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 13d-2(b)
(Amendment No. 3)
York Research Corporation
-------------------------
(Name of Issuer)
Common Stock, $0.01 par value
-----------------------------
(Title of Class of Securities)
987048105
---------
(CUSIP Number)
January 14, 2002
----------------------
(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)
[X] Rule 13d-1(c)
[ ] 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 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 ("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).
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CUSIP No. 987048105 13G Page 2 of 11 Pages
--------- --- ----
-------------------- -----------------------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Peter Faulkner
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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
United States
-------------------- ------ ----------------------------------------------------
5 SOLE VOTING POWER
0
------ ----------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 841,000
OWNED BY
EACH ------ ----------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 0
------ ----------------------------------------------------
8 SHARED DISPOSITIVE POWER
841,000
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
841,000
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
5.2%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 987048105 13G Page 3 of 11 Pages
--------- --- ----
-------------------- -----------------------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Rumpere Capital Trading Partners, Ltd.
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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
British Virgin Islands
-------------------- ------ ----------------------------------------------------
5 SOLE VOTING POWER
0
------ ----------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 807,100
OWNED BY
EACH ------ ----------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 0
------ ----------------------------------------------------
8 SHARED DISPOSITIVE POWER
807,100
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
807,100
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
4.96%
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12 TYPE OF REPORTING PERSON*
CO
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*SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 987048105 13G Page 4 of 11 Pages
--------- --- ----
-------------------- -----------------------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Peter Faulkner UGMA Clifford Dantes
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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
United States
-------------------- ------ ----------------------------------------------------
5 SOLE VOTING POWER
0
------ ----------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 1,500
OWNED BY
EACH ------ ----------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 0
------ ----------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,500
---------- ---------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,500
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
---------- ---------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.01%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
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CUSIP No. 987048105 13G Page 5 of 11 Pages
--------- --- ----
-------------------- -----------------------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Ashley Thacher
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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
United States
-------------------- ------ ----------------------------------------------------
5 SOLE VOTING POWER
0
------ ----------------------------------------------------
NUMBER OF 6 SHARED VOTING POWER
SHARES
BENEFICIALLY 4,400
OWNED BY
EACH ------ ----------------------------------------------------
REPORTING 7 SOLE DISPOSITIVE POWER
PERSON
WITH 0
------ ----------------------------------------------------
8 SHARED DISPOSITIVE POWER
4,400
---------- ---------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,400
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
N/A
---------- ---------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.03%
---------- ---------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
---------- ---------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT!
This Amendment No. 3 on Schedule 13G (this "Amendment No. 3") amends,
supplements and restates the Amendment No. 2 to Schedule 13G which was filed on
January 10, 2002 with respect to the Common Stock (as defined in Item 2(d)
below) of York Research Corporation ("Amendment No. 2"). This Amendment No. 3 is
being filed to report, among other things, that the Reporting Persons (as
defined in Item 2(a) below) are no longer affiliated entities with certain other
persons who reported in Amendment No. 2 and that the Reporting Persons do not
share beneficial ownership with such persons with respect to the Common Stock
(as set forth in Item 5 below).
Item 1(a): Name of Issuer:
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The name of the issuer is York Research Corporation (the "Company").
Item 1(b): Address of Issuer's Principal Executive Offices:
--------- -----------------------------------------------
The Company's principal executive office is located at 280 Park Ave., Suite
2700 West, New York, New York 10017.
Item 2(a): Name of Person Filing:
--------- ---------------------
This statement is filed by:
(i) Peter Faulkner, a US citizen ("Mr. Faulkner"), with respect to
shares of Common Stock both directly and indirectly beneficially
owned by him;
(ii) Rumpere Capital Trading Partners, Ltd., a British Virgin Islands
corporation ("Rumpere"), with respect to shares of Common Stock
directly owned by it;
(iii) Peter Faulkner UGMA Clifford Dantes, a US Citizen ("UGMA Clifford
Dantes"), with respect to shares of Common Stock held by Peter
Faulkner as custodian for UGMA Clifford Dantes; and
(iv) Ashley Thacher, a US citizen ("Ms. Thacher"), with respect to
shares of Common Stock directly owned by her.
The foregoing persons are hereinafter sometimes collectively referred to as
the "Reporting Persons." Any disclosures herein with respect to persons other
than the Reporting Persons are made on information and belief after making
inquiry to the appropriate party.
-6-
Item 2(b): Address of Principal Business Office or, if None,
--------- --------------------------------------------------
Residence:
---------
The address of the principal business office of Mr. Faulkner, Rumpere,
Peter Faulkner UGMA Clifford Dantes and Ms. Thacher is 1330 Avenue of the
Americas, 34th Floor, New York, NY 10019.
Item 2(c): Citizenship:
--------- -----------
Mr. Faulkner, Peter Faulkner UGMA Clifford Dantes and Ms. Thacher are
citizens of the United States of America. Rumpere is organized under the laws of
the British Virgin Islands.
