporation of GECS, may each be deemed to beneficially own the Common Stock owned by Recreational Services. F3: Information with respect to each of the Reporting Persons is given solely by such Reporting Persons, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Any disclosures made hereunder with respect to persons other than the Reporting Persons are made on information and belief after making appropriate inquiry. F4: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons herein states that the following shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned by Recreational Services. |
Filing footnotes · ownership attribution and instrument terms
F1: In connection with the initial public offering ("IPO") of 16,785,450 Income Deposit Securities ("IDSs"), representing 16,785,450 shares of Common Stock of the Issuer and $95,677,065 aggregate principal amount of the Issuer's 13.5% subordinated notes due 2013 ("Notes"), the underwriters exercised their over-allotment option in full, purchasing an additional 1,678,545 IDSs, representing 1,678,545 shares of Common Stock and $9,567,706.50 aggregate principal amount of Notes. The Issuer used the net proceeds from the sale of these additional IDSs to purchase from Recreational Services L.L.C. ("Recreational Services") 983,000 shares of Common Stock directly owned by Recreational Services prior to the IPO.
F2: Recreational Services directly owns 1,474,502 shares of Common Stock. General Electric Capital Corporation ("GE Capital") is the managing member of Recreational Services and may be deemed to beneficially own the Common Stock owned by Recreational Services. General Electric Capital Services, Inc. ("GECS"), the parent corporation of GE Capital, and General Electric Company ("GE"), the parent corporation of GECS, may each be deemed to beneficially own the Common Stock owned by Recreational Services.
F3: Information with respect to each of the Reporting Persons is given solely by such Reporting Persons, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Any disclosures made hereunder with respect to persons other than the Reporting Persons are made on information and belief after making appropriate inquiry.
F4: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons herein states that the following shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned by Recreational Services.
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 |
|---|---|---|---|---|---|---|
| June 14, 2004 Filed Jun 16, 2004 17:29 UTC | CASTLE DENTAL CENTERS INC CASL.OB · Entity 14038 | OtherWarrant for A-2 · Derivative | 1 | $315,425.75 Strike: $0.00 | $315,425.75 |
DisclosureSEC source: 0001104659-04-017026 · a4.xml · derivative · entry 3 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 · 2,006,595 shares Expires 2012-07-19 F6 · derivative.exercise_price: This warrant was exercisable for 10,984 shares of Series A-2 Convertible Preferred Stock ("Series A-2") of the Company, which was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the Series A Certificate of Designation. F7 · kind: Pursuant to the Merger and upon the payment of the exercise price of $0.001 per share of Series A-2 into which the Warrant was exercisable, the Warrant reported herein was converted into the right to receive a cash payment, without interest, equal to the number of shares of Series A-2 into which the Warrant was exercisable, multiplied by the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-2 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $315,425.75. F6 · shares: This warrant was exercisable for 10,984 shares of Series A-2 Convertible Preferred Stock ("Series A-2") of the Company, which was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the Series A Certificate of Designation. F7 · price: Pursuant to the Merger and upon the payment of the exercise price of $0.001 per share of Series A-2 into which the Warrant was exercisable, the Warrant reported herein was converted into the right to receive a cash payment, without interest, equal to the number of shares of Series A-2 into which the Warrant was exercisable, multiplied by the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-2 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $315,425.75. Read SEC document |
| June 14, 2004 Filed Jun 16, 2004 17:29 UTC | CASTLE DENTAL CENTERS INC CASL.OB · Entity 14038 | OtherSeries A-1 Convertible Preferred Stock · Derivative | 119,520 | $28.72 | $3,432,614.40 |
DisclosureSEC source: 0001104659-04-017026 · a4.xml · derivative · entry 2 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 · 21,834,324 shares Expires not disclosed F4 · derivative.exercise_price: Each share of Series A-1 was convertible into the number of shares of Company Common Stock determined by dividing 100 by 0.547395001 initially, or 182.7 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series A-1 Convertible Preferred Stock and Series A-2 Convertible Preferred Stock of the Company (the "Series A Certificate of Designation"). F5 · kind: Upon consummation of the Merger, each share of Series A-1 held by GECC converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-1 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $3,432,355.73. F5 · price: Upon consummation of the Merger, each share of Series A-1 held by GECC converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series A-1 was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $3,432,355.73. F3 · derivative.expiration_date: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date. Read SEC document |
