organization · Reporting owner
MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC
Disclosed activity across 1 company
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Latest disclosed role at each company.
No relationships currently tracked through insider filings.
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.
No balances currently tracked through insider filings.
Past disclosures · reporting ended (1)
No longer tracked through insider filings. These historical balances do not imply present ownership or a zero position.
ELECTRIC CITY CORP
Report date December 19, 2003 · Filed April 26, 2004
Jointly reported with MORGAN STANLEY, MSDW OIP INVESTORS INC, MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP
Section 16 reporting ended · disclosed 2004-04-26. Current position is not established by this disclosure.
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | IndirectSee footnotes | 25,068 |
Last balance in matching sequence
After 2004-03-19 transaction · row 4
Source-order balances reconcile. Account continuity and personal attribution are not independently verified.
4 source rowsRow 1 · 2003-12-19 · Sale · Disposed 32,086 · Balance 48,131 F3: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Row 2 · 2004-01-20 · Sale · Disposed 23,063 · Balance 25,068 F4: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Row 3 · 2004-03-19 · Conversion · Acquired 1,000,000 · Balance 1,025,068 F5: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Row 4 · 2004-03-19 · Sale · Disposed 1,000,000 · Balance 25,068 F5: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes. | 347,432 |
Reported balance
After 2003-12-19 transaction · row 5
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 5 · 2003-12-19 · Sale · Disposed 160,000 · Balance 347,432 F9: The transaction is not an exercise or a conversion of derivative security. F3: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes. | 232,432 |
Reported balance
After 2004-01-20 transaction · row 7
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 7 · 2004-01-20 · Sale · Disposed 115,000 · Balance 232,432 F9: The transaction is not an exercise or a conversion of derivative security. F4: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security · Conversion / exercise price $10.00 | IndirectSee footnotes. | 132,432 |
Reported balance
After 2004-03-19 transaction · row 9
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 9 · 2004-03-19 · Conversion · Disposed 100,000 · Balance 132,432 F5: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Expires 2008-07-08 | IndirectSee footnotes. | 427,500 |
Reported balance
After 2003-12-19 transaction · row 6
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 6 · 2003-12-19 · Sale · Disposed 300,000 · Balance 427,500 F9: The transaction is not an exercise or a conversion of derivative security. F3: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). |
| Warrants to Purchase Common StockSEC Table II · derivative / convertible security · Expires 2008-07-08 | IndirectSee footnotes. | 234,375 |
Reported balance
After 2004-01-20 transaction · row 8
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 8 · 2004-01-20 · Sale · Disposed 215,625 · Balance 234,375 F9: The transaction is not an exercise or a conversion of derivative security. F4: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 84,859 |
Reported balance
After 2004-03-19 transaction · row 10
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 10 · 2004-03-19 · Other · Disposed 47,573 · Balance 84,859 F9: The transaction is not an exercise or a conversion of derivative security. F6: Equity Funding tendered 45,194 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $587,522, or $13 per share. Originators tendered 2,379 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $30,927, or $13 per share. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). |
| Series A Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 0 |
Reported balance
After 2004-03-19 transaction · row 11
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 11 · 2004-03-19 · Other · Disposed 84,859 · Balance 0 F9: The transaction is not an exercise or a conversion of derivative security. F7: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). |
| Series E Convertible Preferred StockSEC Table II · derivative / convertible security | IndirectSee footnotes | 8,486 |
Reported balance
After 2004-03-19 transaction · row 12
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 12 · 2004-03-19 · Other · Acquired 8,486 · Balance 8,486 F9: The transaction is not an exercise or a conversion of derivative security. F7: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock. F8: None. F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). |
Filing footnotes · ownership attribution and instrument terms
F1: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP").
F2: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding.
F3: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties.
F4: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties.
F5: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties.
F6: Equity Funding tendered 45,194 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $587,522, or $13 per share. Originators tendered 2,379 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $30,927, or $13 per share.
F7: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock.
F8: None.
F9: The transaction is not an exercise or a conversion of derivative security.
