<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13D
Under the Securities Exchange Act of 1934*
(Amendment No.)
CHANGE TECHNOLOGY PARTNERS, INC.
--------------------------------------------------------------------------------
(Name of Issuer)
Common Stock, par value $.01 per share
--------------------------------------------------------------------------------
(Title of Class of Securities)
159111103
---------------------------------------------------------------
(CUSIP Number)
COPY TO:
Rob Barrett
J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB, England
011-44-207-747-5640
--------------------------------------------------------------------------------
(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
September 12, 2000
---------------------------------------------------------------
(Date of Events which Require Filing of this Statement)
If the filing person has previously filed a statement on Schedule 13G to report
the acquisition which is the subject of this Schedule 13D, and is filing this
schedule because of Rule 13d-1(b)(3) or (4), check the following box [_]
Note: Six copies of this statement, including all exhibits, should be filed
with the Commission. See Rule 13d-1(a) for other parties to whom copies are to
be sent.
* 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
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).
<PAGE>
SCHEDULE 13D
CUSIP No. 159111103 Page 2 of 82 Pages
-----------------
------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
J O Hambro Capital Management Limited
No IRS Identification Number
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
England
------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES -----------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 13,000,000
-----------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING
0
PERSON -----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
13,000,000
------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,000,000
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
28.9%
------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IA, CO
------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
CUSIP No. 159111103 Page 3 of 82 Pages
-----------------
------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
J O Hambro Capital Management (Holdings) Limited
No IRS Identification Number
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_] [_]
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
England
------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES -----------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 13,000,000
-----------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING
0
PERSON -----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
13,000,000
------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,000,000
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
28.9%
------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IA, CO
------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
CUSIP No. 159111103 Page 4 of 82 Pages
-----------------
------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Growth Financial Services Limited
No IRS Identification Number
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
England
------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES -----------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 4,400,000
-----------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING
0
PERSON -----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
4,400,000
------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,400,000
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.8%
------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
CO
------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
CUSIP No. 159111103 Page 5 of 82 Pages
-----------------
------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
North Atlantic Smaller Companies Investment Trust plc
No IRS Identification Number
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
England
------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES -----------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 4,400,000
-----------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING
0
PERSON -----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
4,400,000
------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
4,400,000
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
9.8%
------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IV, CO
------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
CUSIP No. 159111103 Page 6 of 82 Pages
-----------------
------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
American Opportunity Trust plc
No IRS Identification Number
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
England
------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES -----------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 1,280,000
-----------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING
0
PERSON -----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
1,280,000
------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,280,000
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.8%
------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IV, CO
------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
CUSIP No. 159111103 Page 7 of 82 Pages
-----------------
------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Christopher Harwood Bernard Mills
No IRS Identification Number
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
England
------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES -----------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 13,000,000
-----------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING
0
PERSON -----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
13,000,000
------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
13,000,000
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
28.9%
------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IN
------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
CUSIP No. 159111103 Page 8 of 82 Pages
-----------------
------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Oryx International Growth Fund Limited
No IRS Identification Number
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
Guernsey (Channel Islands)
------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES -----------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 640,000
-----------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING
0
PERSON -----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
640,000
------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
640,000
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IV, CO
------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
CUSIP No. 159111103 Page 9 of 82 Pages
-----------------
------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Consulta (Channel Islands) Limited
No IRS Identification Number
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_]
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
Guernsey (Channel Islands)
------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES -----------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 640,000
-----------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING
0
PERSON -----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
640,000
------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
640,000
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
1.4%
------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IA, CO
------------------------------------------------------------------------------
<PAGE>
SCHEDULE 13D
CUSIP No. 159111103 Page 10 of 82 Pages
-----------------
------------------------------------------------------------------------------
1. NAME OF REPORTING PERSONS
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS
Trident North Atlantic Fund
No IRS Identification Number
------------------------------------------------------------------------------
2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) [_]
(b) [X]
------------------------------------------------------------------------------
3. SEC USE ONLY
------------------------------------------------------------------------------
4. SOURCE OF FUNDS
WC
------------------------------------------------------------------------------
5. CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT
TO ITEM 2(d) or 2(e) [_] [_]
------------------------------------------------------------------------------
6. CITIZENSHIP OR PLACE OF ORGANIZATION
Cayman Islands
------------------------------------------------------------------------------
7. SOLE VOTING POWER
NUMBER OF
0
SHARES -----------------------------------------------------------
8. SHARED VOTING POWER
BENEFICIALLY
OWNED BY 976,000
-----------------------------------------------------------
EACH 9. SOLE DISPOSITIVE POWER
REPORTING
0
PERSON -----------------------------------------------------------
10. SHARED DISPOSITIVE POWER
WITH
976,000
------------------------------------------------------------------------------
11. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
976,000
------------------------------------------------------------------------------
12. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
[_]
------------------------------------------------------------------------------
13. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
2.2%
------------------------------------------------------------------------------
14. TYPE OF REPORTING PERSON
IV, CO
------------------------------------------------------------------------------
<PAGE>
Item 1. Security Issuer.