| June 14, 2004 Filed Jun 16, 2004 17:29 UTC | CASTLE DENTAL CENTERS INC CASL.OB · Entity 14038 | OtherSeries B Preferred Stock · Derivative | 5,644 | $327.59 | $1,848,917.96 |
DisclosureSEC source: 0001104659-04-017026 · a4.xml · derivative · entry 1 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 · 11,761,447 shares Expires not disclosed F1 · derivative.exercise_price: Each share of Series B Preferred Stock ("Series B") was convertible into the number of shares of Castle Dental Centers, Inc. ("Company") Common Stock determined by dividing 100 by 0.04798729 initially, or 2,083.9 shares of Company Common Stock, subject to adjustment in accordance with the terms provided in the Certificate of Designations, Rights and Preference of Series B Preferred Stock of the Company. F2 · kind: The disposition reported herein occurred on June 14, 2004, in conjunction with a merger between the Company, Bright Now! Dental, Inc. and Drawbridge Acquisitions, Inc. (the "Merger"). Upon consummation of the Merger, each share of Series B held by General Electric Capital Corporation ("GECC") converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series B was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $1,848,899.47. F2 · price: The disposition reported herein occurred on June 14, 2004, in conjunction with a merger between the Company, Bright Now! Dental, Inc. and Drawbridge Acquisitions, Inc. (the "Merger"). Upon consummation of the Merger, each share of Series B held by General Electric Capital Corporation ("GECC") converted into the right to receive a cash payment, without interest, equal to the product of $0.1572 multiplied by the number of shares of Company Common Stock into which such share of Series B was convertible at the time of the Merger, for aggregate consideration upon disposition equal to $1,848,899.47. F3 · derivative.expiration_date: The Series B and the Series A-1 Convertible Preferred Stock ("Series A-1") have no expiration date. Read SEC document |
| June 10, 2004 Filed Jun 15, 2004 16:25 UTC | MEDIA SERVICE GROUP INC MSGI · Entity 14017 | SaleCommon Stock | 1,285 | $9.03 | $11,603.55 |
DisclosureSEC source: 0000909518-04-000550 · msg6-15_form4ex.xml · nonDerivative · entry 1 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: 202,610 F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. Read SEC document |
| June 04, 2004 Filed Jun 8, 2004 21:23 UTC | GENWORTH FINANCIAL INC GNW · Entity 4085 | SaleClass B Common Stock | 1,440,000 | $19.50 | $28,080,000.00 |
DisclosureSEC source: 0000909518-04-000541 · gefahi6-8_form4ex.xml · nonDerivative · entry 1 GE FINANCIAL ASSURANCE HOLDINGS INC · CIK 0001049537 · 10% owner GEI, Inc. · CIK 0001290757 · 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: 343,088,145 F2 · kind: Sale in connection with the exercise of an over-allotment option by the underwriters. F1 · ownership.direct: GE Financial Assurance Holdings, Inc. is a subsidiary of GEI, Inc., which is a subsidiary of General Electric Capital Corporation, which is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. GEI, Inc., General Electric Capital Corporation, General Electric Capital Services, Inc. and General Electric Company disclaim beneficial ownership of all shares owned by GE Financial Assurance Holdings, Inc. Read SEC document |
| April 20, 2004 Filed Apr 22, 2004 16:58 UTC | MEDIA SERVICE GROUP INC MSGI · Entity 14017 | OtherWarrant · Derivative | 222,292 | $0.00 Strike: $0.48 | $0.00 |
DisclosureSEC source: 0000909518-04-000371 · msgi4-22_form4ex.xml · derivative · entry 3 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 · 222,292 shares Expires 2007-12-31 F2 · price: The zero ("0") in this column is a "dummy" amount, solely for the purpose of permitting the use of a descriptive footnote stating that the price is not applicable. F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. Read SEC document |
| April 20, 2004 Filed Apr 22, 2004 16:58 UTC | MEDIA SERVICE GROUP INC MSGI · Entity 14017 | SaleCommon Stock | 18,397 | $5.80 | $106,702.60 |
DisclosureSEC source: 0000909518-04-000371 · msgi4-22_form4ex.xml · nonDerivative · entry 2 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: 203,895 F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. Read SEC document |
| April 20, 2004 Filed Apr 22, 2004 16:58 UTC | MEDIA SERVICE GROUP INC MSGI · Entity 14017 | OtherCommon Stock | 222,292 | $0.48 | $106,700.16 |
DisclosureSEC source: 0000909518-04-000371 · msgi4-22_form4ex.xml · nonDerivative · entry 1 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: 222,292 F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. 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 |
