-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DQvyyNiwOBrWHNY0RZgXM6Gbzut5yU0L7s41nZvBoXf14LWdY79Qc4J/czyjD6R9 RwjplYtAPi+P/5kJgQdbJQ== 0001019687-05-001071.txt : 20050418 0001019687-05-001071.hdr.sgml : 20050418 20050418093931 ACCESSION NUMBER: 0001019687-05-001071 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20050418 DATE AS OF CHANGE: 20050418 GROUP MEMBERS: LAMPE, CONWAY & CO. LLC GROUP MEMBERS: LC CAPITAL ADVISORS LLC GROUP MEMBERS: LC CAPITAL INTERNATIONAL LLC GROUP MEMBERS: LC CAPITAL MASTER FUND, LTD. GROUP MEMBERS: LC CAPITAL PARTNERS, LP. GROUP MEMBERS: RICHARD F. CONWAY GROUP MEMBERS: STEVEN G. LAMPE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GLOBIX CORP CENTRAL INDEX KEY: 0001003111 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMPUTER PROGRAMMING, DATA PROCESSING, ETC. [7370] IRS NUMBER: 133781263 STATE OF INCORPORATION: DE FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47401 FILM NUMBER: 05755463 BUSINESS ADDRESS: STREET 1: 139 CENTRE STREET CITY: NEW YORK STATE: NY ZIP: 10013 BUSINESS PHONE: 2125945300 FORMER COMPANY: FORMER CONFORMED NAME: BELL TECHNOLOGY GROUP LTD DATE OF NAME CHANGE: 19951106 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: LC CAPITAL MASTER FUND LTD CENTRAL INDEX KEY: 0001222051 IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: C/O LAMPE CONWAY & CO LLC STREET 2: 730 FIFTH AVENUE STE 1002 CITY: NEW YORK STATE: NY ZIP: 10019-4105 BUSINESS PHONE: 2125818989 SC 13G/A 1 lccmaster_13ga-030705.txt UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 ---------- AMENDMENT NO. 1 TO SCHEDULE 13G Under the Securities Exchange Act of 1934 GLOBIX CORPORATION - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.01 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 37957F200 ------------------------------------ (CUSIP Number) March 7, 2005 - -------------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [_] Rule 13d-1(b) [X] Rule 13d-1(c) [_] Rule 13d-1(d) CUSIP No. 37957F200 - -------------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) LC Capital Master Fund, Ltd. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Cayman Islands - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 shares SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power OWNED BY 5,363,639 shares EACH ----------------------------------------------------------------- REPORTING 7. Sole Dispositive Power PERSON 0 shares WITH: ----------------------------------------------------------------- 8. Shared Dispositive Power 5,363,639 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 363,639 shares - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.9 % - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) CO - -------------------------------------------------------------------------------- *See Instructions. CUSIP No. 37957F200 - -------------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) LC Capital Partners, L.P. - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 shares SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power OWNED BY 5,363,639 shares EACH ----------------------------------------------------------------- REPORTING 7. Sole Dispositive Power PERSON 0 shares WITH: ----------------------------------------------------------------- 8. Shared Dispositive Power 5,363,639 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 373,141 shares - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 11.0% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) PN, HC - -------------------------------------------------------------------------------- *See Instructions. CUSIP No. 37957F200 - -------------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) LC Capital Advisors LLC - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 shares SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power OWNED BY 5,363,639 shares EACH ----------------------------------------------------------------- REPORTING 7. Sole Dispositive Power PERSON 0 shares WITH: ----------------------------------------------------------------- 8. Shared Dispositive Power 5,363,639 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 5,363,639 shares - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.9% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) OO, HC - -------------------------------------------------------------------------------- *See Instructions. CUSIP No. 37957F200 - -------------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) Lampe, Conway & Co. LLC - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 shares SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power OWNED BY 5,363,639 shares EACH ----------------------------------------------------------------- REPORTING 7. Sole Dispositive Power PERSON 0 shares WITH: ----------------------------------------------------------------- 8. Shared Dispositive Power 5,363,639 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 5,363,639 shares - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.9% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) OO, IV - -------------------------------------------------------------------------------- *See Instructions. CUSIP No. 37957F200 - -------------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) LC Capital International LLC - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization Delaware - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 shares SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power OWNED BY 5,363,639 shares EACH ----------------------------------------------------------------- REPORTING 7. Sole Dispositive Power PERSON 0 shares WITH: ----------------------------------------------------------------- 8. Shared Dispositive Power 5,363,639 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 5,363,639 shares - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.9% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) OO, IA - -------------------------------------------------------------------------------- *See