The class of equity securities to which this Statement on Schedule 13D (the
"Statement") relates is the Common Stock, par value $.01 per share (the "Common
Stock") of Change Technology Partners, Inc., a Delaware corporation (the
"Company"). The principal executive offices of the Company are located at 20
Dayton Avenue, Greenwich, Connecticut 06830.
Item 2. Identity and Background.
2 (a-c,f).
I. Filing Parties:
--------------
This Statement is filed on behalf of the following nine persons, who are
collectively referred to as the "Filing Parties":
1. J O Hambro Capital Management (Holdings) Limited ("Holdings") is a
corporation organized under the laws of England with its principal office
and business at Ryder Court, 14 Ryder Street, London SW1Y 6QB England.
Holdings functions as the ultimate holding company for J O Hambro Capital
Management Limited.
2. J O Hambro Capital Management Limited ("J O Hambro Capital Management"),
formerly named J O Hambro & Partners Limited, is a corporation organized
under the laws of England with its principal office and business at Ryder
Court, 14 Ryder Street, London SW1Y 6QB England. J O Hambro Capital
Management is principally engaged in the business of investment management
and advising. It serves as co-investment adviser to NASCIT and as
investment adviser to Oryx as well as private clients.
3. Christopher Harwood Bernard Mills is a British citizen whose business
address is Ryder Court, 14 Ryder Street, London SW1Y 6QB England. His
principal employment includes service as executive director of NASCIT, as a
director of J O Hambro Capital Management and Oryx, and as co-investment
adviser to NASCIT.
4. Growth Financial Services Limited ("GFS"), formerly named Growth Investment
Management Limited, is a corporation organized under the laws of England
with its principal office at 77 Middle Street, Brockham, Surrey RH3 7HL
England and with its principal business at Ryder Court, 14 Ryder Street,
London SW1Y 6QB England. GFS has undertaken to provide the services of
Christopher Mills to NASCIT.
5. North Atlantic Smaller Companies Investment Trust plc ("NASCIT"), formerly
named Consolidated Venture Trust plc, is a corporation organized under the
laws of England with its principal office and business at Ryder Court, 14
Ryder Street, London SW1Y 6QB England. NASCIT is a publicly-held investment
trust company.Christopher Harwood Bernard Mills and J O Hambro Capital
Management serve as co-investment advisers to NASCIT.
-11-
<PAGE>
6. American Opportunity Trust plc ("American Opportunity Trust"), formerly
named Leveraged Opportunity Trust plc, is a corporation organized under the
laws of England with its principal office and business at Ryder Court, 14
Ryder Street, London SW1Y 6QB England. American Opportunity Trust is a
publicly-held investment trust company. Christopher Harwood Bernard Mills
and J O Hambro Capital Management serve as co-investment advisers to
American Opportunity Trust.
7. Oryx International Growth Fund Limited ("Oryx") is a corporation organized
under the laws of the Island of Guernsey with its principal office and
business at Bermuda House, St. Julian's Avenue, St. Peter Port, Guernsey.
