-----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, Mg+Y6XSVQiiYNWbj3LOuyxZsPUcq/EGU3hpfkql1k8iA9RA1TMlU/o+0DzFeM+ey LP9QEn+/CdwtE1wRYe64qg== 0001002105-97-000127.txt : 19971106 0001002105-97-000127.hdr.sgml : 19971106 ACCESSION NUMBER: 0001002105-97-000127 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19971105 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: COMMONWEALTH BIOTECHNOLOGIES INC CENTRAL INDEX KEY: 0001042418 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 561641133 STATE OF INCORPORATION: VA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: SEC FILE NUMBER: 005-51823 FILM NUMBER: 97708580 BUSINESS ADDRESS: STREET 1: 911 E LEIGH ST STE G-19 CITY: RICHMOND STATE: VA ZIP: 23219 BUSINESS PHONE: 8046483820 MAIL ADDRESS: STREET 1: ROBERT B HARRIS STREET 2: 911 E LEIGH ST STE G-19 CITY: RICHMOND STATE: VA ZIP: 23219 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MARTIN JAMES T CENTRAL INDEX KEY: 0000898228 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: TUPPENY HOUSE CITY: TUCKERSTOWN BERMUDA STATE: D0 ZIP: 00000 BUSINESS PHONE: 8024965885 MAIL ADDRESS: STREET 1: TUPPENNY HOUSE CITY: TUCKERSTOWN BERMUDA STATE: D0 ZIP: 00000 SC 13D 1 SCHEDULE 13D FILED BY JAMES T. MARTIN - -------------------------------------------------------------------------------- SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. )1 COMMONWEALTH BIOTECHNOLOGIES, INC. - -------------------------------------------------------------------------------- (Name of Issuer) COMMON STOCK, NO PAR VALUE - -------------------------------------------------------------------------------- (Title of Class of Securities) 202739108 - -------------------------------------------------------------------------------- (CUSIP Number) GEORGE R. WHITTEMORE, MILLS VALUE ADVISER, INC., 707 EAST MAIN STREET, RICHMOND, VIRGINIA 23219 (804) 344-3804 - -------------------------------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) OCTOBER 23, 1997 - -------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box |_|. Note: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. (Continued on following pages) (Page 1 of 6 Pages) - ------------------ 1 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 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, as amended (the "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. 202739108 SCHEDULE 13D Page 2 of 6 Pages - ----------------------------- --------------------------- - ------- ------------------------------------------------------------------------ 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS James T. Martin - ------- ------------------------------------------------------------------------ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) |_| (b) |_| Not Applicable - ------- ------------------------------------------------------------------------ 3 SEC USE ONLY - ------- ------------------------------------------------------------------------ 4 SOURCE OF FUNDS* PF - ------- ------------------------------------------------------------------------ 5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) or 2(e) |_| Not Applicable - ------- ------------------------------------------------------------------------ 6 CITIZENSHIP OR PLACE OF ORGANIZATION Bermuda - ----------------------- ------- ------------------------------------------------ NUMBER OF 7 SOLE VOTING POWER SHARES 153,333 ------- ------------------------------------------------ BENEFICIALLY 8 SHARED VOTING POWER OWNED BY EACH -0- ------- ------------------------------------------------ REPORTING 9 SOLE DISPOSITIVE POWER PERSON WITH -0- ------- -------------------------------------------- 10 SHARED DISPOSITIVE POWER -0- - ----------------------- ------- ------------------------------------------------ 11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 153,333 - ------- ------------------------------------------------------------------------ 12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES* |_| Not Applicable - ------- ------------------------------------------------------------------------ 13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11) 9.4% - ------- ------------------------------------------------------------------------ 14 TYPE OF REPORTING PERSON* IN - ------- ------------------------------------------------------------------------ *SEE INSTRUCTIONS BEFORE FILLING OUT! SCHEDULE 13D FOR JAMES T. MARTIN Item 1. Security and Issuer This statement relates to the common stock, no par value per share ("Common Stock"), of Commonwealth Biotechnologies, Inc., 911 East Leigh Street, Suite G-19, Richmond, Virginia 23219 (the "Issuer"). Item 2. Identity and Background (A) James T. Martin (B) Tuppeny House Tuckerstown, Bermuda (C) James T. Martin is a lecturer, author and consultant. (D) During the past five years, James T. Martin has not been convicted in a criminal proceeding, excluding traffic violations or similar misdemeanors. (E) During the past five years, James T. Martin has not been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and has not been subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws. (F) James T. Martin is a citizen of Bermuda (subject of Great Britain). Item 3. Source and Amount of Funds and Other Consideration The total amount of the funds used in making the purchases was $920,000. The sources of the funds used in making the purchases were personal funds and the conversion of bonds held by Mr. Martin into shares of Common Stock, which shares were registered as part of the Issuer's initial public offering. Page 3 of 6 Pages Item 4. Purpose of Transaction James T. Martin has purchased shares of Common Stock for investment purposes. There are no plans or proposals which James T. Martin may have that relate to or would result in: (A) The acquisition by any person of additional securities of the Issuer, or the disposition of securities of the Issuer, except as otherwise disclosed herein; (B) An extraordinary corporate transaction, such as a merger, reorganization or liquidation, involving the Issuer or any of its subsidiaries; (C) A sale or transfer of a material amount of assets of the Issuer or of any of its subsidiaries; (D) Any change in the present board of directors or management of the Issuer, including any plans or proposals to change the number or term of directors or to fill any existing vacancies on the board; (E) Any material change in the present capitalization or dividend policy of the Issuer; (F) Any other material change in the Issuer's business or corporate structure; (G) Changes in the Issuer's charter, bylaws or instruments corresponding thereto or other actions which may impede the acquisition of control of the Issuer by any person; (H) Causing a class of securities of the Issuer to be delisted from a national securities exchange or to cease to be authorized to be quoted in an inter-dealer quotation system of a registered national securities association; (I) A class of equity securities of the Issuer becoming eligible for termination of registration pursuant to Section 12(g)(4) of the Securities Exchange Act of 1934, as amended; or (J) Any action similar to any of those enumerated above. Page 4 of 6 Pages Item 5. Interest in Securities of the Issuer (A) The aggregate number and percentage of Common Stock beneficially owned by James T. Martin are 153,333 Shares and 9.4%, respectively. (B) James T. Martin has the sole power to vote or to direct the vote of all the shares identified pursuant to Item 5(a). Mr. Martin does not have any power to dispose or to direct the disposition of all the shares identified pursuant to Item 5(a). (C) Transactions in the securities identified pursuant to Item 5(a) during the past 60 days are as follows: Beneficial Trans. Amount of Price Per Where/How Owner Date Transaction Share Effected J.T. Martin 10/23/97 $120,000 $6.00 IPO J.T. Martin 10/23/97 $800,000 $6.00 Conversion of bonds into Common Stock (D) Not applicable. (E) Not applicable. Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to Securities of the Issuer None Item 7. Material to be Filed as Exhibits None Page 5 of 6 Pages SIGNATURES After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement on Schedule 13D is true, complete and correct. James T. Martin Date: October 23, 1997 /s/ James T. Martin ------------------------------------ James T. Martin Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (see 18 U.S.C. 1001). -----END PRIVACY-ENHANCED MESSAGE-----