-----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, FsOrNICuH43Fv+PcCmtunXUFOi0mjrFQ69T0Sqx7QAUkmg4DVOCms5pKkip0cBkJ ojkD93XbyGamlBTsYkK3mw== 0001144204-10-042369.txt : 20100810 0001144204-10-042369.hdr.sgml : 20100810 20100809192836 ACCESSION NUMBER: 0001144204-10-042369 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100810 DATE AS OF CHANGE: 20100809 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Shivji Alnoor CENTRAL INDEX KEY: 0001435645 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: C/O WAFERGEN BIO-SYSTEMS, INC., STREET 2: 46531 FREMONT BLVD. CITY: FREMONT STATE: CA ZIP: 94538 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: WaferGen Bio-systems, Inc. CENTRAL INDEX KEY: 0001368993 STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826] IRS NUMBER: 203699764 STATE OF INCORPORATION: NV FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-84025 FILM NUMBER: 101003129 BUSINESS ADDRESS: STREET 1: BAYSIDE TECHNOLOGY CENTER STREET 2: 46571 FREMONT BLVD. CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: (510) 651-4450 MAIL ADDRESS: STREET 1: BAYSIDE TECHNOLOGY CENTER STREET 2: 46571 FREMONT BLVD. CITY: FREMONT STATE: CA ZIP: 94538 FORMER COMPANY: FORMER CONFORMED NAME: La Burbuja Cafe, Inc. DATE OF NAME CHANGE: 20060714 SC 13G/A 1 v190502_sc13ga.htm Unassociated Document

SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549

SCHEDULE 13G
(Rule 13d-102)

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT
TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED
PURSUANT TO RULE 13d-2(b)
(AMENDMENT NO. 1)*

WAFERGEN BIO-SYSTEMS, INC.

(Name of Issuer)

Common Stock, par value $0.001 per share

 (Title of Class of Securities)

93041P100

 (CUSIP Number)

July 7, 2010

 (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)
þ           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. 93041P100
 
1
NAME OF REPORTING PERSON
 
Alnoor Shivji
 
2
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
  (a) ¨
  (b) ¨
3
SEC USE ONLY
 
4
CITIZENSHIP OR PLACE OF ORGANIZATION
 
U.S.A.
 
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH REPORTING
PERSON WITH
5
SOLE VOTING POWER
 
2,960,718
 
6
SHARED VOTING POWER
 
3,416,765
 
7
SOLE DISPOSITIVE POWER
 
2,960,718
 
8
SHARED DISPOSITIVE POWER
 
3,416,765
 
9
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
 
6,377,483
 
10
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
 
 ¨
11
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
 
18.2%
 
12
TYPE OF REPORTING PERSON
 
IN

2

 

CUSIP NO. 93041P100

Item 1(a).
Name of Issuer:

WAFERGEN BIO-SYSTEMS, INC.

Item 1(b).
Address of Issuer's Principal Executive Offices:

Bayside Technology Center
46531 Fremont Blvd.
Fremont, California 94538

Item 2(a).
Name of Person Filing
 
Alnoor Shivji
Item 2(b).
Address of Principal Business Office or, if None, Residence
 
46531 Fremont Blvd.
Fremont, California 94538
 
Item 2(c).
Citizenship
 
U.S.A.

Item 2(d).
Title of Class of Securities:

Common Stock, par value $0.001 per share (the “Common Stock”)

Item 2(e).
CUSIP Number:

93041P100

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

 
(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.

 
(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).

 
(k)
/ /
Group, in accordance with Rule 240.13d-1(b)(1)(ii)(K). If filing as a non-U.S. institution in accordance with Rule 240.13d-1(b)(1)(ii)(J), please specify the type of institution: ____________________________________
 
3

Item 4.
Ownership

 
(a)
Amount beneficially owned:

6,377,483 shares. Includes (i) 3,243,866 shares of common stock held in The Shivji Family Trust dated June 12, 2000, which Mr. Shivji is co-trustee with his wife; and (ii) 226,563 shares subject to options exercisable within 60 days of July 7, 2010.

 
(b)
Percent of class:

Approximately 18.2% of the shares of Common Stock outstanding as of July 7, 2010, assuming 35,077,266 shares outstanding, representing (i) 33,882,895 shares outstanding as stated in the Issuer’s Quarterly Report on Form 10-Q filed on May 17, 2010 (ii) the assumed exercise of 226,563 shares subject to options exercisable within 60 days of July 7, 2010, and (iii) the assumed exercise of 967,808 shares subject to warrants exercisable within 60 days of July 7, 2010.

 
(c)
Number of shares as to which such person has:

 
(i)
Sole power to vote or to direct the vote

2,960,718

 
(ii)
Shared power to vote or to direct the vote

3,416,765

 
(iii)
Sole power to dispose or to direct the disposition of

2,960,718

 
(iv)
Shared power to dispose or to direct the disposition of

3,416,765

Item 5.
Ownership of Five Percent or Less of a Class.


Item 6.
Ownership of More than Five Percent on Behalf of Another Person.

Not applicable.

Item 7.
Identification and Classification of the Subsidiary That Acquired the Security Being Reported on by the Parent Holding Company or Control Person.

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.

By signing below each of the undersigned certifies that, to the best of its knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.
 
4

 

CUSIP NO. 93041P100
 
SIGNATURE

After reasonable inquiry and to the best of his knowledge and belief, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.

Dated: August 9, 2010

     
         
         
         
 
/s/ Alnoor Shivji
     
 
Alnoor Shivji
     
         


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