Oryx is a closed-end investment company. J O Hambro Capital Management and
Consulta serve as investment advisers to Oryx.
8. Consulta (Channel Islands) Limited ("Consulta") is a corporation organized
under the laws of the Island of Guernsey with its principal office and
business at Bermuda House, St. Julian's Avenue, St. Peter Port, Guernsey.
Consulta is principally engaged in the business of investment management
and advising and serving as investment manager of Oryx.
9. The Trident North Atlantic Fund ("Trident North Atlantic") is an open-ended
investment Company incorporated in the Cayman Islands with its principal
office and business at P. O. Box 309, Ugland House, George Town, Grand
Cayman, Cayman Islands. Trident North Atlantic is a publicly-held regulated
Mutual Fund. Christopher Harwood Bernard Mills serves as a director of
Trident North Atlantic and J O Hambro Capital Management serves as an
investment adviser to Trident North Atlantic.
-12-
<PAGE>
II. Control Relationships:
---------------------
J O Hambro Capital Management is a wholly-owned subsidiary of J O Hambro
Capital Management (Holdings) Limited.
Christopher Mills owns 99% of the equity of GFS and serves as a director of
J O Hambro Capital Management and as the executive director of NASCIT and
American Opportunity Trust.
III. Executive Officers and Directors:
--------------------------------
In accordance with the provisions of General Instruction C to Schedule 13D,
information concerning the executive officers and directors of the Filing
Parties is included in Schedule A hereto and is incorporated by reference
herein.
(d) Criminal Proceedings
--------------------
During the last five years, neither the Filing Parties (or a controlling
entity thereof) nor any executive officer or director of any of the Filing
Parties (or a controlling entity thereof) has been convicted in a criminal
proceeding (excluding traffic violations or similar misdemeanors).
(e) Civil Securities Law Proceedings
--------------------------------
During the last five years, neither the Filing Parties (or a controlling
entity thereof) nor any executive officer or director of any of the Filing
Parties (or a controlling entity thereof) has been a party to a civil proceeding
of a judicial or administrative body of competent jurisdiction and as a result
of such proceeding was or is subject to a judgment, decree or final order
enjoining future violations of, or prohibiting or mandating activities subject
to, federal or state securities laws or finding any violation with respect to
such laws.
Item 3. Source and Amount of Funds or Other Consideration.
The Filing Parties used their working capital funds to purchase the shares
of Common Stock of the Company (the "Shares") to which this statement relates.
The amount of funds used to date to acquire the Shares is approximately
$3,250,000 (exclusive of brokerage fees and commissions).
Item 4. Purpose of Transaction.
The Reporting Person has no present plans or proposals which relate to or
would result in any of the actions specified in clauses (a) through (j) of Item
4 of Schedule 13D.
-13-
<PAGE>
Item 5. Interest in Securities of the Issuer.
(a)-(b) The aggregate number and percentage of the outstanding Common Stock
of the Company beneficially owned (i) by each of the Filing Parties, and (ii) to
the knowledge of the Filing Parties, by each other person who may be deemed to
be a member of the Group, is as follows:
<TABLE>
<CAPTION>
Number of Number of Number of
Filing Shares: Shares: Shares: Sole
Party Aggregate Sole Shared or Shared
Number of Power to Power to Power to Approximate
Shares: Vote Vote Dispose Percentage*
-------------------------- -------------- ----------- ------------- ------------ ---------------
<S> <C> <C> <C> <C> <C>
Holdings 13,000,000 0 13,000,000 13,000,000 28.9%
J O Hambro 13,000,000 0 13,000,000 13,000,000 28.9%
Capital Management
Christopher H.B. Mills 13,000,000 0 13,000,000 13,000,000 28.9%
American Opportunity Trust 1,280,000 0 1,280,000 1,280,000 2.8%
GFS 4,400,000 0 4,400,000 4,400,000 9.8%
NASCIT 4,400,000 0 4,400,000 4,400,000 9.8%
Oryx 640,000 0 640,000 640,000 1.4%
Consulta 640,000 0 640,000 640,000 1.4%
Trident North Atlantic 976,000 0 976,000 976,000 2.2%
---------------------------------------------------------------------------------------------------------
</TABLE>
* Based on 45,000,000 shares of Common Stock, par value $.01 per share,
outstanding as of September 12, 2000, which is based on information reported in
the Company's Report on Form 8-K, filed on September 12, 2000.
