-----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, JJZ0vHhBVh4gVhyD5Bu3858wf+XEDrzKGEGl6c9sBFTNLScG0LYaJnFnJ4O0Mk6A DGzU3FBlu/MuKxSlnNECXA== 0001168705-10-000011.txt : 20100219 0001168705-10-000011.hdr.sgml : 20100219 20100218183802 ACCESSION NUMBER: 0001168705-10-000011 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20100219 DATE AS OF CHANGE: 20100218 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: 10617644 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BRENCOURT ADVISORS LLC CENTRAL INDEX KEY: 0001168705 IRS NUMBER: 000000000 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2123139743 MAIL ADDRESS: STREET 1: 600 LEXINGTON AVENUE STREET 2: 8TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 wgbs13gfile021810.txt WGBS13GFILE021810 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 ---------- Under the Securities Exchange Act of 1934 SCHEDULE 13G/A INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 2) WAFERGEN BIO-SYSTEMS, INC. -------------------- (Name of Issuer) Common Stock, $.001 par value per share --------------------------------------- (Title of Class of Securities) 93041P100 ------------ (CUSIP Number) February 18, 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: |X| Rule 13d-1(b) | | Rule 13d-1(c) | | Rule 13d-1(d) Page 1 of 2 Pages SCHEDULE 13G CUSIP No. 93041P100 Page 2 of 2 Pages - ------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON BRENCOURT ADVISORS, LLC EIN # 13-4137530 - ------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ------------------------------------------------------------------------------- 3) SEC USE ONLY - ------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION Delaware - ------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER 0 OF -------------------------------------------------- SHARES 6) SHARED VOTING POWER BENEFICIALLY OWNED BY 1,199,044 EACH -------------------------------------------------- REPORTING 7) SOLE DISPOSITIVE POWER PERSON WITH 0 -------------------------------------------------- 8) SHARED DISPOSITIVE POWER 1,199,044 - ------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,199,044 - ------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - ------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 3.70% - ------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON IA - ------------------------------------------------------------------------------- CUSIP No. 93041P100 Page 2 of 3 Pages - ------------------------------------------------------------------------------- 1) NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON William L. Collins EIN ## ###-##-#### - ------------------------------------------------------------------------------- 2) CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) |_| (b) |X| - ------------------------------------------------------------------------------- 3) SEC USE ONLY - ------------------------------------------------------------------------------- 4) CITIZENSHIP OR PLACE OF ORGANIZATION United States - ------------------------------------------------------------------------------- 5) SOLE VOTING POWER NUMBER 2,042,679 OF -------------------------------------------------- SHARES 6) SHARED VOTING POWER BENEFICIALLY OWNED BY 1,199,044 EACH -------------------------------------------------- REPORTING 7) SOLE DISPOSITIVE POWER PERSON WITH 2,042,679 -------------------------------------------------- 8) SHARED DISPOSITIVE POWER 1,199,044 - ------------------------------------------------------------------------------- 9) AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 3,241,723 - ------------------------------------------------------------------------------- 10) CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |_| - ------------------------------------------------------------------------------- 11) PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 9.99% - ------------------------------------------------------------------------------- 12) TYPE OF REPORTING PERSON IN - ------------------------------------------------------------------------------- Schedule 13G 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 Persons Filing: Brencourt Advisors, LLC Item 2(b). Address of Principal Business Office or, if None, Residence: The principal office of Brencourt Advisors, LLC and William L. Collins is: 600 Lexington Avenue 8th Floor New York, NY 10022 Item 2(c). Citizenship: Brencourt Advisors, LLC is a Delaware limited liability company William L. Collins is a United States citizen Item 2(d). Title of Class of Securities: Common Stock, $0.001 par value per share Item 2(e). CUSIP Number: 93041P100 Item 3. If this statement is filed pursuant to ss.ss. 240.13d-1(b), or 240.13d-2(b) or (c), check whether the person filing is a: (a) |_| Broker or Dealer Registered Under Section 15 of the Act (15 U.S.C. 78o) (b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c) (c) |_| Insurance Company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c) (d) |_| Investment Company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8) (e) |X| Investment Adviser in accordance with ss. 240.13d-1(b)(1)(ii)(E) (f) |_| Employee benefit plan or endowment fund in accordance with ss. 240.13d-1(b)(1)(ii)(F) (g) |_| Parent Holding Company or control person in accordance with ss.240.13d-1(b)(ii)(G) (h) |_| Savings Association as defined in ss.3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813) (i) |_| Church plan that is excluded from the definition of an investment company under ss.3(c)(15) of the Investment Company Act of 1940 (15 U.S.C. 80a-3) (j) |_| Group, in accordance with ss.240.13d-1(b)(ii)(J) Item 4. Ownership. (a) Amount beneficially owned: 3,241,723 (i) Brencourt Advisors LLC, on behalf of certain onshore and offshore collective investment vehicles, beneficially owns 1,199,044 shares of Common Stock. (ii) William L. Collins individually benficially owns 2,042,679 shares of Common Stock. (b) Percent of class: (i) Brencourt Advisors, LLC's ownership, in the aggregate and on behalf of certain onshore and offshore investment vehicles,represents 3.70% of all of the outstanding shares of Common Stock. (ii) William L. Collins' ownbership represents 6.29% of all of the outstanding shares of Common Stock. (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: William L. Collins has the sole power to vote or direct the vote of 2,042,679 shares of Common Stock. (ii) Shared power to vote or to direct the vote: Brencourt Advisors, LLC and william L. Collins have shared power to vote or direct the vote of 1,199,044 shares of Common Stock. (iii) Sole power to dispose or to direct the disposition of: William L. Collins has the sole power to dispose of or direct the disposition of 2,042,679 shares of Common Stock. (iv) Shared power to dispose or to direct the disposition of: Brencourt Advisors, LLC and William L. Collins have the shared power to dispose of or direct the disposition of 1,199,044 shares of Common Stock. - -------------- (1) Percentages are based on 32,449,675 shares of Common Stock outstanding as of November 2, 2009 (as set forth on the Issuer's Form S-1/A, filed on November 2, 2009 with the Securities and Exchange Commission). (2) The Reporting Persons expressly disclaim benefical ownership of all securities held on behalf of the onshore and offshore investment vehicles described herein. Item 5. [ ] Ownership of Five Percent or Less of a Class. Not applicable. Item 6. [ ] Ownership of More than Five Percent on Behalf of Another Person. The shares reported herein by Brencourt Advisors, LLC are being held in customer accounts on behalf of certain onshore and offshore investment vehices over which Brencourt Advisors, LLC has discretionary authority. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company. 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 acquired and are held in the ordinary course of business and 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 such purpose or effect. SIGNATURE ---------- After reasonable inquiry and to the best knowledge and belief of the undersigned, the undersigned certifies that the information set forth in this Statement is true, complete and correct. Dated as of February 18, 2010 Brencourt Advisors, LLC By: Chief Financial Officer By: /s/ Gerald Aquino ----------------------------------- William L. Collins By: /s/ William L. Collins ----------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----