-----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, PBCA+38vnLWOwH+lQ41jZ2cBTVBuUOsPghSj1NTnrDyVbjbBiPpybdfyVdkdyKx+ zhFN443Zi/qHf1T79TS4iA== 0001144204-10-007555.txt : 20100216 0001144204-10-007555.hdr.sgml : 20100215 20100212194749 ACCESSION NUMBER: 0001144204-10-007555 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100216 DATE AS OF CHANGE: 20100212 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HELM RONALD R CENTRAL INDEX KEY: 0001194544 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: 220 W HARRISON STREET CITY: SEATTLE STATE: WA ZIP: 98119 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Pacific Biomarkers, Inc. CENTRAL INDEX KEY: 0001020475 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 931211114 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-78351 FILM NUMBER: 10601922 BUSINESS ADDRESS: STREET 1: 220 WEST STREET 2: HARRISON STREET CITY: SEATTLE STATE: WA ZIP: 98119 BUSINESS PHONE: (206) 298-0068 MAIL ADDRESS: STREET 1: 220 WEST HARRISON STREET CITY: SEATTLE STATE: WA ZIP: 98119 FORMER COMPANY: FORMER CONFORMED NAME: PACIFIC BIOMETRICS INC DATE OF NAME CHANGE: 19960813 SC 13G/A 1 v174369_sc13ga.htm
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
 
     
 
Amendment No. 1
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
 
 
 
Pacific Biomarkers, Inc.
 
 
(Name of Issuer)
 
     
 
Common Stock
 
 
(Title of Class of Securities)
 
     
 
69403Q 30 8
 
 
(CUSIP Number)
 
     
 
December 31, 2009
 
 
(Date of Event Which Requires Filing of this Statement)
 
     
Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
     
  o
Rule 13d-1(b)
     
  o
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).

 
 

 


  1.
Names of Reporting Persons 
Ronald R. Helm
     
#2.
Check Appropriate Box if a Member of a Group:
 
(a)
o  
 
(b)
o   
       
  3.
SEC Use Only
  4.
Citizenship or Place of Organization 
U.S. citizen
 
Number of Shares Beneficially Owned by Each Reporting Person With:
 
5.    Sole Voting Power 
1,154,528
 
6.    Shared Voting Power 
-0-
 
7.    Sole Dispositive Power 
1,154,528
 
8.    Shared Dispositive Power 
-0-
  9.
Aggregate Amount Beneficially Owned by Each Reporting Person 
1,154,528
     
#10.
Check Box if Aggregate Amount in Row “9” Excludes Certain Shares 
  o  
     
  11.
Percent of Class Represented by Amount in Row “9”
6.8%
#12.
Type of Reporting Person 
IN
   
   
#See Instructions.

 
 

 

Item 1.
(a)       Name of Issuer                                                                                
Pacific Biomarkers, Inc.
 
(b)       Address of Issuer’s Principal Executive  Offices 
220 W. Harrison Street
Seattle, Washington  98119
Item 2.
(a)       Name of Person Filing                                                                                
Ronald R. Helm
 
(b)       Address of Principal Business Office or, if none, Residence 
c/o Pacific Biomarkers, Inc.
220 W. Harrison Street
Seattle, Washington  98119
 
(c)       Citizenship                                                                                
U.S. citizen
 
(d)       Title of Class of Securities                                                                                
Common Stock
 
(e)       CUSIP Number                                                                                
69403Q 30 8
 
Item 3.
If this Statement is Filed Pursuant §§ 240.13d-1(b), or § 240.13d-2(b) or (c), check whether the person filing is a:
 
(a)
o 
Broker or dealer registered under Act § 15 (15 U.S.C. 78o)
       
 
(b)
o
Bank as defined in Act § 3(a)(6) (15 U.S.C. 78c)
       
 
(c)
o
Insurance company as defined in Act § 3(a)(19) (15 U.S.C. 78c)
       
 
(d)
o
Investment company registered under § 8, Investment Company Act of 1940 (15 U.S.C. 80a-8)
       
 
(e)
o
Investment adviser in accordance with § 240.13d-1(b)(1)(ii)(E)
       
 
(f)
o
Employee benefit plan or endowment fund in accordance with § 240.13d-1(b)(1)(ii)(F)
       
 
(g)
o
Parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G)
       
 
(h)
o
Savings association as defined in § 3(b), Federal Deposit Insurance Act (12 U.S.C. 1813)
       
 
(i)
o
Church plan excluded from the definition of an investment company under §3(c)(14), Investment
     
Company Act of 1940 (15 U.S.C. 80a-3)
       
 
(j)
o
Group, in accordance with § 240.13d-1(b)(1)(ii)(J)
 
Item 4.
Ownership
   
 
(a)       Amount beneficially owned
1,154,528 (1)
     
 
(b)       Percent of class                                                                                
6.8% (2)
     
 
(c)       Number of shares as to which the person has:
 
 
  (i)        sole power to vote or direct the vote
1,154,528 (1)
 
  (ii)       shared power to vote or to direct the vote
-0-
 
  (iii)      sole power to dispose of or direct disposition 
1,154,528 (1)
 
  (iv)      shared power to dispose of or direct disposition
-0-
     
 
(1)
The [1,363,715] shares beneficially owned by Mr. Helm consist of (a) 711,868 shares owned directly and (b) 442,660 shares subject to options exercisable by Mr. Helm within 60 days of December 31, 2009.
 
(2)
Calculated in accordance with Exchange Act Rule 13d-3; based on 17,085,078 shares of common stock, consisting of 16,642,418 shares outstanding as of close of business on February 7, 2010 (as reflected in Issuer’s Form 10-Q for the quarter ended December 31, 2009), and 442,660 shares subject to options granted to Mr. Helm and exercisable within 60 days of December 31, 2009.
 
 
 

 
 
Item 5.
Ownership of Five Percent or Less of Class.
 
     
 
If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following
[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 of Control Person
[not applicable]
     
Item 8.
Identification and Classification of Members of 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.
 


   
February 12, 2010
 
   
(Date)
 
       
       
   
/s/  Ronald R. Helm
 
   
(Signature)
 

 
 

 
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