-----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, SucLZlR14d3zj8jfu0k5lirWHL5OOpxQ3JcbQkrnYIPveX9/RoQ6Qyx8OSrxUAkv 3VZJh4VSsNugZPFbeX0OOg== 0001019056-07-000044.txt : 20070117 0001019056-07-000044.hdr.sgml : 20070117 20070117172220 ACCESSION NUMBER: 0001019056-07-000044 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070117 DATE AS OF CHANGE: 20070117 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BRODY MARK S D/B/A/ FPA CENTRAL INDEX KEY: 0001168573 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 734 WALT WHITMAN RD STE 301 CITY: MELVILLE STATE: NY ZIP: 11747 BUSINESS PHONE: 5164238800 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: U S ENERGY SYSTEMS INC CENTRAL INDEX KEY: 0000351917 STANDARD INDUSTRIAL CLASSIFICATION: ELECTRIC, GAS & SANITARY SERVICES [4900] IRS NUMBER: 521216347 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-47687 FILM NUMBER: 07535844 BUSINESS ADDRESS: STREET 1: 545 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2125888901 MAIL ADDRESS: STREET 1: 545 MADISON AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 FORMER COMPANY: FORMER CONFORMED NAME: U S ENVIROSYSTEMS INC /DE/ DATE OF NAME CHANGE: 19960607 FORMER COMPANY: FORMER CONFORMED NAME: COGENIC ENERGY SYSTEMS INC DATE OF NAME CHANGE: 19940714 SC 13G/A 1 usenergy_13ga1.txt SCHEDULE 13G/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1)* U.S. ENERGY SYSTEMS, INC. ................................................................................. (Name of Issuer) Common Stock ................................................................................. (Title of Class of Securities) 9029511102 ................................................................................. (CUSIP Number) December 31, 2006 ................................................................................. (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) * 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 on 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. 9029511102 - -------------------------------------------------------------------------------- 1) Names of Reporting Persons I.R.S. Identification Nos. of Above Persons (entities only) Mark S. Brody, d/b/a Financial Planning Analysts - -------------------------------------------------------------------------------- 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 USA - -------------------------------------------------------------------------------- Number of (5) Sole Voting Power 200,000 Shares Bene- --------------------------------------------------- ficially (6) Shared Voting Power -0- Owned by Each --------------------------------------------------- Report- (7) Sole Dispositive Power 200,000 ing Person --------------------------------------------------- with (8) Shared Dispositive Power 2,581,833 - -------------------------------------------------------------------------------- 9) Aggregate Amount Beneficially Owned by Each Reporting Person 2,781,833 shares - -------------------------------------------------------------------------------- 10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) [ ] - -------------------------------------------------------------------------------- 11) Percent of Class Represented by Amount in Row 9 16.01% - -------------------------------------------------------------------------------- 12) Type of Reporting Person (See Instructions) IN** - -------------------------------------------------------------------------------- ** Reporting Person is an individual doing business under the name Financial Planning Analysts. 2 Item 1(a) Name of Issuer. U.S. Energy Systems, Inc. - -------------------------------------------------------------------------------- Item 1(b) Address of Issuer's Principal Executive Offices: 750 Lexington Avenue, 15th Floor New York, NY 10022 - -------------------------------------------------------------------------------- Item 2(a) Name of Person Filing: Mark S. Brody, d/b/a Financial Planning Analysts - -------------------------------------------------------------------------------- Item 2(b) Address of Principal Business Office or, if none, Residence: 734 Walt Whitman Road, Suite 301 Melville, New York 11747 - -------------------------------------------------------------------------------- Item 2(c) Citizenship: USA - -------------------------------------------------------------------------------- Item 2(d) Title of Class of Securities: Common Stock, $.01 Par Value - -------------------------------------------------------------------------------- Item 2(e) CUSIP Number: 9029511102 - -------------------------------------------------------------------------------- 3 Item 3. If this Statement is filed pursuant to Rules 13d-1(b), 13d-2(b) or (C), check whether the Person filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act. (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act. (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) [ ] Investment company registered under Section 8 of the Investment Company Act. (e) [ ] An investment adviser in accordance with Rule13d-1(b)(1)(ii) (E): (f) [ ] An employee benefit plan or endowment fund in accordance with Rule13d-1(b)(1)(ii) (F); (g) [ ] A parent holding company or control person in accordance with Rule13d-1(b)(1)(ii) (G); (h) [ ] A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule13d-1(b)(1)(ii) (J). None of the Above. This Statement is filed pursuant to Rule 13d-1(c). Item 4. Ownership (a) Amount beneficially owned: 2,781,833 shares of Common Stock of the Issuer. (b) Percent of Class: 16.01% (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 200,000 (ii) Shared power to vote or to direct the vote. -0- (iii) Sole power to dispose or to direct the disposition of 200,000 (iv) Shared power to dispose or to direct the disposition of 2,581,833 Item 5. Ownership of Five Percent of Less of a Class Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person. This Statement on Schedule 13G is being filed primarily with respect to shares of common stock of U.S. Energy Systems, Inc. held by the Reporting Person for the discretionary accounts of certain clients. Each client has the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, such common stock. To the Reporting Person's knowledge, no such individual interest relates to more than five percent of the shares outstanding for such common stock. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person. Not applicable. Item 8. Identification and Classification of Members of the Group Not applicable. 4 Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certifications By signing below I certify that, to the best of my 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 or 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, I certify that the information set forth in this statement is true, complete and correct. /s/ MARK S. BRODY, d/b/a Financial Planning Analysts Dated: January 17, 2007 ---------------------------------------------------- Mark S. Brody, d/b/a Financial Planning Analysts 5 -----END PRIVACY-ENHANCED MESSAGE-----