SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. _____________)*
THERMOVIEW INDUSTRIES, INC.
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(Name of Issuer)
Common Stock, $.01 par value per share
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(Title of Class of Securities)
883671505
--------------------------------------
(CUSIP Number)
December 31, 1999
- --------------------------------------------------------------------------------
(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 ("Exchange 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).
Page 1 of 13 Pages
NY2:\875187\01\$R@R01!.DOC\47660.1673
<PAGE>
<TABLE>
<CAPTION>
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CUSIP NO. 883671505 13G PAGE 2 OF 13 PAGES
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<S> <C>
1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
GE Capital Equity Investments, Inc., a Delaware corporation
06-1268495
- ---------------- ------------------------------------------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
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3 SEC USE ONLY
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4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, USA
- -------------------------------- ------------- ------------------------------------------------------------------------------------
5 SOLE VOTING POWER
0
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
- -------------------------------- ------------- ------------------------------------------------------------------------------------
6 SHARED VOTING POWER
555,343 (comprised of a warrant to acquire 555,343 shares)
- -------------------------------- ------------- ------------------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0
- -------------------------------- ------------- ------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
555,343 (comprised of a warrant to acquire 555,343 shares)
- ---------------- ------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
555,343 (comprised of a warrant to acquire 555,343 shares)
- ---------------- ------------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- ---------------- ------------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.13%
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12 TYPE OF REPORTING PERSON
CO
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<PAGE>
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CUSIP NO. 883671505 13G PAGE 3 OF 13 PAGES
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
General Electric Capital Corporation, a New York corporation
13-1500700
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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, USA
- -------------------------------- ------------- ------------------------------------------------------------------------------------
5 SOLE VOTING POWER
0
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
- -------------------------------- ------------- ------------------------------------------------------------------------------------
6 SHARED VOTING POWER
555,343 (comprised of a warrant to acquire 555,343 shares)
- -------------------------------- ------------- ------------------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
0
- -------------------------------- ------------- ------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
555,343 (comprised of a warrant to acquire 555,343 shares)
- ---------------- ------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
555,343 (comprised of a warrant to acquire 555,343 shares)
- ---------------- ------------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- ---------------- ------------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
7.13%
- ---------------- ------------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
CO
- ---------------- ------------------------------------------------------------------------------------------------------------------
<PAGE>
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CUSIP NO. 883671505 13G PAGE 4 OF 13 PAGES
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
General Electric Capital Services, Inc., a Delaware corporation
06-1109503
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ]
(b) [X]
- ---------------- ------------------------------------------------------------------------------------------------------------------
3 SEC USE ONLY
- ---------------- ------------------------------------------------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware, USA
- -------------------------------- ------------- ------------------------------------------------------------------------------------
5 SOLE VOTING POWER
Disclaimed (see 9 below)
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
- -------------------------------- ------------- ------------------------------------------------------------------------------------
6 SHARED VOTING POWER
Disclaimed (see 9 below)
- -------------------------------- ------------- ------------------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
Disclaimed (see 9 below)
- -------------------------------- ------------- ------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
Disclaimed (see 9 below)
- ---------------- ------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Beneficial ownership of all shares is disclaimed by General
Electric Capital Services, Inc.
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- ---------------- ------------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
Not applicable (see 9 above)
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12 TYPE OF REPORTING PERSON
CO
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<PAGE>
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CUSIP NO. 883671505 13G PAGE 5 OF 13 PAGES
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1 NAME OF REPORTING PERSON
I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
General Electric Company, a New York corporation
14-0689340
- ---------------- ------------------------------------------------------------------------------------------------------------------
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, USA
- -------------------------------- ------------- ------------------------------------------------------------------------------------
5 SOLE VOTING POWER
Disclaimed (see 9 below)
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
- -------------------------------- ------------- ------------------------------------------------------------------------------------
6 SHARED VOTING POWER
Disclaimed (see 9 below)
- -------------------------------- ------------- ------------------------------------------------------------------------------------
7 SOLE DISPOSITIVE POWER
Disclaimed (see 9 below)
- -------------------------------- ------------- ------------------------------------------------------------------------------------
8 SHARED DISPOSITIVE POWER
Disclaimed (see 9 below)
- ---------------- ------------------------------------------------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
Beneficial ownership of all shares is disclaimed by General
Electric Company.
- ---------------- ------------------------------------------------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES [ ]
- ---------------- ------------------------------------------------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
Not applicable (see 9 above)
- ---------------- ------------------------------------------------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON
CO
- ---------------- ------------------------------------------------------------------------------------------------------------------
</TABLE>
*SEE INSTRUCTION BEFORE FILLING OUT!
<PAGE>
ITEM 1. NAME OF ISSUER AND ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
(a) and (b) This statement relates to the Common Stock, $.01 par
value per share (the "Common Stock"), of ThermoView Industries, Inc., a Delaware
corporation (the "Issuer"), which is issuable upon the exercise by GE Capital
Equity Investments, Inc. ("GECEI") of that certain Warrant No. 4 dated July 8,
1999 issued to GECEI by the Issuer (the "Warrant"). The address of the principal
executive offices of the Issuer is 1101 Herr Lane, Louisville, Kentucky 40222.
