-----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, TYnU+ZDnioF5jT59zmC345nNVk6lN63Fcps8auUuVFrNCp79lUGJacnLrXCVuztY Uw0iaEdbnzWH09XRkNd5kw== 0001144204-09-006996.txt : 20090211 0001144204-09-006996.hdr.sgml : 20090211 20090211171533 ACCESSION NUMBER: 0001144204-09-006996 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090211 DATE AS OF CHANGE: 20090211 GROUP MEMBERS: LAFFIN VENTURES CORPORATION FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Tompkins Mark N. CENTRAL INDEX KEY: 0001455971 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: (212) 400-6900 MAIL ADDRESS: STREET 1: C/O GOTTBETTER & PARTNERS, LLP STREET 2: 488 MADISON AVENUE, 12TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-84025 FILM NUMBER: 09590656 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 1 v139566_sc13g.htm Unassociated Document

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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

 
SCHEDULE 13G
 
 
Under the Securities Exchange Act of 1934
 
 

 

WaferGen Bio-systems, Inc.

(Name of Issuer)

Common Stock, Par Value $0.001 per share

(Title of Class of Securities)

93041P100

(CUSIP Number)

May 21, 2008

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:
x
Rule 13d-1(b)
o
Rule 13d-1(c)
o
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.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Mark N. Tompkins
 
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
   
(a)
............................................................................................................................................................
   
(b)
............................................................................................................................................................
 
 
3.
SEC Use Only
 
 
4.
Citizenship or Place of Organization:  Canada
 
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
   
5.
Sole Voting Power   2,297,5141
 
6.
Shared Voting Power   N/A
 
7.
Sole Dispositive Power  2,297,5141
 
8.
Shared Dispositive Power    N/A
 
 
9.
Aggregate Amount Beneficially Owned by Each Reporting Person   2,297,5141
 
 
10.
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
 
 
11.
Percent of Class Represented by Amount in Row (9)   9.1%2
 
 
12.
Type of Reporting Person (See Instructions)  IN



 
1 As of the date hereof.  Includes (a) warrants to purchase 88,888 shares of common stock of WaferGen Bio-systems, Inc. (the “Company”) at an exercise price of $3.00 per share, subject to certain adjustments,  held by Mr. Tompkins and (b) 1,786,406 shares and warrants to purchase 200,000 shares of the Company’s common stock at an exercise price of $2.25 per share, subject to certain adjustments,  held by Laffin Ventures Corporation.
 
2 Based on 25,119,820 shares of common stock, par value $0.001 per share, of the Company outstanding as of February 9, 2009.
 

 
 
CUSIP No. 93041P100
 
   
1.
Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Laffin Ventures Corporation
 
 
2.
Check the Appropriate Box if a Member of a Group (See Instructions)
   
(a)
............................................................................................................................................................
   
(b)
............................................................................................................................................................
 
 
3.
SEC Use Only
 
 
4.
Citizenship or Place of Organization:  Florida
 
Number of
Shares
Beneficially
Owned by
Each Reporting
Person With
   
5.
Sole Voting Power   1,986,4061
 
6.
Shared Voting Power   N/A
 
7.
Sole Dispositive Power  1,986,4061
 
8.
Shared Dispositive Power    N/A
 
 
9.
Aggregate Amount Beneficially Owned by Each Reporting Person   1,986,4061
 
 
10.
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
 
 
11.
Percent of Class Represented by Amount in Row (9)   7.9%2
 
 
12.
Type of Reporting Person (See Instructions)  CO



 
1 As of the date hereof. Includes warrants to purchase 200,000 shares of common stock of WaferGen Bio-systems, Inc. (the “Company”) at an exercise price of $2.25 per share, subject to certain adjustments.
 
2 Based on 25,119,820 shares of common stock, par value $0.001 per share, of the Company outstanding as of February 9, 2009.
 

 


 
Item 1.
 
(a)
Name of Issuer  WaferGen Bio-systems, Inc.
 
(b)
Address of Issuer's Principal Executive Offices
    Bayside Technology Center, 46531 Fremont Blvd., Fremont, CA 94538
 
 
Item 2.
 
(a)
Name of Person Filing  Mark N. Tompkins
 
(b)
Address of Principal Business Office or, if none, Residence
   
c/o Gottbetter & Partners, LLP, 488 Madison Ave., 12th Fl. New York, NY 10022
 
(c)
Citizenship  Canada
 
(d)
Title of Class of Securities  Common Stock
 
(e)
CUSIP Number  93041P100
     
 
(a)
Name of Person Filing  Laffin Ventures Corporation
 
(b)
Address of Principal Business Office or, if none, Residence
   
c/o Gottbetter & Partners, LLP, 488 Madison Ave., 12th Fl. New York, NY 10022
 
(c)
Citizenship  Florida
 
(d)
Title of Class of Securities  Common Stock
 
(e)
CUSIP Number  93041P100
     
    Mr. Tompkins owns all of the stock of  Laffin Ventures Corporation.
 
 
Item 3.
If this statement is filed pursuant to §§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 section 15 of the Act (15 U.S.C. 78o).
 
(b)
o
Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
 
(c)
o
Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
 
(d)
o
Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8).
 
(e)
o
An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);
 
(f)
o
An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
 
(g)
o
A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);
 
(h)
o
A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
 
(i)
o
A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the 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.
Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

 
 


 
 
(a)
Amount beneficially owned: See Item 9 of each cover page.
 
(b)
Percent of class: See Item 9 of each cover page.
 
(c)
Number of shares as to which the person has:
   
(i)
Sole power to vote or to direct the vote See Item 5 of each cover page.
   
(ii)
Shared power to vote or to direct the vote See Item 6 each of cover page.
   
(iii)
Sole power to dispose or to direct the disposition of See Item 7 of each cover page.
   
(iv)
Shared power to dispose or to direct the disposition of See Item 8 of each cover page.
 
 
Item 5.
 
Ownership of Five Percent or Less of a 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 five percent of the class of securities, check the following o.
 
 
 
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 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.
 
 
Certification
 
 
     
By signing below I certify that, to the best of my 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.

 
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 11, 2009
   
Date
 
   
/s/ Mark N. Tompkins
   
Signature
 
   
Mark N. Tompkins
   
Name/Title
 



     
   
February 11, 2009
   
Date
     
   
LAFFIN VENTURES CORPORATION
 
   
/s/ Mark N. Tompkins
   
Signature
 
   
Mark N. Tompkins, President
   
Name/Title
   
 

 
Attention:
Intentional misstatements or omissions of fact constitute Federal criminal violations
(See 18 U.S.C. 1001)




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