(c) On September 12, 2000, the Filing Parties collectively became the
beneficial owners of 13,000,000 shares of the Company's Common Stock resulting
from the execution of the Agreement and Plan of Merger between Arinco Computer
Systems, Inc., a New Mexico corporation, and the Company. Immediately prior to
the merger, the filing parties owned 325,000 shares of Arinco Computer Systems,
Inc.'s Series B Convertible Preferred Stock.
(d) The private clients of J O Hambro Capital Management have an economic
interest in the dividends from, and the proceeds of sales of, Common Stock
beneficially owned by J O Hambro Capital Management. The shareholders of NASCIT
and American Opportunity Trust have an economic interest in the dividends from,
and the proceeds of sales of, Common Stock beneficially owned by NASCIT and
American Opportunity Trust, respectively.
-14-
<PAGE>
Item 6. Contracts, Arrangements, Understandings or Relationships with Respect to
Securities of the Issuer.
As co-investment advisers to NASCIT, Christopher Harwood Bernard Mills and
J O Hambro Capital Management share the right to transfer and vote the shares of
Common Stock of the Company pursuant to an agreement entered into among NASCIT,
GFS and Christopher Mills and an agreement entered into between NASCIT and J O
Hambro Capital Management, each dated as of January 7, 1993, respectively.
As co-investment advisers to American Opportunity Trust, Christopher
Harwood Bernard Mills and J O Hambro Capital Management share the right to
transfer and vote the shares of Common Stock of the Company pursuant to an
agreement dated as of January 7, 1993 between American Opportunity Trust and J O
Hambro Capital Management.
Item 7. Material to be Filed as Exhibits.
The following documents are filed herewith:
(a) Secondment Services Agreement dated as of January 7, 1993 among
NASCIT, GFS and Christopher Harwood Bernard Mills.
(b) Administration, Management and Custody Agreement dated as of January
7, 1993 between NASCIT and J O Hambro Capital Management (formerly
named J O Hambro & Partners Limited).
(c) Administration, Management and Custody Management Agreement dated as
of January 7, 1993 between J O Hambro Capital Management (formerly
named J O Hambro & Partners Limited) and American Opportunity Trust.
(d) Power of Attorney of Christopher Harwood Bernard Mills dated July 9,
1997.
(e) Joint Filing Agreement dated as of September 29, 2000 among J O Hambro
Capital Management (Holdings) Limited, J O Hambro Capital Management
Limited, American Opportunity Trust plc, Christopher Mills, The
Trident North Atlantic Fund, Growth Financial Services Limited, North
Atlantic Smaller Companies Investment Trust plc, Oryx International
Growth Fund Limited and Consulta (Channel Islands) Limited.
-15-
<PAGE>
SIGNATURES
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: October 2, 2000
J O HAMBRO CAPITAL MANAGEMENT LIMITED
By: /s/ R.G. Barrett
--------------------------------------------------
Name: R.G. Barrett
Title: Director
Executed on behalf of the parties hereto pursuant
to the Joint Filing Agreement filed herewith.
<PAGE>
Schedule A
The following table sets forth certain information concerning each of the
directors and executive officers of J O Hambro Capital Management (Holdings)
Limited ("Holdings") as of the date hereof.
