-----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, M1nlvh49TxYnBGYuBsQqA3Gri8jiBTRwMHVwUuDeEy1ppD4gAs+bW6bEE6pAqfYY iuWoJmz8kXwIBzAOv0ry+Q== 0000886128-99-000006.txt : 19990215 0000886128-99-000006.hdr.sgml : 19990215 ACCESSION NUMBER: 0000886128-99-000006 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19990212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ENERGY RESEARCH CORP /NY/ CENTRAL INDEX KEY: 0000886128 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 060853042 STATE OF INCORPORATION: NY FISCAL YEAR END: 1031 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-42494 FILM NUMBER: 99534554 BUSINESS ADDRESS: STREET 1: 3 GREAT PASTURE RD CITY: DANBURY STATE: CT ZIP: 06813 BUSINESS PHONE: 2038256000 MAIL ADDRESS: STREET 1: 3 GREAT PASTURE ROAD CITY: DANBURY STATE: CT ZIP: 06813 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GERSON JAMES D CENTRAL INDEX KEY: 0000940771 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O ARGUSS HOLDINGS STREET 2: ONE CHURCH ST #302 CITY: ROCKVILLE STATE: MD ZIP: 20850 MAIL ADDRESS: STREET 1: 19 WEST 95TH STREET CITY: NEW YORK STATE: NY ZIP: 10025 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Energy Research Corporation - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, par value $.0001 per share - -------------------------------------------------------------------------------- (Title of Class of Securities) 29271E 10 0 - -------------------------------------------------------------------------------- (CUSIP Number) September 9, 1997 - -------------------------------------------------------------------------------- (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. 29271E 10 0 Page 2 of 5 Pages - --------------------- ----------------- 1 Name of Reporting Persons/I.R.S. Identification Nos. of Above Persons (Entities Only) James D. Gerson - -------------------------------------------------------------------------------- 2 Check the Appropriate Box if a Member of a Group (a) __ (See Instructions) (b) __ N/A - -------------------------------------------------------------------------------- 3 SEC Use Only - -------------------------------------------------------------------------------- 4 Citizenship or Place of Organization U.S. - -------------------------------------------------------------------------------- 5 Sole Voting Power Number of 158,133 shares, 3.8% Shares ----------------------------------------------------------- Beneficially 6 Shared Voting Power Owned by Each 15,800 shares, 0.4% Reporting ----------------------------------------------------------- Person 7 Sole Dispositive Power With 158,133 shares, 3.8% ----------------------------------------------------------- 8 Shared Dispositive Power 15,800 shares, 0.4% - -------------------------------------------------------------------------------- 9 Aggregate Amount Beneficially Owned by Each Reporting Person 210,333 shares - -------------------------------------------------------------------------------- 10 Check if the Aggregate Amount in Row (9) Excludes Certain Shares ____ - -------------------------------------------------------------------------------- 11 Percent of Class Represented by Amount in Row 9 5.09% - -------------------------------------------------------------------------------- 12 Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Item 1. (a) Name of Issuer Energy Research Corporation (b) Address of Issuer's Principal Executive Offices 3 Great Pasture Road Danbury, Connecticut 06813 Item 2. (a) Name of Person Filing James D. Gerson (b) Address of Principal Business Office or, if none, Residence c/o Fahnestock and Co. 780 3rd Avenue New York, New York 10017 (c) Citizenship U.S. (d) Title of Class of Securities Common Stock, par value $.0001 per share (e) CUSIP Number 29271E 10 0 Item 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b)or(c), check whether the person filing is a: Not applicable. Item 4. Ownership As of September 9, 1997, the reporting person was the "beneficial owner" (as defined in Rule 13d-3 of Regulation 13D-G under the Securities Exchange Act of 1934 (the "Exchange Page 3 of 5 Act") of over five percent of the outstanding shares of Common Stock of Energy Research Corporation. The following information is provided as of January 26, 1999: (a) Amount beneficially owned 210,333 shares of Common Stock, including 36,400 shares held by the reporting person's wife as custodian for two minor children and 15,800 shares held by a private foundation, of which the reporting person is President and a Director. The reporting person disclaims beneficial ownership of the 36,400 shares held by the reporting person's wife and the 15,800 shares held by the private foundation. In accordance with Rule 13d-4 under the Exchange Act, the filing of this Schedule 13G shall not be construed as an admission that the reporting person is, for the purposes of Section 13(d) or 13(g) of the Exchange Act, the beneficial owner of any of the 36,400 shares held by the reporting person's wife or the 15,800 shares held by the private foundation. (b) Percent of class 5.09% of the 4,135,873 outstanding shares of Common Stock. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote 158,133 shares (ii) Shared power to vote or to direct the vote 15,800 shares (iii) Sole power to dispose or to direct the disposition of 158,133 shares (iv) Shared power to dispose or to direct the disposition of 15,800 shares Item 5. Ownership of Five Percent or Less of a Class Not applicable. Page 4 of 5 Item 6. Ownership of More than Five Percent on Behalf of Another Person As described above in Item 4(a), 36,400 shares are held by the reporting person's wife as custodian for two minor children and 15,800 shares are held by a private foundation. Such shares are subject to the rights of others to receive or direct the receipt of dividends from, or proceeds from the sale of, such shares. 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 Not applicable. Item 9. Notice of Dissolution of Group Not applicable. Item 10. Certifications Not applicable. 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. Date: February 3, 1999 /s/ James D. Gerson --------------------------- James D. Gerson Page 5 of 5 -----END PRIVACY-ENHANCED MESSAGE-----