Instructions. CUSIP No. 37957F200 - -------------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) Steven G. Lampe - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 shares SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power OWNED BY 5,373,141 shares EACH ----------------------------------------------------------------- REPORTING 7. Sole Dispositive Power PERSON 0 shares WITH: ----------------------------------------------------------------- 8. Shared Dispositive Power 5,373,141 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 5,363,639 shares - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.9% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- *See Instructions. CUSIP No. 37957F200 - -------------------------------------------------------------------------------- 1. Name of Reporting Persons I.R.S. Identification Nos. of above persons (entities only) Richard F. Conway - -------------------------------------------------------------------------------- 2. Check the Appropriate Box If a Member of a Group (See Instructions) (a) [_] (b) [_] - -------------------------------------------------------------------------------- 3. SEC Use Only - -------------------------------------------------------------------------------- 4. Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- 5. Sole Voting Power NUMBER OF 0 shares SHARES ----------------------------------------------------------------- BENEFICIALLY 6. Shared Voting Power OWNED BY 5,363,639 shares EACH ----------------------------------------------------------------- REPORTING 7. Sole Dispositive Power PERSON 0 shares WITH: ----------------------------------------------------------------- 8. Shared Dispositive Power 5,363,639 shares - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 5,363,639 shares - -------------------------------------------------------------------------------- 10. Check Box If the Aggregate Amount in Row (9) Excludes Certain Shares CERTAIN SHARES* [_] - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 10.9% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- *See Instructions. Item 1(a). Name of Issuer: GLOBIX CORPORATION Item 1(b). Address of Issuer's Principal Executive Offices: 139 Centre Street New York, NY 10013 Item 2(a). Name of Person Filing: Pursuant to Rule 13d-1(k)(1) under the Securities Exchange Act of 1934, as amended, this Schedule 13G is filed on behalf of each of the reporting persons indicated in Item 1 of each of the cover pages of this Schedule 13G. The information required by this paragraph is set forth in Item 1 of each of the cover pages of this Schedule 13G and is incorporated herein by reference. Item 2(b). Address of Principal Business Office or, if None, Residence: The information required by this paragraph is set forth on Annex A attached hereto and is incorporated herein by reference. Item 2(c). Citizenship: The information required by this paragraph is set forth in Item 4 of each of the cover pages of this Schedule 13G and is incorporated herein by reference. Item 2(d). Title of Class of Securities: common stock, $.01 par value ("Common Stock") Item 2(e). CUSIP Number: 37957F200 Item 3. Not applicable. Item 4. Ownership. (a) Amount Beneficially Owned: The information required by this paragraph is set forth in Item 9 of each of the cover pages of this Schedule 13G and is incorporated herein by reference. LC Capital Master Fund, Ltd. (the "Master Fund") directly holds 4,901,177 shares of the Issuer's Common Stock, par value $0.01 per share (the "Common Stock") and 462,462 shares of the Issuer's preferred stock (the "Preferred Stock" and together with the Common Stock the "Shares"), which is convertible into Common Stock on a share-for-share basis. The Shares were acquired in separate transactions as follows: 770,646 shares of Common Stock were acquired on October 16, 2002; 449,171 shares of Common Stock were acquired on September 22, 2003; and 3,226,815 shares of Common Stock and 462,462 shares of Preferred Stock were acquired on the conversion of common stock and preferred stock of NEON Communications, Inc. ("NEON") into shares of Common Stock and Preferred Stock in connection with the merger of NEON with a subsidiary of the Issuer on March 7, 2005 (the "Merger"). The Shares listed above also include 454,545 shares of Common Stock acquired upon a debt-for-equity exchange with the Issuer that took place concurrently with the Merger. In the Merger, Steven C. Lampe also acquired an option to purchase 9,502 shares of Common Stock upon the conversion of options to purchase NEON common stock issuable under the NEON 2003 Directors' Stock Option Plan. .. LC Capital Partners, LP ("Partners") may be deemed to control the Master Fund by virtue of Partners' ownership of approximately 54.31% of the outstanding shares of the Master Fund. Accordingly, Partners may be deemed to have a beneficial interest in the Shares. In addition, since LC Capital Advisors LLC ("Advisors") is the sole general partner of Partners, Advisors may also be deemed to have a beneficial interest in the Shares. Each of Partners and Advisors disclaims beneficial ownership of the Shares except to the extent of their respective beneficial interests, if any, therein. Lampe, Conway & Co. LLC ("LC&C") acts as investment manager to Partners and the Master Fund pursuant to certain investment management agreements. LC Capital International LLC ("International") acts as investment advisor to the Master Fund pursuant to an investment advisory agreement. Since LC&C and International share voting and dispositive power over the Shares by virtue of the aforementioned agreements (the "Agreements"), LC&C and International may each be deemed to have a beneficial interest in the Shares. Each of LC&C and International disclaims beneficial ownership of the Shares except to the extent of their respective beneficial interests, if any, therein. Steven G. Lampe ("Lampe") and Richard F. Conway ("Conway") act as the sole managing members of each of Advisors, LC&C and International and each of Lampe and Conway may be deemed to control each such entity. Accordingly, each of Lampe and Conway may be deemed to have a beneficial interest in the Shares by virtue of Advisors' indirect deemed control of the Master Fund and LC&C's and International's respective power to vote and/or dispose of the Shares pursuant to the Agreements. Each of Lampe and Conway disclaims beneficial ownership of the Shares except to the extent of their respective beneficial interests, if any, therein. (b) Percent of Class: The information required by this paragraph is set forth in Item 11 of each of the cover pages of this Schedule 13G and is incorporated herein by reference. The information in Item 4(a) above is incorporated herein by reference. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: The information required by this subparagraph is set forth in Item 5 of each of the cover pages of this Schedule 13G and is incorporated herein by reference. In addition, the information in Item 4(a) above is incorporated herein by reference. (ii) Shared power to vote or to direct the vote: The information required by this subparagraph is set forth in Item 6 of each of the cover pages of this Schedule 13G and is incorporated herein by reference. In addition, the information in Item 4(a) above is incorporated herein by reference. (iii) Sole power to dispose or to direct the disposition of: The information required by this subparagraph is set forth in Item 7 of each of the cover pages of this Schedule 13G and is incorporated herein by reference. In addition, the information in Item 4(a) above is incorporated herein by reference. (iv) Shared power to dispose or to direct the disposition of: The information required by this subparagraph is set forth in Item 8 of each of the cover pages of this Schedule 13G and is incorporated herein by reference. In addition, the information in Item 4(a) above is incorporated herein by reference. Item 5. Ownership of Five Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than five percent of the class of securities, check the following [ ]. Item 6. Ownership of More Than Five Percent on Behalf of Another Person. Not Applicable Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. The Master Fund directly acquired all of the Shares being reported on by Partners and Advisors. Partners directly holds approximately 54.31% of the outstanding shares of the Master Fund and may be deemed to control the Master Fund. Advisors is the sole general partner of Partners and may also be deemed to control the Master Fund. Item 8. Identification and Classification of Members of the Group. Not Applicable Item 9. Notice of Dissolution of Group. Not applicable Item 10. Certification. By signing below, each of the undersigned certifies that, to the best of his or its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct Date: April 15, 2005 LC Capital Master Fund, Ltd. By: /s/ LC Capital Master Fund, Ltd. ---------------------------------- Name: Title: Date: April 15, 2005 LC Capital Partners, LP By: LC Capital Advisors LLC, its General Partner By: /s/ LC Capital Partners, LP ---------------------------------- Name: Title: Date: April 15, 2005 LC Capital Advisors LLC By: /s/ LC Capital Advisors LLC ---------------------------------- Name: Title: Date: April 15, 2005 Lampe, Conway & Co. LLC By: /s/ Lampe, Conway & Co. LLC ---------------------------------- Name: Title: Date: April 15, 2005 LC Capital International LLC By: /s/ LC Capital International LLC ---------------------------------- Name: Title: Date: April 15, 2005 /s/ Steven G. Lampe -------------------------------------- Steven G. Lampe Date: April 15, 2005 /s/ Richard F. Conway -------------------------------------- Richard F. Conway ANNEX A ------- Address of Principal Business Office or, if none, Residence ----------------------------------------------------------- LC Capital Master Fund, Ltd. c/o Trident Fund Services (B.V.I.) Limited P.O. Box 146 Waterfront Drive Wickhams Cay Road Town, Tortola British Virgin Islands LC Capital Partners, LP 680 Fifth Avenue, Suite 1202 New York, NY 10019 LC Capital Advisors LLC 680 Fifth Avenue, Suite 1202 New York, NY 10019 Lampe, Conway & Co. LLC 680 Fifth Avenue, Suite 1202 New York, NY 10019 LC Capital International LLC 680 Fifth Avenue, Suite 1202 New York, NY 10019 Steven G. Lampe 680 Fifth Avenue, Suite 1202 New York, NY 10019 Richard F. Conway 680 Fifth Avenue, Suite 1202 New York, NY 10019 EX-1 2 lccmaster_13gaex-1.txt EXHIBIT 1 --------- Agreement of Joint Filing ------------------------- In accordance with Rule 13d-1(k)(1), promulgated under the Securities Exchange Act of 1934, as amended, each of the undersigned hereby agrees to the joint filing on behalf of each of them of a Statement on Schedule 13G, and any amendments thereto, with respect to the Common Stock, $0.01 par value per share, of Globix Corporation and that this Agreement may be included as an Exhibit to such filing. This Agreement may be executed in any number of counterparts, each of which shall be deemed to be an original and all of which together shall be deemed to constitute one and the same Agreement. IN WITNESS WHEREOF, each of the undersigned hereby executes this Agreement as of April ___, 2005. LC Capital Master Fund, Ltd. By: ------------------------------------------------- Name: Title: LC Capital Partners, LP By: LC Capital Advisors LLC, its General Partner By: ------------------------------------------------- Name: Title: LC Capital Advisors LLC By: ------------------------------------------------- Name: Title: Lampe, Conway & Co. LLC By: ------------------------------------------------- Name: Title: LC Capital International LLC By: ------------------------------------------------- Name: Title: ------------------------------------------------------ Steven G. Lampe ------------------------------------------------------ Richard F. Conway -----END PRIVACY-ENHANCED MESSAGE-----