Name: James Daryl Hambro
(Chairman)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Chairman, J O Hambro Capital Management Limited
Name: Christopher Harwood Bernard Mills
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Executive Director, NASCIT
Executive Director, American Opportunity Trust
Director, J O Hambro Capital Management Limited
Name: Nichola Pease
(Director and Chief Executive)
Citizenship: British
-17-
<PAGE>
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director and Chief Executive,
J O Hambro Capital
Management Limited
Name: Basil Postan
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director, J O Hambro Capital Management Limited
Name: Malcolm Robert King
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director, J O Hambro Capital Management Limited
Name: Graham Warner
(Director)
Citizenship: British
-18-
<PAGE>
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director, J O Hambro Capital Management Limited
Name: Robert George Barrett
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director, J O Hambro Capital Management Limited
Name: Claudia Margaret Cecil Perkins
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director, J O Hambro Capital Management Limited
-19-
<PAGE>
The following table sets forth certain information concerning each of the
directors and executive officers of J O Hambro Capital Management Limited ("J O
Hambro Capital Management") as of the date hereof.
Name: James Daryl Hambro
(Managing Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Managing Director, J O Hambro Capital
Management Limited
Name: Christopher Harwood Bernard Mills
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Executive Director, NASCIT
Executive Director, American Opportunity Trust
Director, J O Hambro Capital Management
Name: Claudia Margaret Cecil Perkins
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
-20-
<PAGE>
Principal Occupation: Director, J O Hambro Capital Management
Name: Malcolm Robert King
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director, J O Hambro Capital Management
Name: Nichola Pease
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director and Chief Executive, J O Hambro
Capital Management
Name: Basil Postan
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director, J O Hambro Capital Management
-21-
<PAGE>
Name: Lisa Marie Rowland
(Director)
Citizenship: American
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director, J O Hambro Capital Management
Name: Robert George Barrett
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Director, J O Hambro Capital Management
-22-
<PAGE>
The following table sets forth certain information concerning each of the
directors and executive officers of North Atlantic Smaller Companies Investment
Trust plc ("NASCIT") as of the date hereof.
Name: Christopher Harwood Bernard Mills
(Executive Director)
Citizenship: British
Business Address: North Atlantic Smaller Companies Investment
Trust plc
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Executive Director, NASCIT
Executive Director, American Opportunity Trust
plc
Director, J O Hambro Capital Management
Name: Enrique Foster Gittes
(Chairman)
Citizenship: USA
Residence: 4 East 82nd Street
New York, New York 10028
USA
Principal Occupation: Director, NASCIT
Name: Brian Roger Adams
Citizenship: British
Residence: Hill House
Church Lane
Debden, NR. Saffron Walden
Essex CB11 3LD
-23-
<PAGE>
Principal Occupation Director, NASCIT
Name: Robert D. Power
(Director)
Citizenship: British
Business Address: 115 East 90th Street
New York, New York 10022
USA
Principal Occupation: Non-executive director
Name: Douglas P C Nation
(Director)
Citizenship: British
Business Address: Bear Stearns Co. Inc./1/
245 Park Avenue
New York, NY 10167
Principal Occupation: Managing Director, Bear Stearns Co. Inc.
Name: The Hon. Peregrine D E M Moncreiffe
(Director)
Citizenship: British
Business Address: Easter Moncreiffe
Bridge of Earn
Perthshire
Scotland
PH2 8 QA
Principal Occupation: Non-executive director
__________________________
/1/ Bear Stearns, Co. Inc. principally engages in the brokerage
-24-
<PAGE>
The following table sets forth certain information concerning each of the
directors and executive officers of Growth Financial Services Limited ("GFS") as
of the date hereof.
Name: Christopher Harwood Bernard Mills/2/
(Director)
Citizenship: British
Business Address: Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Executive Director, NASCIT
Executive Director, American Opportunity Trust
Director, J O Hambro Capital Management
Name: Ivan Alexander Shenkman
(Director)
Citizenship: British
Residence: 34 Royal Crescent, London W11
England
Principal Occupation: Consultant
____________________________
/2/ GFS is controlled by Christopher Mills who owns 99% of the share
capital.
-25-
<PAGE>
The following table sets forth certain information concerning each of the
directors and executive officers of American Opportunity Trust plc ("American
Opportunity Trust") as of the date hereof.
