-----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, T1OONhPLXcILZbxNNpPwqBnOHts1k7VxvYbYTpok9plR/KcajLCr1Kiva15VIIDz LZzh7DvX2gdF37Nf1dIx/Q== 0000922423-06-000279.txt : 20060214 0000922423-06-000279.hdr.sgml : 20060214 20060214170052 ACCESSION NUMBER: 0000922423-06-000279 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060214 DATE AS OF CHANGE: 20060214 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FIRST NEW YORK SECURITIES LLC /NY CENTRAL INDEX KEY: 0001111629 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 850 THIRD AVENUE 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 MAIL ADDRESS: STREET 1: 850 THIRD AVENUE 17TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ENVIRONMENTAL POWER CORP CENTRAL INDEX KEY: 0000805012 STANDARD INDUSTRIAL CLASSIFICATION: COGENERATION SERVICES & SMALL POWER PRODUCERS [4991] IRS NUMBER: 042782065 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-39155 FILM NUMBER: 06616686 BUSINESS ADDRESS: STREET 1: ONE CATE STREET STREET 2: 4TH FLOOR CITY: PORTSMOUTH STATE: NH ZIP: 03801 BUSINESS PHONE: 6034311780 MAIL ADDRESS: STREET 1: ONE CATE STREET STREET 2: 4TH FLOOR CITY: PORTSMOUTH STATE: NH ZIP: 03801 SC 13G/A 1 kl02049_sc13g-a.txt SCHEDULE 13G FINAL AMENDMENT SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ------------ Under the Securities Exchange Act of 1934 SCHEDULE 13G AMENDMENT NO.1 INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 Environmental Power Corporation ------------------------------- (Name of Issuer) Common Stock, par value $0.01 per share --------------------------------------- (Title of Class of Securities) 29406L201 --------- (CUSIP Number) December 31, 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) Page 1 of 10 Pages SCHEDULE 13G CUSIP No. 29406L201 Page 2 of 10 Pages - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON First New York Securities L.L.C. - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION New York - -------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER 630,900 OF --------------------------------------------------- SHARES 6) SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH --------------------------------------------------- REPORTING 7) SOLE DISPOSITIVE POWER PERSON WITH 630,900 --------------------------------------------------- 8) SHARED DISPOSITIVE POWER 0 - -------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 630,900 - -------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 6.7% - -------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON BD - -------------------------------------------------------------------------------- 2 of 10 SCHEDULE 13G CUSIP No. 29406L201 Page 3 of 10 Pages - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Eric Goldstein - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER 22,700 OF ------------------------------------------------ SHARES 6) SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH ------------------------------------------------ REPORTING 7) SOLE DISPOSITIVE POWER PERSON WITH 22,700 ------------------------------------------------ 8) SHARED DISPOSITIVE POWER 264,650 - -------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 287,350 - -------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.1% - -------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- 3 of 10 SCHEDULE 13G CUSIP No. 29406L201 Page 4 of 10 Pages - -------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sam Ginzburg - -------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - -------------------------------------------------------------------------------- 3) SEC USE ONLY - -------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - -------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER 23,071 OF --------------------------------------------------- SHARES 6) SHARED VOTING POWER BENEFICIALLY OWNED BY 0 EACH --------------------------------------------------- REPORTING PERSON 7) SOLE DISPOSITIVE POWER WITH 23,071 --------------------------------------------------- 8) SHARED DISPOSITIVE POWER 255,750 - -------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 278,821 - -------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - -------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.0% - -------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON IN - -------------------------------------------------------------------------------- 4 of 10 Schedule 13G Item 1(a). Name of Issuer: Environmental Power Corporation Item 1(b). Address of Issuer's Principal Executive Offices: One Cate Street, 4th Floor Portsmouth, New Hampshire 03801 