-----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, OALgB+lShosU3JdjLRuyKxYQ+4ggwe34Wt83HDGzMIqzZmD+meRD94dTchWF2LTz VbjN4TwZzYxiEp5DXBIdLA== 0001179110-09-013932.txt : 20091001 0001179110-09-013932.hdr.sgml : 20091001 20091001171730 ACCESSION NUMBER: 0001179110-09-013932 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20090929 FILED AS OF DATE: 20091001 DATE AS OF CHANGE: 20091001 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: DESHPANDE GURURAJ CENTRAL INDEX KEY: 0001106824 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-34463 FILM NUMBER: 091099501 MAIL ADDRESS: STREET 1: C/O GURURAJ DESHPANDE STREET 2: 10 ELIZEBETH DRIVE CITY: CHELMSFORD STATE: MA ZIP: 01824 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: A123 SYSTEMS, INC. CENTRAL INDEX KEY: 0001167178 STANDARD INDUSTRIAL CLASSIFICATION: MISCELLANEOUS ELECTRICAL MACHINERY, EQUIPMENT & SUPPLIES [3690] IRS NUMBER: 043583876 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 BUSINESS ADDRESS: STREET 1: ARSENAL ON THE CHARLES STREET 2: 321 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 BUSINESS PHONE: 6177785700 MAIL ADDRESS: STREET 1: ARSENAL ON THE CHARLES STREET 2: 321 ARSENAL STREET CITY: WATERTOWN STATE: MA ZIP: 02472 FORMER COMPANY: FORMER CONFORMED NAME: A123 SYSTEMS INC DATE OF NAME CHANGE: 20020212 4 1 edgar.xml FORM 4 - X0303 4 2009-09-29 0 0001167178 A123 SYSTEMS, INC. AONE 0001106824 DESHPANDE GURURAJ C/O A123 SYSTEMS, INC. 321 ARSENAL STREET WATERTOWN MA 02472 1 0 0 0 Common Stock 2009-09-29 4 C 0 138607 0 A 138607 D Common Stock 2009-09-29 4 C 0 2546701 0 A 2546701 I By Unicorn Trust IV Common Stock 2009-09-29 4 C 0 1727991 0 A 1727991 I By Unicorn Trust VI Common Stock 2009-09-29 4 C 0 987095 0 A 987095 I By Unicorn Trust VIII Common Stock 2009-09-29 4 C 0 1291235 0 A 1291235 I By Unicorn Trust X Common Stock 326000 I By Deshpande Irrevocable Trust Series A Convertible Preferred Stock 2009-09-29 4 C 0 138607 0 D Common Stock 138607 0 D Series A Convertible Preferred Stock 2009-09-29 4 C 0 2018028 0 D Common Stock 2018028 0 I By Unicorn Trust IV Series B Convertible Preferred Stock 2009-09-29 4 C 0 528673 0 D Common Stock 528673 0 I By Unicorn Trust IV Series B Convertible Preferred Stock 2009-09-29 4 C 0 29641 0 D Common Stock 29641 0 I By Unicorn Trust VI Series B Convertible Preferred Stock 2009-09-29 4 C 0 540309 0 D Common Stock 540309 0 I By Unicorn Trust VIII Series B Convertible Preferred Stock 2009-09-29 4 C 0 624650 0 D Common Stock 624650 0 I By Unicorn Trust X Series C Convertible Preferred Stock 2009-09-29 4 C 0 1409669 0 D Common Stock 1409669 0 I By Unicorn Trust VI Series D Convertible Preferred Stock 2009-09-29 4 C 0 288681 0 D Common Stock 288681 0 I By Unicorn Trust VI Series D Convertible Preferred Stock 2009-09-29 4 C 0 446786 0 D Common Stock 446786 0 I By Unicorn Trust VIII Series D Convertible Preferred Stock 2009-09-29 4 C 0 394719 0 D Common Stock 394719 0 I By Unicorn Trust X Series F Convertible Preferred Stock 2009-09-29 4 C 0 271866 0 D Common Stock 271866 0 I By Unicorn Trust X Each share of preferred stock represented herein immediately converted into one share of common stock of the issuer upon the closing of the issuer's initial public offering on September 29, 2009. The reporting person disclaims beneficial ownership of these shares except to the extent of his pecuniary interest therein, and the inclusion of these shares in this report shall not be deemed an admission of beneficial ownership of all of the reported shares for purposes of Section 16 or for any other purpose. /s/ Eric J. Pyenson, attorney-in-fact 2009-10-01 -----END PRIVACY-ENHANCED MESSAGE-----