Item 2(d): Title of Class of Securities:
---------- ----------------------------
Common Stock, $0.01 par value ("Common Stock")
Item 2(e): CUSIP Number:
--------- ------------
987048105
Item 3: If this statement is filed pursuant to Rules 13d-1(b) or
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13d-2(b) or (c), check whether the person filing is a:
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(a) [ ] Broker or dealer registered under Section 15 of the Act,
(b) [ ] Bank as defined in Section 3(a)(6) of the Act,
(c) [ ] Insurance Company as defined in Section 3(a)(19) of the Act,
(d) [ ] Investment Company registered under Section 8 of the Investment
Company Act of 1940,
(e) [ ] Investment Adviser in accordance with Rule 13d-1 (b)(1)(ii)(E),
(f) [ ] Employee Benefit Plan or Endowment Fund in accordance with
13d-1 (b)(1)(ii)(F),
(g) [ ] Parent Holding Company or control person in accordance with
Rule 13d-1 (b)(1)(ii)(G),
(h) [ ] Savings Association as defined in Section 3(b) of the Federal
Deposit Insurance Act,
(i) [ ] Church Plan that is excluded from the definition of an
investment company under Section 3(c)(14) of the Investment
Company Act of 1940,
(j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J).
-7-
Item 4: Ownership:
------ ---------
Mr. Faulkner possesses voting and dispositive control over shares of Common
Stock held by Rumpere through PMF Partners, L.L.C., a New York limited liability
company ("PMF Partners"), the investment advisor to Rumpere. Mr. Faulkner is
managing member and sole owner of PMF Partners. Ms. Thacher works directly for
Mr. Faulkner. Ms. Thacher, Mr. Faulkner and Peter Faulkner UGMA Clifford Dantes
intend to vote or dispose of their own personal or direct holdings of shares of
Common Stock in the same manner in which such shares are voted or disposed of by
Rumpere.
A. Peter Faulkner
--------------
(a) Amount beneficially owned: 841,000
(b) Percent of class: 5.2%. The percentages used herein and in the
rest of this statement are calculated based upon the 16,266,697 shares
of Common Stock issued and outstanding as of August 31, 2001, as
reflected in the Company's Form 10-Q for the period ending August 31,
2001.
(c) Number of shares as to which such person has:
(i) Sole power to vote or direct the vote: 0
(ii) Shared power to vote or direct the vote: 841,000
(iii) Sole power to dispose or direct the disposition: 0
(iv) Shared power to dispose or direct the disposition:
841,000
B. Rumpere Capital Trading Partners Limited
----------------------------------------
(a) Amount beneficially owned: 807,100
(b) Percent of class: 4.96%
(c) Number of shares as to which such person has:
(i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 807,100
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition:
807,100
C. Peter Faulkner UGMA Clifford Dantes
-----------------------------------
(a) Amount beneficially owned: 1,500
(b) Percent of class: 0.01%
(c) Number of shares as to which such person has:
(i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 1,500
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition: 1,500
D. Ashley Thacher
--------------
(a) Amount beneficially owned: 4,400
(b) Percent of class: 0.03%
(c) Number of shares as to which such person has:
(i) Sole power to vote or direct the vote: -0-
(ii) Shared power to vote or direct the vote: 4,400
-8-
(iii) Sole power to dispose or direct the disposition: -0-
(iv) Shared power to dispose or direct the disposition: 4,400
Item 5: Ownership of Five Percent or Less of a Class:
------ --------------------------------------------
Aggressive Conservative Investment Fund, L.P. and Michael Winer
(collectively, the "ACIF Persons") reported in Amendment No. 2, but are no
longer affiliated with the Reporting Persons. As such, the ACIF Persons may no
longer be deemed to beneficially own in excess of five percent of the
outstanding Common Stock as a result of such an affiliation. To the extent that
(i) the ACIF Persons and (ii) the Reporting Persons may have been deemed to have
formed a group in previously filed statements on Schedule 13G with respect to
the Common Stock, such group has been dissolved.
Item 6: Ownership of More than Five Percent on Behalf of Another
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Person:
-------
Not applicable
Item 7: Identification and Classification of the Subsidiary Which
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Acquired the Security Being Reported on by the Parent
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Holding Company:
----------------
Not applicable.
Item 8: Identification and Classification of Members of the Group:
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Not applicable.
Item 9: Notice of Dissolution of Group:
------ ------------------------------
Not applicable, except as set forth in Item 5 above.
Item 10: Certification:
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Each of the Reporting Persons hereby makes the following 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.
-9-
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: January 31, 2002
/s/ Peter M. Faulkner RUMPERE CAPITAL TRADING PARTNERS, LTD.
------------------------------------
Peter Faulkner
By: /s/ Peter M. Faulkner
------------------------------------
Name: Peter M. Faulkner
Title: Portfolio Manager
/s/ Ashley Thacher PETER FAULKNER UGMA CLIFFORD DANTES
------------------------------------
Ashley Thacher
By: /s/ Peter M. Faulkner
------------------------------------
Name: Peter M. Faulkner
Title: Custodian
Exhibit Index
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EXHIBIT 1: Joint Acquisition Agreement, by and among Peter Faulkner, Rumpere
Capital Trading Partners, Ltd., Peter Faulkner UGMA Clifford
Dantes and Ashley Thacher dated January 31, 2002.