| February 19, 2004 Filed Feb 23, 2004 16:15 UTC | MEDIA SERVICE GROUP INC MSGI · Entity 14017 | SaleCommon Stock | 5,700 | $3.23 | $18,411.00 |
DisclosureSEC source: 0000909518-04-000174 · gecc2-23_form4ex.xml · nonDerivative · entry 1 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: 283,922 F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a wholly owned subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation Read SEC document |
| February 18, 2004 Filed Feb 19, 2004 16:51 UTC | MEDIA SERVICE GROUP INC MSGI · Entity 14017 | SaleCommon Stock | 5,000 | $3.48 | $17,400.00 |
DisclosureSEC source: 0000909518-04-000168 · gecc2-19_form4ex.xml · nonDerivative · entry 2 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: 289,622 F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a wholly owned subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation Read SEC document |
| February 17, 2004 Filed Feb 19, 2004 16:51 UTC | MEDIA SERVICE GROUP INC MSGI · Entity 14017 | SaleCommon Stock | 10,200 | $3.79 | $38,658.00 |
DisclosureSEC source: 0000909518-04-000168 · gecc2-19_form4ex.xml · nonDerivative · entry 1 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: 294,622 F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a wholly owned subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation Read SEC document |
| December 16, 2003 Filed Dec 17, 2003 19:14 UTC | REGENCY CENTERS CORP REG · Entity 3380 | OtherPut equivalent position (obligation to sell) · Derivative | 3,906,667 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-03-000617 · edgar.xml · derivative · entry 6 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 0 Underlying: Common Stock · 3,906,667 shares Expires 2004-06-18 F2 · derivative.exercise_price: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F5 · derivative.exercise_price: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock. F2 · kind: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F5 · kind: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock. F2 · price: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F5 · price: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock. F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Read SEC document |
| December 16, 2003 Filed Dec 17, 2003 19:14 UTC | REGENCY CENTERS CORP REG · Entity 3380 | OtherCommon Stock, par value $0.01 per share | 3,906,667 | $30.22 | $118,043,068.74 |
DisclosureSEC source: 0001123292-03-000617 · edgar.xml · nonDerivative · entry 3 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 0 F2 · kind: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F5 · kind: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock. F5 · price: On December 16, 2003, SC Business Trust settled under its previously reported forward contract with JPMorgan Chase Bank, London Branch (the JPMorgan Forward Contract). In accordance with the terms of the JPMorgan Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the JPMorgan Forward Contract, to JPMorgan Chase Bank in exchange for a cash payment of approximately $30.2158 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). Upon settling the JPMorgan Forward Contract, the Citibank Forward Contract and the UBS Forward Contract, Security Capital owned no shares of Common Stock. F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Read SEC document |
| December 16, 2003 Filed Dec 18, 2003 21:13 UTC | VOLUME SERVICES AMERICA HOLDINGS INC CVP · Entity 14120 | SaleCommon Stock, par value $0.01 | 983,000 | $8.53 | $8,389,315.20 |
DisclosureSEC source: 0001209191-03-035780 · bny92565_gec.xml · nonDerivative · entry 1 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner RECREATIONAL SERVICES LLC · CIK 0001272049 · 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: Indirect · See Note 2 Disclosed balance after: 1,474,502 F1 · acquired: In connection with the initial public offering ("IPO") of 16,785,450 Income Deposit Securities ("IDSs"), representing 16,785,450 shares of Common Stock of the Issuer and $95,677,065 aggregate principal amount of the Issuer's 13.5% subordinated notes due 2013 ("Notes"), the underwriters exercised their over-allotment option in full, purchasing an additional 1,678,545 IDSs, representing 1,678,545 shares of Common Stock and $9,567,706.50 aggregate principal amount of Notes. The Issuer used the net proceeds from the sale of these additional IDSs to purchase from Recreational Services L.L.C. ("Recreational Services") 983,000 shares of Common Stock directly owned by Recreational Services prior to the IPO. F2 · ownership.direct: Recreational Services directly owns 1,474,502 shares of Common Stock. General Electric Capital Corporation ("GE Capital") is the managing member of Recreational Services and may be deemed to beneficially own the Common Stock owned by Recreational Services. General Electric Capital Services, Inc. ("GECS"), the parent corporation of GE Capital, and General Electric Company ("GE"), the parent corporation of GECS, may each be deemed to beneficially own the Common Stock owned by Recreational Services. F3 · ownership.direct: Information with respect to each of the Reporting Persons is given solely by such Reporting Persons, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Any disclosures made hereunder with respect to persons other than the Reporting Persons are made on information and belief after making appropriate inquiry. F4 · ownership.direct: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons herein states that the following shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned by Recreational Services. Read SEC document |