Name: R. Alexander Hammond-Chambers
(Chairman)
Citizenship: British
Business Address: 29 Rutland Square
Edinburgh
EH1 2BW
Principal Occupation: Non-executive director
Name: Christopher Harwood Bernard Mills
Citizenship: British
Business Address: Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Executive Director, American Opportunity Trust
Executive Director, NASCIT
Director, J O Hambro Capital Management
Name: John Gildea
(Director)
Citizenship: USA
Business Address: Gildea Management Company/3/
115 East Putnam Avenue
3rd Floor
Greenwich, Connecticut 06830
Principal Occupation: President, Gildea Management Company
______________________________
/3/ Gildea Management Company is principally engaged in the investment
management business.
-26-
<PAGE>
Name: The Hon. James J. Nelson
(Director)
Citizenship: British
Business Address: Foreign & Colonial Ventures/4/
4th Floor
Berkeley Square House
Berkeley Square
London W1X 5PA
England
Principal Occupation: Director, Foreign & Colonial Ventures
Name: Iain Tulloch
(Director)
Citizenship: British
Business Address: Murray Johnstone Ltd./5/
7 West Nile Street
Glasgow G2 2PX
Scotland
Principal Occupation: Director, Murray Johnstone Ltd.
Name: Philip Ehrman
(Director)
Citizenship: British
_____________________________
/4/ Foreign & Colonial Ventures is principally engaged in investment
management business.
/5/ Murray Johnstone Ltd. is principally engaged in the investment
management business.
-27-
<PAGE>
Business Address: Gartmore Investment Management Ltd./6/
Gartmore House
16-18 Monument Street
London EC3R 8AJ
England
Principal Occupation: Investment Manager, Gartmore Investment
Management Ltd.
_____________________________
/6/ Gartmore Investment Management Limited is principally engaged in the
investment management business.
-28-
<PAGE>
The following table sets forth certain information concerning each of the
directors and executive officers of Oryx International Growth Fund Limited
("Oryx") as of the date hereof.
Name: Nigel Kenneth Cayzer
(Chairman)
Citizenship: British
Business Address: Kinpurnie Estate
Smiddy Road
Newtyle
Perthshire
PH12 8TB
Principal Occupation: Non-executive director
Name: His Excellency Salim Hassan Macki
(Director)
Citizenship: Omani
Business Address: P.O. Box 4160
Postal Code 112
Ruwi
Sultanate of Oman
Principal Occupation: Non-executive director
Name: Patrick John McAFee
(Director)
Citizenship: British
Business Address: Deutche, Morgan Grenfell/7/
4 Eagle Valley
Power Court
Ennis Kerry County
Wicklow
Ireland
_________________________
/7/ Deutche, Morgan Grenfell is a merchant bank.
-29-
<PAGE>
Principal Occupation: Company Director
Name: Christopher Harwood Bernard Mills
(Director)
Citizenship: British
Business Address: Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Executive Director, NASCT
Executive Director, American Opportunity Trust
Director, J O Hambro & Partners
Director, Oryx
Name: Harald Lungershausen
(Director)
Citizenship: German
Business Address: Seestrasse 240
P.O. Box 0802
Kilchberg
Zurich
Switzerland
Principal Occupation: Company Director
Name: Mohamed Hassan Ghurlam Habib
(Director)
Citizenship: Omani
Business Address: Oman National Insurance Company/8/
PO Box 2254
Postal Code 112
Ruwi
Sultanate of Oman
____________________________
/8/ Oman National Insurance Company is principally engaged in the insurance
business.
-30-
<PAGE>
Principal Occupation: Chief Executive, Oman National Insurance
Company, SAOG
Name: Rupert Arthur Rees Evans
(Director)
Citizenship: British
Business Address: Ozannes/9/
PO Box 186
1 Le Marchant Street
St. Peter Port
Guernsey
Channel Islands
Principal Occupation: Guernsey Advocate
Partner, Ozanne van Leuven Perrot & Evans
Name: Hussan Al Nowais
Citizenship: United Arab Emirates
Business Address: Emirate Holdings
P.O. Box 984
Abu Dhabi
United Arab Emirates
Principal Occupation: Chairman and Managing Director, Emirate
Holdings
_________________________
/9/ Ozannes is a law firm.