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 |
|---|---|---|---|---|---|---|
| March 19, 2004 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | OtherSeries E Convertible Preferred Stock · Derivative | 8,486 | $100.00 | $848,600.00 |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · derivative · entry 12 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 8,486 Underlying: Common Stock · 848,600 shares Expires not disclosed F9 · derivative.exercise_price: The transaction is not an exercise or a conversion of derivative security. F7 · price: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock. F8 · derivative.expiration_date: None. F7 · derivative.underlying_shares: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock. F2 · balance_after: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| March 19, 2004 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | OtherSeries A Convertible Preferred Stock · Derivative | 84,859 | $10.00 | $848,590.00 |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · derivative · entry 11 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 0 Underlying: Common Stock · 848,590 shares Expires not disclosed F9 · derivative.exercise_price: The transaction is not an exercise or a conversion of derivative security. F7 · price: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock. F8 · derivative.expiration_date: None. F7 · derivative.underlying_shares: Equity Funding tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 806,164 shares) in exchange for 8,062 shares of Series E Preferred Stock. Originators tendered for redemption, and the Issuer redeemed, all of its remaining shares of Series A Preferred Stock stock at the rate of 10 for 1, to the Issuer (or 42,426 shares) in exchange for 424 shares of Series E Preferred Stock. Each share of Series A Preferred Stock was convertible into 10 shares of common stock and each share of Series E Preferred Stock is convertible into 100 shares of common stock. F2 · balance_after: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| March 19, 2004 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | OtherSeries A Convertible Preferred Stock · Derivative | 47,573 | $13.00 | $618,449.00 |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · derivative · entry 10 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 84,859 Underlying: Common Stock · 475,730 shares Expires not disclosed F9 · derivative.exercise_price: The transaction is not an exercise or a conversion of derivative security. F6 · price: Equity Funding tendered 45,194 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $587,522, or $13 per share. Originators tendered 2,379 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $30,927, or $13 per share. F8 · derivative.expiration_date: None. F6 · derivative.underlying_shares: Equity Funding tendered 45,194 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $587,522, or $13 per share. Originators tendered 2,379 shares of Series A Preferred Stock to the Issuer, and the Issuer redeemed such shares for a purchase price of $30,927, or $13 per share. F2 · balance_after: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| March 19, 2004 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | ConversionSeries A Convertible Preferred Stock · Derivative | 100,000 | Not disclosed Strike: $10.00 | Not disclosed |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · derivative · entry 9 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes. Disclosed balance after: 132,432 Underlying: Common Stock · 1,000,000 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. F5 · price: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F8 · derivative.expiration_date: None. F5 · derivative.underlying_shares: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F2 · balance_after: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| March 19, 2004 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | SaleCommon Stock | 1,000,000 | $1.00 | $1,000,000.00 |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · nonDerivative · entry 4 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 25,068 F5 · price: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| March 19, 2004 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | ConversionCommon Stock | 1,000,000 | $1.00 | $1,000,000.00 |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · nonDerivative · entry 3 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 1,025,068 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. F5 · price: Equity Funding converted 95,000 shares of Series A Preferred Stock into 950,000 shares of Common Stock and sold such shares for a purchase price of $950,000, or $1 per share, in a private sale to third parties. Originators converted 5,000 shares of Series A Preferred Stock into 50,000 shares of Common Stock and sold such shares of such Common Stock for a purchase price of $50,000, or $1 per share in a private sale to third parties. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| January 20, 2004 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | SaleWarrants to Purchase Common Stock · Derivative | 215,625 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · derivative · entry 8 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes. Disclosed balance after: 234,375 Underlying: Common Stock · 215,625 shares Expires 2008-07-08 F9 · derivative.exercise_price: The transaction is not an exercise or a conversion of derivative security. F4 · price: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F4 · derivative.underlying_shares: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F2 · balance_after: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| January 20, 2004 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | SaleSeries A Convertible Preferred Stock · Derivative | 115,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · derivative · entry 7 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes. Disclosed balance after: 232,432 Underlying: Common Stock · 1,150,000 shares Expires not disclosed F9 · derivative.exercise_price: The transaction is not an exercise or a conversion of derivative security. F4 · price: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F8 · derivative.expiration_date: None. F4 · derivative.underlying_shares: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F2 · balance_after: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| January 20, 2004 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | SaleCommon Stock | 23,063 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · nonDerivative · entry 2 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 25,068 F4 · shares: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F4 · price: Equity Funding sold 109,250 shares of Series A Preferred Stock, 21,910 shares of Common Stock and 204,844 Common Stock Warrants for an aggregate purchase price of of $1,092,500 directly beneficially owned by it. Originators sold 5,750 shares of Series A Preferred Stock, 1,153 shares of Common Stock and 10,781 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $57,500 in a private sale to third parties. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| December 19, 2003 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | SaleWarrants to Purchase Common Stock · Derivative | 300,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · derivative · entry 6 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes. Disclosed balance after: 427,500 Underlying: Common Stock · 300,000 shares Expires 2008-07-08 F9 · derivative.exercise_price: The transaction is not an exercise or a conversion of derivative security. F3 · price: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F3 · derivative.underlying_shares: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F2 · balance_after: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| December 19, 2003 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | SaleSeries A Convertible Preferred Stock · Derivative | 160,000 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · derivative · entry 5 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes. Disclosed balance after: 347,432 Underlying: Common Stock · 1,600,000 shares Expires not disclosed F9 · derivative.exercise_price: The transaction is not an exercise or a conversion of derivative security. F3 · price: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F8 · derivative.expiration_date: None. F3 · derivative.underlying_shares: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F2 · balance_after: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. Read SEC document |
| December 19, 2003 Filed Apr 26, 2004 20:49 UTC | ELECTRIC CITY CORP ELC · Entity 14061 | SaleCommon Stock | 32,086 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001209191-04-021997 · bny96539_elcnew.xml · nonDerivative · entry 1 MORGAN STANLEY · CIK 0000895421 · 10% owner MORGAN STANLEY DEAN WITTER EQUITY FUNDING INC · CIK 0001208129 · 10% owner MSDW OIP INVESTORS INC · CIK 0001208132 · 10% owner MSDW OIP INVESTORS INC GENERAL PRTNRS ORIG INV PLAN LP · CIK 0001286996 · 10% owner Joint disclosure: these amounts are not allocated separately to each reporting owner. 10b5-1 filing: Not disclosed Ownership: Indirect · See footnotes Disclosed balance after: 48,131 F3 · shares: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F3 · price: Equity Funding sold 152,000 shares of Series A Preferred Stock, 30,482 shares of Common Stock and 285,000 Common Stock Warrants for an aggregate purchase price of of $1,520,000 directly beneficially owned by it. Originators sold 8,000 shares of Series A Preferred Stock, 1,604 shares of Common Stock and 15,000 Common Stock Warrants directly beneficially owned by it for an aggregate purchase price of $80,000 in a private sale to third parties. F1 · ownership.nature: This statement is being filed by each of the following persons (the "Reporting Persons") pursuant to Rule 16a-3(j) promulgated by the Securities and Exchange Commission (the "Commission") pursuant to Section 16 of the Securities Exchange Act of 1934, as amended (the "Exchange Act"): Morgan Stanley, a Delaware corporation ("MS"), Morgan Stanley Dean Witter Equity Funding, Inc., a Delaware corporation ("Equity Funding", Originators Investment Plan, L.P., a Delaware limited partnership ("Originators") and MSDW OIP Investors, L.P., a Delaware limited partnership ("OIP"). F2 · ownership.nature: MS and OIP disclaim beneficial ownership of the securities of the Issuer directly beneficially owned by Originators and Equity Funding, respectively, except to the extent of their respective pecuniary interests therein. As of the date hereof, (i) Equity Funding directly beneficially owns 23,814 shares of Common Stock, 222,656 Common Stock Warrants and 8,062 shares of Series E Preferred Stock; and (ii) Originators directly beneficially owns 1,254 shares of Common Stock, 11,719 Common Stock Warrants and 424 shares of Series E Preferred Stock. The sole general partner of Originators is OIP, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators. OIP and Equity Funding are a wholly-owned subsidiaries of MS, which may be deemed to indirectly beneficially own the securities directly beneficially owned by Originators and Equity Funding. 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.