SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 1 )
York Research Corp.
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(NAME OF ISSUER)
COMMON STOCK, $.01 PAR VALUE PER SHARE
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(TITLE OF CLASS OF SECURITIES)
987048105
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(CUSIP NUMBER)
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).
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1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Aggressive Conservative Investment Fund, L.P.
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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
Delaware Corporation
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5 SOLE VOTING POWER
NUMBER OF 407,450
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------------------------------------------------
SHARES 6 SHARED VOTING POWER
BENEFICIALLY None
OWNED BY ------------------------------------------------
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EACH 7 SOLE DISPOSITIVE POWER
407,450
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------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
None
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
407,450
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.50%
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TYPE OF REPORTING PERSON*
12
PN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Rumpere Capital Trading Partners Limited
(EIN 13-4093971)
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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
New York Corporation
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5 SOLE VOTING POWER
665,050
NUMBER OF ------------------------------------------------
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SHARES 6 SHARED VOTING POWER
BENEFICIALLY
OWNED BY None
------------------------------------------------
------------------------------------------------
EACH 7 SOLE DISPOSITIVE POWER
665,050
------------------------------------------------
------------------------------------------------
WITH 8 SHARED DISPOSITIVE POWER
None
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
665,050
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
4.09%
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TYPE OF REPORTING PERSON*
12
PN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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
USA
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5 SOLE VOTING POWER
NUMBER OF 4,400
------------------------------------------------
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6 SHARED VOTING POWER
SHARES
None
BENEFICIALLY
OWNED BY ------------------------------------------------
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EACH 7 SOLE DISPOSITIVE POWER
4,400
------------------------------------------------
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PERSON WITH 8 SHARED DISPOSITIVE POWER
None
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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*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.03%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
Michael Winer
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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
USA
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5 SOLE VOTING POWER
NUMBER OF 3,000
------------------------------------------------
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6 SHARED VOTING POWER
SHARES
None
BENEFICIALLY
OWNED BY ------------------------------------------------
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EACH 7 SOLE DISPOSITIVE POWER
3,000
------------------------------------------------
------------------------------------------------
PERSON WITH 8 SHARED DISPOSITIVE POWER
None
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,000
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.02%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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
USA
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5 SOLE VOTING POWER
NUMBER OF 18,000
------------------------------------------------
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6 SHARED VOTING POWER
SHARES
None
BENEFICIALLY
OWNED BY ------------------------------------------------
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EACH 7 SOLE DISPOSITIVE POWER
18,000
------------------------------------------------
------------------------------------------------
PERSON WITH 8 SHARED DISPOSITIVE POWER
None
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9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
18,000
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10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.11%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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1 NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS
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
USA
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5 SOLE VOTING POWER
NUMBER OF 1,500
------------------------------------------------
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6 SHARED VOTING POWER
SHARES
None
BENEFICIALLY
OWNED BY ------------------------------------------------
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EACH 7 SOLE DISPOSITIVE POWER
1,500
------------------------------------------------
------------------------------------------------
PERSON WITH 8 SHARED DISPOSITIVE POWER
None
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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*
[ ]
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11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
0.01%
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12 TYPE OF REPORTING PERSON*
IN
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
ITEM 1.
(A) NAME OF ISSUER:
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York Research Corporatin (the "Issuer")
(B) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES:
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280 Park Avenue, Suite 2700 West, New York, NY 10017
ITEM 2.
(A) NAME OF PERSON FILING:
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This schedule is being jointly filed by Aggressive Conservative Investment
Fund, L.P. ("ACIF"), Rumpere Capital Trading ("Rumpere") and Ashley Thatcher,
Michael Winer, Peter Faulkner, and Faulkner UGMA Clifford Dantes. (ACIF,
Rumpere, Ashley Thatcher, Michael Winer, and Peter Faulkner are sometimes
collectively referred to hereinafter as "Filer"). Attached hereto as an exhibit
is a copy of the joint Schedule 13G filing agreement among the reporting
persons.
(B) ADDRESS OF PRINCIPAL BUSINESS OFFICE:
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The address of the principal executive office of ACIF,
Rumpere, Ashley Thatcher, Michael Winer, Peter Faulkner, and
Faulkner UGMA Clifford Danteis: 767 Third Avenue, New York, New
York 10017-2023.
(C) CITIZENSHIP:
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The citizenship or place of organization of each of the reporting
persons is as follows:
ACIF
----
Delaware State corporation.
Ashley Thatcher
----
United States citizen.
Ashley Thatcher
----
United States citizen.
Peter Faulkner
----
United States citizen.
Micheal Winer
----
United States citizen.
(D) TITLE OF CLASS OF SECURITIES:
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Common Stock, $.01 par value per share.
(E) CUSIP NUMBER:
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987048105
ITEM 3. IF THIS STATEMENT IS BEING FILED PURSUANT TO RULES 13D-1(B), OR
13D-2(B), CHECK WHETHER THE PERSON FILING IS A:
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ITEM 4. OWNERSHIP.
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(a) & (b) The Filer beneficially owns 1,096,400 shares, or 6.74%
of the class
of securities of the issuer.
(c) (i) Filer: 1,096,400
(ii) Not applicable.
(iii) Filer: 1,096,400
(iv) Not applicable.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS.
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Not applicable.
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON.
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Aggressive Conservative Investment Fund, L.P. has the right to receive
dividends from, and the proceeds from the sale of, 407,450 of the shares
reported by ACIF, Rumpere Capital Trading Partners Limited has the right to
receive dividends from, and the proceeds from the sale of, 665,050 of the
shares reported by ACIF, Ashley Thatcher Profit Sharing Plan has the right
to receive dividends from, andthe proceeds from the sale of, 4,400 of
the shares reported by ACIF, Michael Winer Profit Sharing Plan has
the right to receive dividends from, and the proceeds from the sale of,
3,000 of the shares reported by ACIF, Peter Faulkner Profit Sharing Plan
has the right to receive dividends from, and the proceedsfrom the sale of,
18,000 of the shares reported by ACIF and Faulkner UGMA
Clifford Dantes has the right to receive dividends from, and the proceeds
from the sale of, 1,500 of the shares reported by ACIF. All of these
entitites and persons are affiliated.
ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE
SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY.
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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.
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Not applicable.
ITEM 10. CERTIFICATION.
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By signing below I certify that, to the best of my knowledge and
belief, the securities referred to above were acquired in the ordinary course of
business and were not acquired for the purpose of and do not have the effect of
changing or influencing the control of the issuer of such securities and were
not acquired in connection with or as a participant in any transaction having
such purposes 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.
November 13, 2001
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(Date)
Aggressive Conservative Investment Fund, LP
BY:/S/ MARTIN J. WHITMAN
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Martin J. Whitman
Senior Portfolio Manager
BY:/S/ Peter M. Faulkner
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Peter M. Faulkner
Portfolio Manager
BY:/S/ Michael Winer
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Michael Winer
Portfolio Manager
Peter Faulkner UGMA Clifford Dantes
BY:/S/ Peter M. Faulkner
------------------------
Peter M. Faulkner
BY:/S/ Ashley Thacher
----------------------
Ashley Thacher
BY:/S/ Michael Winer
------------------------
Michael Winer
BY:/S/ Peter M. Faulkner
------------------------
Peter M. Faulkner
658: