-----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, A1sEJHl9du4pftrGJbqbSliEqK6M8ebATLLqorE1AimIXFPDk7zyJpDAVP1svtte fFzKdtwQ6XbGltBQh+cMug== 0000950130-02-000854.txt : 20020414 0000950130-02-000854.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950130-02-000854 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020214 GROUP MEMBERS: GE ASSET MANAGEMENT INCORPORATED GROUP MEMBERS: GENERAL ELECTRIC COMPANY SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CHARLES & COLVARD LTD CENTRAL INDEX KEY: 0001015155 STANDARD INDUSTRIAL CLASSIFICATION: JEWELRY, SILVERWARE & PLATED WARE [3910] IRS NUMBER: 560308470 STATE OF INCORPORATION: NC FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-53115 FILM NUMBER: 02543701 BUSINESS ADDRESS: STREET 1: 3800 GATEWAY GLVD STREET 2: SUITE 310 CITY: MORRISVILE STATE: NC ZIP: 27560 BUSINESS PHONE: 9194680399 MAIL ADDRESS: STREET 1: PO BOX 13533 CITY: RESEARCH TRIANGLE PA STATE: NC ZIP: 27709-3533 FORMER COMPANY: FORMER CONFORMED NAME: C3 INC /NC/ DATE OF NAME CHANGE: 19970829 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TRUSTEES OF GENERAL ELECTRIC PENSION TRUST CENTRAL INDEX KEY: 0000902967 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 3003 SUMMER STREET STREET 2: P O BOX 7900 CITY: STAMFORD STATE: CT ZIP: 06904-7900 BUSINESS PHONE: 2033262300 SC 13G/A 1 dsc13ga.txt AMENDMENT # 3 TO SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Amendment No. 3) Under the Securities Exchange Act of 1934 Charles & Colvard Ltd. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK - -------------------------------------------------------------------------------- (Title of Class of Securities) 22942P109 -------------- (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- (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) [_] Rule 13d-1(c) [X] Rule 13d-1(d) The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 229 42 P 109 - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). Trustees of General Electric Pension Trust I.R.S. # 14-6015763 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION State of New York - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF None SHARES -------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY EACH 505,737 REPORTING -------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER. WITH: None -------------------------------------------------------- 8. SHARED DISPOSITIVE POWER. 505,737 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 505,737 - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.8% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) EP - -------------------------------------------------------------------------------- 2 OF 9 CUSIP No. 229 42 P 109 - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). GE Asset Management Incorporated, as Investment Manager of GEPT (as defined below) I.R.S. #06-1238874 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION State of Delaware - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF None SHARES -------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY EACH 505,737 REPORTING -------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER. WITH: None -------------------------------------------------------- 8. SHARED DISPOSITIVE POWER. 505,737 - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 505,737 - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.8% - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IA, CO - -------------------------------------------------------------------------------- 3 OF 9 CUSIP NO. 229 42 P 109 - -------------------------------------------------------------------------------- 1. NAMES OF REPORTING PERSONS. I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY). General Electric Company I.R.S. #06-1238874 - -------------------------------------------------------------------------------- 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [_] (b) [X] - -------------------------------------------------------------------------------- 3. SEC USE ONLY - -------------------------------------------------------------------------------- 4. CITIZENSHIP OR PLACE OF ORGANIZATION State of New York - -------------------------------------------------------------------------------- 5. SOLE VOTING POWER NUMBER OF 0 SHARES -------------------------------------------------------- BENEFICIALLY 6. SHARED VOTING POWER OWNED BY EACH Disclaimed (see 9 below) REPORTING -------------------------------------------------------- PERSON 7. SOLE DISPOSITIVE POWER. WITH: 0 -------------------------------------------------------- 8. SHARED DISPOSITIVE POWER. Disclaimed (see 9 below) - -------------------------------------------------------------------------------- 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON Beneficial ownership of all shares disclaimed by General Electric Company - -------------------------------------------------------------------------------- 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS) [X] Disclaimed (see 9 above) - -------------------------------------------------------------------------------- 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) Not applicable (see 9 above) - -------------------------------------------------------------------------------- 12. TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) CO - -------------------------------------------------------------------------------- 4 OF 9 INTRODUCTORY NOTE: This Amendment No. 3 amends the Statement on Schedule 13G filed on behalf of General Electric Company, a New York corporation ("GE"), GE Asset Management Incorporated, a Delaware corporation and a wholly owned subsidiary of GE ("GEAM"), and the Trustees of General Electric Pension Trust, a New York common law trust ("GEPT"), on February 13, 1998, as amended on February 14, 1999 and as amended on February 14, 2001 (as amended, the "Schedule 13G"). This Amendment No. 3 is filed on behalf of GE, GEAM and GEPT. GEAM is a registered investment adviser and acts as Investment Manager of GEPT. GEAM may be deemed to be the beneficial owner of 505,737 shares of Common Stock of Charles & Colvard Ltd., (the "Issuer") owned by GEPT. GEAM and GEPT each expressly disclaim that they are members of a "group." GE disclaims beneficial ownership of all shares and expressly disclaims that it is a member of a "group." The Items from Schedule 13G are hereby amended to read as follows: Item 4 Ownership - -----------------
GEPT GEAM GE (a) Amount beneficially owned 505,737 505,737 Disclaimed (b) Percent of class 3.8% 3.8% Disclaimed (c) No. of shares to which person has (i) sole power to vote or direct the vote None None None (ii) shared power to vote or direct 505,737 505,737 Disclaimed (iii) sole power to dispose or to direct disposition None None None (iv) share power to dispose or to direct disposition 505,737 505,737 Disclaimed
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: [X] 5 of 9 Item 10 Certification - --------------------- By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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. 6 of 9 SIGNATURE After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Dated: February 14, 2002 GENERAL ELECTRIC PENSION TRUST By: GE Asset Management Incorporated, its Investment Manager By: /s/ Michael M. Pastore ------------------------------------- Name: Michael M. Pastore Title: Vice President GE ASSET MANAGEMENT INCORPORATED By: /s/ Michael M. Pastore ------------------------------------- Name: Michael M. Pastore Title: Vice President GENERAL ELECTRIC COMPANY By: /s/ John H. Myers ------------------------------------- Name: John H. Myers Title: Vice President 7 of 9 Schedule I JOINT FILING AGREEMENT This will confirm the agreement by and between all the undersigned that the Schedule 13G on or about this date and any amendments thereto with respect to the beneficial ownership by the undersigned of shares of the Common Stock of Charles & Colvard Ltd. is being filed on behalf of each of the undersigned. Dated: February 14, 2002 GENERAL ELECTRIC PENSION TRUST By: GE Asset Management Incorporated, its Investment Manager By: /s/ Michael M. Pastore ------------------------------------- Name: Michael M. Pastore Title: Vice President GE ASSET MANAGEMENT INCORPORATED By: /s/ Michael M. Pastore ------------------------------------- Name: Michael M. Pastore Title: Vice President GENERAL ELECTRIC COMPANY By: /s/ John H. Myers ------------------------------------- Name: John H. Myers Title: Vice President 8 of 9 Schedule II TRUSTEES OF GENERAL ELECTRIC PENSION TRUST 3003 Summer Street, P.O. Box 7900 Stamford, Connecticut 06904 The names of the Trustees of General Electric Pension Trust are as follows: Eugene K. Bolton Michael J. Cosgrove Ralph R. Layman Alan M. Lewis Robert A. MacDougall John H. Myers Donald W. Torey John J. Walker 9 of 9 -----END PRIVACY-ENHANCED MESSAGE-----