| December 15, 2003 Filed Dec 17, 2003 19:14 UTC | REGENCY CENTERS CORP REG · Entity 3380 | OtherPut equivalent position (obligation to sell) · Derivative | 4,200,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-03-000617 · edgar.xml · derivative · entry 5 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 0 Underlying: Common Stock · 4,200,000 shares Expires 2004-06-01 F2 · derivative.exercise_price: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F4 · derivative.exercise_price: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F2 · kind: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F4 · kind: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F2 · price: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F4 · price: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Read SEC document |
| December 15, 2003 Filed Dec 17, 2003 19:14 UTC | REGENCY CENTERS CORP REG · Entity 3380 | OtherPut equivalent position (obligation to sell) · Derivative | 4,080,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-03-000617 · edgar.xml · derivative · entry 4 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 0 Underlying: Common Stock · 4,080,000 shares Expires 2004-04-01 F2 · derivative.exercise_price: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F3 · derivative.exercise_price: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F2 · kind: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F3 · kind: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F2 · price: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F3 · price: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Read SEC document |
| December 15, 2003 Filed Dec 17, 2003 19:14 UTC | REGENCY CENTERS CORP REG · Entity 3380 | OtherCommon Stock, par value $0.01 per share | 4,200,000 | $30.04 | $126,169,680.00 |
DisclosureSEC source: 0001123292-03-000617 · edgar.xml · nonDerivative · entry 2 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 3,906,667 F2 · kind: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F4 · kind: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F4 · price: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with UBS AG, London Branch (the UBS Forward Contract). In accordance with the terms of the UBS Forward Contract, Security Capital delivered 4,200,000 shares of Common Stock, representing all of the shares of Common Stock subject to the UBS Forward Contract, to UBS AG, London Branch in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Read SEC document |
| December 15, 2003 Filed Dec 17, 2003 19:14 UTC | REGENCY CENTERS CORP REG · Entity 3380 | OtherCommon Stock, par value $0.01 per share | 4,080,000 | $30.04 | $122,564,832.00 |
DisclosureSEC source: 0001123292-03-000617 · edgar.xml · nonDerivative · entry 1 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 8,106,667 F2 · kind: As previously reported, on June 18, 2003, SC Business Trust entered into forward sale contracts with five unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts related to the disposition by SC Business Trust of an aggregate of 20,000,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payments at various agreed upon prices per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Business Trust. These contracts became effective on June 24, 2003. In September 2003, SC Business Trust settled under two of these forward contracts, disposing of 7,813,333 shares of Common Stock. F3 · kind: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F3 · price: On December 15, 2003, SC Business Trust settled under its previously reported forward contract with Citibank, N.A. (the Citibank Forward Contract). In accordance with the terms of the Citibank Forward Contract, Security Capital delivered 4,080,000 shares of Common Stock, representing all of the shares of Common Stock subject to the Citibank Forward Contract, to Citibank, N.A. in exchange for a cash payment of approximately $30.0404 per share (which is equal to $30.92 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Read SEC document |
| December 11, 2003 Filed Dec 12, 2003 16:34 UTC | MEDIA SERVICE GROUP INC MSGI · Entity 14017 | SaleCommon Stock | 2,900 | $6.26 | $18,162.99 |
DisclosureSEC source: 0000909518-03-000969 · gecc12-12_form4ex.xml · nonDerivative · entry 2 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: 304,822 F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a wholly owned subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. Read SEC document |
