organization · Reporting owner

GE CAPITAL CFE INC

Disclosed activity across 2 companies

Tapewire entity: 13263
SEC CIK: 0001224822

Reported relationships

Latest disclosed role at each company.

Company	Last reported as	Report date	Published
ROTECH HEALTHCARE INCROHI · Entity 13665	10% owner	April 25, 2006	May 18, 2006

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.

ROTECH HEALTHCARE INC

Report date April 25, 2006 · Filed May 18, 2006

Jointly reported with GENERAL ELECTRIC CO, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GENERAL ELECTRIC CAPITAL CORP

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 row Row 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.

Past disclosures · reporting ended (1)

No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.

A123 SYSTEMS, INC.

Report date September 29, 2009 · Filed October 01, 2009

Jointly reported with GENERAL ELECTRIC CAPITAL CORP, GENERAL ELECTRIC CAPITAL SERVICES INC/CT, GE CAPITAL EQUITY INVESTMENTS 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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 row Row 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.

Transaction history

JSON API

Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction date	Company	Activity / security	Shares / units	Reported price	Reported value	Details
September 29, 2009 Filed Oct 1, 2009 20:31 UTC	A123 SYSTEMS, INC. AONE · Entity 13262	ConversionSeries F Convertible Preferred Stock · Derivative	1,631,191	Not disclosed	Not disclosed	Disclosure SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 9 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 1,631,191 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document
September 29, 2009 Filed Oct 1, 2009 20:31 UTC	A123 SYSTEMS, INC. AONE · Entity 13262	ConversionSeries E Convertible Preferred Stock · Derivative	1,808,068	Not disclosed	Not disclosed	Disclosure SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 8 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,497,918 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document
September 29, 2009 Filed Oct 1, 2009 20:31 UTC	A123 SYSTEMS, INC. AONE · Entity 13262	ConversionSeries D Convertible Preferred Stock · Derivative	2,382,925	Not disclosed	Not disclosed	Disclosure SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 7 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 2,382,925 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document
September 29, 2009 Filed Oct 1, 2009 20:31 UTC	A123 SYSTEMS, INC. AONE · Entity 13262	ConversionSeries C Convertible Preferred Stock · Derivative	800,945	Not disclosed	Not disclosed	Disclosure SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · derivative · entry 6 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 800,945 shares Expires not disclosed Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · derivative.exercise_price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.exercise_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · derivative.expiration_date: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F1 · ownership.direct: Directly owned by GE Capital CFE, Inc. ("GECFE"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document
September 29, 2009 Filed Oct 1, 2009 20:31 UTC	A123 SYSTEMS, INC. AONE · Entity 13262	ConversionCommon Stock	1,631,191	Not disclosed	Not disclosed	Disclosure SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 4 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,512,034 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document
September 29, 2009 Filed Oct 1, 2009 20:31 UTC	A123 SYSTEMS, INC. AONE · Entity 13262	ConversionCommon Stock	2,497,918	Not disclosed	Not disclosed	Disclosure SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 3 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,880,843 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document
September 29, 2009 Filed Oct 1, 2009 20:31 UTC	A123 SYSTEMS, INC. AONE · Entity 13262	ConversionCommon Stock	2,382,925	Not disclosed	Not disclosed	Disclosure SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 2 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,382,925 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F2 · ownership.direct: Directly owned by GE Capital Equity Investments, Inc. ("GECEI"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document
September 29, 2009 Filed Oct 1, 2009 20:31 UTC	A123 SYSTEMS, INC. AONE · Entity 13262	ConversionCommon Stock	800,945	Not disclosed	Not disclosed	Disclosure SEC source: 0000909518-09-000635 · gecc_a123form4ex.xml · nonDerivative · entry 1 GENERAL ELECTRIC CAPITAL CORP · CIK 0000040554 · 10% owner GENERAL ELECTRIC CAPITAL SERVICES INC/CT · CIK 0000797463 · See Exhibit 99.1 GE CAPITAL EQUITY INVESTMENTS INC · CIK 0001093083 · See Exhibit 99.1 GE CAPITAL CFE INC · CIK 0001224822 · See Exhibit 99.1 GPSF Securities, Inc. · CIK 0001472683 · See Exhibit 99.1 GENERAL ELECTRIC CO · CIK 0000040545 · See Exhibit 99.1 Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800,945 Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event. F4 · kind: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F4 · price: The Issuer's preferred stock reported herein is convertible at any time by the holder and has no expiration date, but is subject to mandatory conversion or redemption upon certain events. On September 30, 2009, upon the closing of the Issuer's initial public offering, each share of preferred stock reported herein converted automatically into one share of common stock, except that each share of Series E Convertible Preferred Stock converted automatically into 1.38154 shares of common stock. F1 · ownership.direct: Directly owned by GE Capital CFE, Inc. ("GECFE"). F5 · ownership.direct: Indirectly owned by General Electric Capital Corporation ("GE Capital") because, among other things, GPSF, GECFE, or GECEI, as the case may be, is a direct or indirect wholly-owned subsidiary of GE Capital. GPSF, GECFE, GECEI and GE Capital disclaim beneficial ownership except to the extent of their respective pecuniary interest. See Exhibit 99.1, incorporated by reference herein. Upon the closing of the of the Issuer's intial public offering, none of the Reporting Persons were 10% Owners. Read SEC document

Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.