Item 2(a). Name of Person Filing: (1) First New York Securities L.L.C. ("FNYS") (2) Eric Goldstein. Mr. Goldstein is a Member of FNYS. (3) Sam Ginzburg. Mr. Ginzburg is a Member of FNYS. Item 2(b). Address of Principal Business Office or, if None, Residence: (1) First New York Securities L.L.C.: 850 Third Avenue, 17th Floor New York, NY 10022 (2) Eric Goldstein: c/o First New York Securities L.L.C. 850 Third Avenue, 8th Floor New York, NY 10022 (3) Sam Ginzburg: c/o First New York Securities L.L.C. 850 Third Avenue, 8th Floor New York, NY 10022 Item 2(c). Citizenship: (1) First New York Securities L.L.C.: New York (2) Eric Goldstein: United States (3) Sam Ginzburg: United States Item 2(d). Title of Class of Securities: Common Stock, par value $0.01 per share Item 2(e). CUSIP Number: 5 of 10 29406L201 Item 3. If this statement is filed pursuant to ss.ss. 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: (a) |_| Broker or Dealer Registered Under Section 15 of the Act (15 U.S.C. 78o) (b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c) (c) |_| Insurance Company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c) (d) |_| Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8) (e) |_| Investment Adviser in accordance with ss. 240.13d-1(b)(1)(ii)(E) (f) |_| Employee benefit plan or endowment fund in accordance with ss. 240.13d-1(b)(1)(ii)(F) (g) |_| Parent Holding Company or control person in accordance with ss.240.13d-1(b)(ii)(G) (h) |_| Savings Association as defined in ss.3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813) (i) |_| Church plan that is excluded from the definition of an investment company under ss.3(c)(15) of the Investment Company Act of 1940 (15 U.S.C. 80a-3) (j) |_| Group, in accordance with ss.240.13d-1(b)(ii)(J) Item 4. Ownership. (a) Amount beneficially owned:(1) (1) First New York Securities L.L.C.: 630,900 (2) Eric Goldstein: 287,350 (3) Sam Ginzburg: 278,821 (b) Percent of class: (1) First New York Securities L.L.C.: 6.7% (2) Eric Goldstein: 3.1% (3) Sam Ginzburg: 3.0% - ------------------- (1) Percentages based on 9,418,632 shares of Common Stock to be outstanding as reported in the Issuer's Rule 424(b)(4) Prospectus, filed November 16, 2005. 6 of 10 (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: (1) First New York Securities L.L.C.: 630,900 (2) Eric Goldstein: 22,700 (3) Sam Ginzburg: 23,071 (ii) Shared power to vote or to direct the vote: (1) First New York Securities L.L.C.: 0 (2) Eric Goldstein: 0 (3) Sam Ginzburg: 0 (iii) Sole power to dispose or to direct the disposition of: (1) First New York Securities L.L.C.: 630,900 (2) Eric Goldstein: 22,700 (3) Sam Ginzburg: 23,071 (iv) Shared power to dispose or to direct the disposition of: (1) First New York Securities L.L.C.: 0 (2) Eric Goldstein: 264,650(2) (3) Sam Ginzburg: 255,750(2) Item 5. Ownership of Five Percent or Less of a Class. Not Applicable. 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. Not Applicable. Item 8. Identification and Classification of Members of the Group. See Item 2(a) above. - ----------------------- (2) Includes shares owned by First New York Securities L.L.C. as to which the reporting person may be deemed to share dispositive power. 7 of 10 Item 9. Notice of Dissolution of Group. Not Applicable. Item 10. Certification. 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 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. 8 of 10 SIGNATURE --------- After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: February 14, 2006 FIRST NEW YORK SECURITIES L.L.C. By: /s/ Mario Maugeri ------------------------------- Name: Mario Maugeri Title: Director of Operations /s/ Eric Goldstein ----------------------------------- Eric Goldstein /s/ Sam Ginzburg ----------------------------------- Sam Ginzburg 9 of 10 Exhibit 1 AGREEMENT OF JOINT FILING Pursuant to rule 13d-1(k) promulgated under the Securities Exchange Act of 1934, as amended, the undersigned persons hereby agree to file with the Securities and Exchange Commission the Statement on Schedule 13G (the "Statement") to which this Agreement is attached as an exhibit, and agree that such Statement, as so filed is on the behalf of each of them. IN WITNESS WHEREOF, the undersigned have executed this Agreement as of February 14, 2006. FIRST NEW YORK SECURITIES L.L.C. By: /s/ Mario Maugeri --------------------------------- Name: Mario Maugeri Title: Director of operations /s/ Eric Goldstein ------------------------------------- Eric Goldstein /s/ Sam Ginzburg ------------------------------------- Sam Ginzburg 10 of 10 -----END PRIVACY-ENHANCED MESSAGE-----