ITEM 2. PERSON FILING:
(a)-(c) This statement is being filed by GECEI, a Delaware
Corporation, for and on behalf of itself, General Electric Company ("GE"),
General Electric Capital Corporation ("GE Capital") and General Electric Capital
Services, Inc. ("GECS"). The agreement among each of GECEI, GE Capital, GECS and
GE that this statement be filed on behalf of each of them is attached hereto as
Exhibit A. GECS is a subsidiary of GE, GE Capital is a subsidiary of GECS and
GECEI is a subsidiary of GE Capital. GECEI is a Delaware corporation with its
principal business office located at 120 Long Ridge Road, Stamford, Connecticut
06927. GE Capital is a New York corporation with its principal business office
located at 260 Long Ridge Road, Stamford, Connecticut 06927. GECS is a Delaware
corporation with its principal business office located at 260 Long Ridge Road,
Stamford, Connecticut 06927. GE is a New York corporation with its principal
business office located at 3135 Easton Turnpike, Fairfield, Connecticut 06431.
(d)-(e) This statement relates to the Common Stock of the Issuer,
$.01 par value per share. The CUSIP No. for such shares is 883671505. Such stock
is issuable upon the exercise by GECEI of the Warrant.
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:
(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 of 1940
(e) [ ] An investment adviser in accordance with Rule
13d-1(b)(1)(ii)(E)
(f) [ ] An employee benefit plan or endowment fund in accordance with
Rule 13d-1(b)(1)(ii)(F)
(g) [ ] A parent holding company or control person in accordance with
Rule 13d-1(b)(1)(ii)(G)
(h) [ ] A savings association 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 Rule 13d-1(b)(1)(ii)(J)
If this statement is filed pursuant to Rule 13d-1(c), check this box. [ ]
Page 6 of 13 Pages
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ITEM 4. OWNERSHIP.
(a)-(c) The response of GECEI, GE Capital, GECS and GE to Items 5, 6,
7, 8, 9 and 11 of each of their respective Cover Sheets which relate to the
beneficial ownership of the Common Stock of the Issuer is incorporated herein by
reference. The Warrant is owned directly by GECEI.
Each of GE and GECS hereby expressly disclaims the beneficial
ownership of the Warrant and the shares of Common Stock issuable upon exercise
of the Warrant.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
N/A
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
N/A
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
N/A
ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP.
N/A
ITEM 9. NOTICE OF DISSOLUTION OF GROUP.
N/A
ITEM 10. CERTIFICATION.
N/A
Page 7 of 13 Pages
<PAGE>
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 10, 2000
GE CAPITAL EQUITY INVESTMENTS, INC.
By: /s/ Michael E. Pralle
--------------------------------------
Name: Michael E. Pralle
Title: President and General Manager
Page 8 of 13 Pages
<PAGE>
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 10, 2000
GENERAL ELECTRIC CAPITAL CORPORATION
By: /s/ Michael E. Pralle
---------------------------------
Name: Michael E. Pralle
Title: Vice President
Page 9 of 13 Pages
<PAGE>
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 10, 2000
GENERAL ELECTRIC CAPITAL SERVICES, INC.
By: /s/ Michael E. Pralle *
----------------------------------------
Name: Michael E. Pralle
Title: Attorney-in-fact
* Power of attorney, dated as of April 30, 1998, by General Electric Capital
Services, Inc., is hereby incorporated by reference to Schedule 13D for
Telescan, Inc. filed January 14, 1999 by GE Capital Equity Investments, Inc.
Page 10 of 13 Pages
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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 10, 2000
GENERAL ELECTRIC COMPANY
By: /s/ Michael E. Pralle *
---------------------------------------
Name: Michael E. Pralle
Title: Attorney-in-fact
* Power of attorney, dated as of April 30, 1998, by General Electric Company, is
hereby incorporated by reference to Schedule 13D for Telescan, Inc. filed
January 14, 1999 by GE Capital Equity Investments, Inc.
Page 11 of 13 Pages
<PAGE>
EXHIBIT INDEX
EXHIBIT DESCRIPTION
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A Joint Filing Agreement, dated February 10,
2000, among GECEI, GE Capital, GECS and GE to
file joint statement on Schedule 13G.
Page 12 of 13 Pages
EXHIBIT A
---------
JOINT FILING AGREEMENT
This will confirm the agreement by and among all the undersigned that
the Schedule 13G filed on or about this date with respect to the beneficial
ownership of the undersigned of shares of the Common Stock, $.01 par value per
share, of ThermoView Industries, Inc. is being filed on behalf of each of the
undersigned. This agreement may be executed in two or more counterparts, each of
which shall be deemed an original, but all of which together shall constitute
one and the same instrument.
Dated: February 10, 2000
GE CAPITAL EQUITY INVESTMENTS, INC.
By: /s/ Michael E. Pralle
-----------------------------------------
Name: Michael E. Pralle
Title: President and General Manager
GENERAL ELECTRIC CAPITAL CORPORATION
By: /s/ Michael E. Pralle
-----------------------------------------
Name: Michael E. Pralle
Title: Vice President
GENERAL ELECTRIC CAPITAL SERVICES, INC.
By: /s/ Michael E. Pralle *
-----------------------------------------
Name: Michael E. Pralle
Title: Attorney-in-fact
GENERAL ELECTRIC COMPANY
By: /s/ Michael E. Pralle **
-----------------------------------------
Name: Michael E. Pralle
Title: Attorney-in-fact
* Power of attorney, dated as of April 30, 1998, by General Electric Capital
Services, Inc., is hereby incorporated by reference to Schedule 13D of Telescan,
Inc., filed January 14, 1999 by GE Capital Equity Investments, Inc.
**Power of attorney, dated as of April 30, 1998, by General Electric Company, is
hereby incorporated by reference to Schedule 13D for Telescan, Inc. filed
January 14, 1999 by GE Capital Equity Investments, Inc.
Page 13 of 13 Pages