| December 10, 2003 Filed Dec 12, 2003 16:34 UTC | MEDIA SERVICE GROUP INC MSGI · Entity 14017 | SaleCommon Stock | 5,000 | $6.48 | $32,410.00 |
DisclosureSEC source: 0000909518-03-000969 · gecc12-12_form4ex.xml · nonDerivative · entry 1 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: 307,722 F1 · ownership.direct: General Electric Capital Corporation is a subsidiary of General Electric Capital Services, Inc., which is a wholly owned subsidiary of General Electric Company. General Electric Company and General Electric Capital Services, Inc. disclaim beneficial ownership of all shares owned by General Electric Capital Corporation. Read SEC document |
| December 10, 2003 Filed Dec 13, 2003 01:15 UTC | VOLUME SERVICES AMERICA HOLDINGS INC CVP · Entity 14120 | SaleCommon Stock, par value $0.01 per share | 2,485,162 | $7.06 | $17,541,018.94 |
DisclosureSEC source: 0001209191-03-034869 · bny92484_bny1gecc.xml · nonDerivative · entry 1 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner RECREATIONAL SERVICES LLC · CIK 0001272049 · 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: Indirect · See Note 2 Disclosed balance after: 2,457,502 F1 · acquired: In connection with its initial public offering ("IPO") of 16,785,450 Income Deposit Securities ("IDSs"), representing 16,785,450 shares of Common Stock and $95,677,065 aggregate principal amount of the Issuer's 13.5% subordinated notes due 2013, the Issuer used a portion of the proceeds of the offering to purchase from Recreational Services L.L.C. ("Recreational Services") 2,485,162 shares of Common Stock directly owned by Recreational Services prior to the IPO. F2 · ownership.direct: Recreational Services directly owns 2,457,502 shares of Common Stock. General Electric Capital Corporation ("GE Capital") is the managing member of Recreational Services and may be deemed to beneficially own the Common Stock owned by Recreational Services. General Electric Capital Services, Inc. ("GECS"), the parent corporation of GE Capital, and General Electric Company ("GE"), the parent corporation of GECS, may each be deemed to beneficially own the Common Stock owned by Recreational Services. F3 · ownership.direct: Information with respect to each of the Reporting Persons is given solely by such Reporting Persons, and no Reporting Person has responsibility for the accuracy or completeness of information supplied by another Reporting Person. Any disclosures made hereunder with respect to persons other than the Reporting Persons are made on information and belief after making appropriate inquiry. F4 · ownership.direct: Pursuant to Rule 16a-1(4) promulgated under the Securities Exchange Act of 1934, as amended, each of the Reporting Persons herein states that the following shall not be deemed an admission that he or it is the beneficial owner of any of the securities covered by this Statement. Each of GE Capital, GECS and GE disclaims beneficial ownership of the Common Stock directly owned Recreational Services. Read SEC document |
| September 26, 2003 Filed Oct 1, 2003 23:45 UTC Amendment | REGENCY CENTERS CORP REG · Entity 3380 | OtherPut equivalent position (obligation to sell) · Derivative | 3,906,666 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-03-000462 · edgar.xml · derivative · entry 4 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 3,906,667 Underlying: Common Stock · 3,906,666 shares Expires 2004-06-24 F2 · derivative.exercise_price: As previously reported, on June 18, 2003, SC Shopping Mall Business Trust entered into forward sale contracts with three unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts relate to the disposition by SC Shopping Mall Business Trust of an aggregate of 11,720,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payment equal to $31.1355 per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Shopping Mall Business Trust. These forward sales contracts became effective on June 24, 2003. F4 · derivative.exercise_price: On September 26, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Wachovia Bank, National Association (the Wachovia Forward Contract). In accordance with the terms of the Wachovia Forward Contract, Security Capital delivered 3,906,666 shares of Common Stock, representing all of the shares of Common Stock subject to the Wachovia Forward Contract, to Wachovia Bank, National Association in exchange for a cash payment of approximately $30.683 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F2 · kind: As previously reported, on June 18, 2003, SC Shopping Mall Business Trust entered into forward sale contracts with three unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts relate to the disposition by SC Shopping Mall Business Trust of an aggregate of 11,720,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payment equal to $31.1355 per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Shopping Mall Business Trust. These forward sales contracts became effective on June 24, 2003. F4 · kind: On September 26, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Wachovia Bank, National Association (the Wachovia Forward Contract). In accordance with the terms of the Wachovia Forward Contract, Security Capital delivered 3,906,666 shares of Common Stock, representing all of the shares of Common Stock subject to the Wachovia Forward Contract, to Wachovia Bank, National Association in exchange for a cash payment of approximately $30.683 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F2 · price: As previously reported, on June 18, 2003, SC Shopping Mall Business Trust entered into forward sale contracts with three unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts relate to the disposition by SC Shopping Mall Business Trust of an aggregate of 11,720,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payment equal to $31.1355 per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Shopping Mall Business Trust. These forward sales contracts became effective on June 24, 2003. F4 · price: On September 26, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Wachovia Bank, National Association (the Wachovia Forward Contract). In accordance with the terms of the Wachovia Forward Contract, Security Capital delivered 3,906,666 shares of Common Stock, representing all of the shares of Common Stock subject to the Wachovia Forward Contract, to Wachovia Bank, National Association in exchange for a cash payment of approximately $30.683 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Shopping Mall Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Read SEC document |
| September 26, 2003 Filed Oct 1, 2003 23:45 UTC Amendment | REGENCY CENTERS CORP REG · Entity 3380 | OtherCommon Stock, par value $0.01 per share | 3,906,666 | $30.68 | $119,868,232.88 |
DisclosureSEC source: 0001123292-03-000462 · edgar.xml · nonDerivative · entry 2 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 12,186,667 F2 · kind: As previously reported, on June 18, 2003, SC Shopping Mall Business Trust entered into forward sale contracts with three unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts relate to the disposition by SC Shopping Mall Business Trust of an aggregate of 11,720,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payment equal to $31.1355 per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Shopping Mall Business Trust. These forward sales contracts became effective on June 24, 2003. F4 · kind: On September 26, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Wachovia Bank, National Association (the Wachovia Forward Contract). In accordance with the terms of the Wachovia Forward Contract, Security Capital delivered 3,906,666 shares of Common Stock, representing all of the shares of Common Stock subject to the Wachovia Forward Contract, to Wachovia Bank, National Association in exchange for a cash payment of approximately $30.683 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F4 · price: On September 26, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Wachovia Bank, National Association (the Wachovia Forward Contract). In accordance with the terms of the Wachovia Forward Contract, Security Capital delivered 3,906,666 shares of Common Stock, representing all of the shares of Common Stock subject to the Wachovia Forward Contract, to Wachovia Bank, National Association in exchange for a cash payment of approximately $30.683 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Shopping Mall Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Read SEC document |
| September 25, 2003 Filed Oct 1, 2003 23:45 UTC Amendment | REGENCY CENTERS CORP REG · Entity 3380 | OtherPut equivalent position (obligation to sell) · Derivative | 3,906,667 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001123292-03-000462 · edgar.xml · derivative · entry 3 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 7,813,333 Underlying: Common Stock · 3,906,667 shares Expires 2004-06-24 F2 · derivative.exercise_price: As previously reported, on June 18, 2003, SC Shopping Mall Business Trust entered into forward sale contracts with three unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts relate to the disposition by SC Shopping Mall Business Trust of an aggregate of 11,720,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payment equal to $31.1355 per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Shopping Mall Business Trust. These forward sales contracts became effective on June 24, 2003. F3 · derivative.exercise_price: On September 25, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Merrill Lynch International (the ML Forward Contract). In accordance with the terms of the ML Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the ML Forward Contract, to Merrill Lynch International in exchange for a cash payment of approximately $30.682 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F2 · kind: As previously reported, on June 18, 2003, SC Shopping Mall Business Trust entered into forward sale contracts with three unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts relate to the disposition by SC Shopping Mall Business Trust of an aggregate of 11,720,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payment equal to $31.1355 per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Shopping Mall Business Trust. These forward sales contracts became effective on June 24, 2003. F3 · kind: On September 25, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Merrill Lynch International (the ML Forward Contract). In accordance with the terms of the ML Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the ML Forward Contract, to Merrill Lynch International in exchange for a cash payment of approximately $30.682 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F2 · price: As previously reported, on June 18, 2003, SC Shopping Mall Business Trust entered into forward sale contracts with three unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts relate to the disposition by SC Shopping Mall Business Trust of an aggregate of 11,720,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payment equal to $31.1355 per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Shopping Mall Business Trust. These forward sales contracts became effective on June 24, 2003. F3 · price: On September 25, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Merrill Lynch International (the ML Forward Contract). In accordance with the terms of the ML Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the ML Forward Contract, to Merrill Lynch International in exchange for a cash payment of approximately $30.682 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Shopping Mall Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. Read SEC document |
| September 25, 2003 Filed Oct 1, 2003 23:45 UTC Amendment | REGENCY CENTERS CORP REG · Entity 3380 | OtherCommon Stock, par value $0.01 per share | 3,906,667 | $30.68 | $119,864,356.89 |
DisclosureSEC source: 0001123292-03-000462 · edgar.xml · nonDerivative · entry 1 SECURITY CAPITAL GROUP INC/ · CIK 0000923687 · 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 GE CAPITAL INTERNATIONAL HOLDINGS CORP · CIK 0001265479 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · By subsidiary Disclosed balance after: 16,093,333 F2 · kind: As previously reported, on June 18, 2003, SC Shopping Mall Business Trust entered into forward sale contracts with three unaffiliated third party buyers pursuant to ISDA Master Agreements of even date therewith entered into with each such party. The contracts relate to the disposition by SC Shopping Mall Business Trust of an aggregate of 11,720,000 shares of common stock, par value $0.01 per share (Common Stock) of Regency Centers Corporation in exchange for a cash payment equal to $31.1355 per share, plus interest and minus the amount of dividends paid on the shares with record dates between June 18, 2003 and the settlement date (plus interest on those dividends). The contracts provide for settlement on one or more dates on or before June 24, 2004, to be specified by SC Shopping Mall Business Trust. These forward sales contracts became effective on June 24, 2003. F3 · kind: On September 25, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Merrill Lynch International (the ML Forward Contract). In accordance with the terms of the ML Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the ML Forward Contract, to Merrill Lynch International in exchange for a cash payment of approximately $30.682 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F3 · price: On September 25, 2003, SC Shopping Mall Business Trust settled under its previously reported forward contract with Merrill Lynch International (the ML Forward Contract). In accordance with the terms of the ML Forward Contract, Security Capital delivered 3,906,667 shares of Common Stock, representing all of the shares of Common Stock subject to the ML Forward Contract, to Merrill Lynch International in exchange for a cash payment of approximately $30.682 per share (which is equal to $31.1355 per share of Common Stock, plus interest and minus the amount of dividends paid on the Common Stock with record dates between June 18, 2003 and the settlement date (plus interest on those dividends)). F1 · ownership.nature: By Security Capital Shopping Mall Business Trust (SC Shopping Mall Business Trust), an indirect subsidiary of Security Capital Group Incorporated (Security Capital). Security Capital is a subsidiary of GE Capital International Holdings Corporation, which is a subsidiary of General Electric Capital Corporation (GE Capital). General Electric Capital Services, Inc. (GECS), the parent corporation of GE Capital, and General Electric Company (GE), the parent corporation of GECS, each disclaim beneficial ownership of all shares owned by GE Capital, and this report shall not be deemed to be an admission that either GECS or GE is the beneficial owner of such shares for purposes of Section 16 or any other purpose. 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 |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.