-31-
<PAGE>
The following table sets forth certain information concerning each of the
directors and executive officers of Consulta (Channel Islands) Limited
("Consulta") as of the date hereof.
Name: Gary Michael Brass
(Director)
Citizenship: British
Business Address: 20 St. James's Street
London SW1A 1ES
England
Principal Occupation: Managing Director, Consulta
Name: Jeremy Caplan
(Director)
Citizenship: British
Business Address: 1 Britannia Place
Bath Street
St. Helier
Jersey
Principal Occupation: English Solicitor
Name: Barry Carroll
(Director)
Citizenship: British
Business Address: Management International (Guernsey) Limited/10/
Bermuda House
St. Julian's Avenue
St. Peter Port
Guernsey
Principal Occupation: Managing Director
Management International (Guernsey) Limited
____________________________
/10/ Management International (Guernsey) Limited is principally engaged in
the investment management business.
-32-
<PAGE>
Name: Rupert Arthur Rees Evans
(Director)
Citizenship: British
Business Address: P.O. Box 186
1 Le Marchant Street
St. Peter Port
Guernsey
Principal Occupation: Guernsey Advocate
Partner, Ozanne van Leuven
Perrot & Evans
-33-
<PAGE>
The following table sets forth certain information concerning each of the
directors and executive officers of Consulta Limited, the parent of Consulta
(Channel Islands) Limited.
Name: Harald Alejandro Lamotte
(Director)
Citizenship: British
Business Address: 20 St. James's Street
London SW1A 1ES
England
Principal Occupation: Investment Fund Manager,
Consulta Limited
Name: Gary Michael Brass
(Director)
Citizenship: British
Business Address: 20 St. James's Street
London SW1A 1ES
England
Principal Occupation: Investment Fund Manager,
Consulta Limited
Name: Paul David Ashburner Nix
(Director)
Citizenship: British
Business Address: 20 St. James's Street
London SW1A 1ES
Principal Occupation: Investment Fund Manager
Consulta Limited
-34-
<PAGE>
The following table sets forth certain information concerning each of the
directors and executive officers of The Trident North Atlantic Fund ("Trident
North Atlantic") as of the date hereof.
Name: Niamh Meenan
(Director)
Citizenship: Irish
Business Address: RSM Robson Rhodes
Fitzwilton House
Wilton Place
Dublin 2
Principal Occupation: Senior Manager, RSM Robson Rhodes
Name: Christopher Harwood Bernard Mills
(Director)
Citizenship: British
Business Address: J O Hambro Capital Management Limited
Ryder Court
14 Ryder Street
London SW1Y 6QB
England
Principal Occupation: Executive Director, NASCIT
Executive Director, American Opportunity Trust
Director, J O Hambro Capital Management Limited
Name: David Sargison
(Director)
Citizenship: British
Business Address: Caledonian Bank & Trust Limited
Caledonian House
George Town, Grand Cayman
Cayman Islands
-35-
<PAGE>
Principal Occupation: Managing Director, Caledonian Bank & Trust
Limited
-36-
<PAGE>
Exhibit Index
-------------
Document
--------
The following documents are filed herewith:
(a) Secondment Services Agreement dated as of January 7, 1993 among
NASCIT, GFS and Christopher Harwood Bernard Mills.
(b) Administration, Management and Custody Agreement dated as of January
7, 1993 between NASCIT and J O Hambro Capital Management (formerly
named J O Hambro & Partners Limited).
(c) Administration, Management and Custody Management Agreement dated as
of January 7, 1993 between J O Hambro Capital Management (formerly
named J O Hambro & Partners Limited) and American Opportunity Trust.
(d) Power of Attorney of Christopher Harwood Bernard Mills dated July 9,
1997.
(e) Joint Filing Agreement dated as of September 29, 2000 among J O Hambro
Capital Management (Holdings) Limited, J O Hambro Capital Management
Limited, American Opportunity Trust PLC, Christopher Mills, The
Trident North Atlantic Fund, Growth Financial Services Limited, North
Atlantic Smaller Companies Investment Trust plc, Oryx International
Growth Fund Limited and Consulta (Channel Islands) Limited.
