<PAGE>
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Information to be Included in Statements Filed Pursuant
to Rules 13d-1(b) and (c) and Amendments Thereto Filed
Pursuant to 13d-2(b)
(Amendment No. )*
COMPASS PLASTICS & TECHNOLOGIES, INC.
- --------------------------------------------------------------------------------
(Name of issuer)
Common Stock, par value $.0001 per share
- --------------------------------------------------------------------------------
(Title of class of securities)
203915103
------------------------------
(CUSIP number)
December 31, 1999
- --------------------------------------------------------------------------------
(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)
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CUSIP No. 203915103 13G Page 2 of 15 Pages
-------------------- ------------------
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NAME OF REPORTING PERSONS
1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
J O Hambro Capital Management Limited
No IRS Identification Number
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2. (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3.
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4.
England
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5.
NUMBER OF
0
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6.
1,080,000
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7.
REPORTING 0
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8.
1,080,000
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9.
1,080,000
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10.
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.
22.1%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12.
IA, CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
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CUSIP No. 203915103 13G Page 3 of 15 Pages
-------------------- ------------------
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NAME OF REPORTING PERSONS
1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY).
J O Hambro Capital Management (Holdings) Limited
No IRS Identification Number
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2. (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3.
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4.
England
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5.
NUMBER OF
0
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6.
1,080,000
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7.
REPORTING 0
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8.
1,080,000
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9.
1,080,000
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10.
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.
22.1%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12.
HC, CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 203915103 13G Page 4 of 15 Pages
-------------------- ------------------
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NAME OF REPORTING PERSONS
1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Christopher Harwood Bernard Mills
No IRS Identification Number
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2. (a) [_]
(b) [X]
- ------------------------------------------------------------------------------
SEC USE ONLY
3.
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4.
England
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5.
NUMBER OF
0
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6.
1,080,000
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7.
REPORTING 0
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8.
1,080,000
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9.
1,080,000
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10.
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.
22.1%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12.
IN
- ------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 203915103 13G Page 5 of 15 Pages
-------------------- ------------------
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NAME OF REPORTING PERSONS
1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY)
Oryx International Growth Fund Limited
No IRS Identification Number
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2. (a) [_]
(b) [X]
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SEC USE ONLY
3.
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CITIZENSHIP OR PLACE OF ORGANIZATION
4.
Guernsey (Channel Islands)
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5.
NUMBER OF
0
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6.
150,000
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7.
REPORTING 0
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8.
150,000
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9.
150,000
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10.
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.
3.1%
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TYPE OF REPORTING PERSON*
12.
IV, CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
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CUSIP No. 203915103 13G Page 6 of 15 Pages
-------------------- ------------------
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NAME OF REPORTING PERSONS
1. I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY).
Consulta (Channel Islands) Limited
No IRS Identification Number
- ------------------------------------------------------------------------------
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
2. (a) [_]
(b) [X]
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SEC USE ONLY
3.
- ------------------------------------------------------------------------------
CITIZENSHIP OR PLACE OF ORGANIZATION
4.
Guernsey (Channel Islands)
- ------------------------------------------------------------------------------
SOLE VOTING POWER
5.
NUMBER OF
0
SHARES -----------------------------------------------------------
SHARED VOTING POWER
BENEFICIALLY 6.
150,000
OWNED BY
-----------------------------------------------------------
EACH SOLE DISPOSITIVE POWER
7.
REPORTING 0
PERSON -----------------------------------------------------------
SHARED DISPOSITIVE POWER
WITH 8.
150,000
- ------------------------------------------------------------------------------
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
9.
150,000
- ------------------------------------------------------------------------------
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES*
10.
[_]
- ------------------------------------------------------------------------------
PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)
11.
3.1%
- ------------------------------------------------------------------------------
TYPE OF REPORTING PERSON*
12.
IA, CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
<PAGE>
STATEMENT ON SCHEDULE 13G
-------------------------
Item 1(a). Name of Issuer:
--------------
Compass Plastics & Technologies, Inc. (the "Company").
Item 1(b). Address of Issuer's Principal Executive Offices:
-----------------------------------------------
15730 South Figueroa Street, Gardena, California 90248.
Item 2(a). Name of Person Filing:
---------------------
This Statement is filed on behalf of the following five 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 10 Park Place, London SW1A 1LP England. Holdings functions
as the ultimate holding company for J O Hambro Capital Management.
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 10 Park
Place, London SW1A 1LP 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 10 Park Place, London SW1A 1LP 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. 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.
5. 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.
Item 2(b). Address of Principal Business Office or, if None, Residence:
-----------------------------------------------------------
The principal business address of the Filing Parties is c/o J O Hambro
Capital Management Limited, 10 Park Place, London SW1A 1LP England.
Page 7 of 15 Pages
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Item 2(c). Citizenship:
-----------
England
Item 2(d). Title of Class of Securities:
----------------------------
Common Stock, par value $.0001 per share.
Item 2(e). CUSIP Number:
------------
203915103
Item 3. If the statement is filed pursuant to Rules 13d-1(b) or 13d-2(b),
-----------------------------------------------------------------
check whether the person filing is a:
------------------------------------
Not Applicable.
Item 4. Ownership:
---------
The aggregate number and percentage of the outstanding Common Stock of the
Company beneficially owned by each of the Filing Parties as of December 31, 1999
are as follows:
<TABLE>
<CAPTION>
Number of Number of
Number of Shares: Shares: Sole
Aggregate Shares: Sole Shared or Shared
Filing Number of Power to Power to Power to Approximate
Party Shares: Vote Vote Dispose Percentage*
- ----------------------- ------------ ------------ ----------- ------------ -----------
<S> <C> <C> <C> <C> <C>
Holdings 1,080,000 0 1,080,000 1,080,000 22.1%
J O Hambro 1,080,000 0 1,080,000 1,080,000 22.1%
Capital Management
Christopher H.B. Mills 1,080,000 0 1,080,000 1,080,000 22.1%
Oryx 150,000 0 150,000 150,000 3.1%
Consulta 150,000 0 150,000 150,000 3.1%
- ------------------------------------------------------------------------------------------------------
</TABLE>
* Based on 4,883,750 of Common Stock, par value $.0001 per share,
outstanding as of June 1, 1999, which is based on information reported in the
Company's Quarterly Report on Form 10-Q for the quarter ended April 25, 1999.
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 [_].
Page 8 of 15 Pages
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Item 6. Ownership of More than Five Percent on Behalf of Another Person:
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As investment manager for Oryx, Consulta has the right to transfer and vote
the shares of Common Stock of the Company pursuant to an agreement dated as of
February 16, 1995 between Oryx and Consulta. As investment adviser to Oryx, J O
Hambro Capital Management has the right to transfer the shares of Common Stock
of the Company pursuant to an agreement dated as of February 16, 1995 between J
O Hambro Capital Management and Consulta.
As investment manager for certain of its private clients, J O Hambro
Capital Management has the right to transfer and vote the shares of Common Stock
of the Company pursuant to either agreements or arrangements entered into with
such private clients.
Item 7. Identification and Classification of the Subsidiary Which Acquired the
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Security Being Reported on by the Parent Holding Company:
--------------------------------------------------------
Not Applicable.
Item 8. Identification and Classification of Members of the Group:
---------------------------------------------------------
See Item 2(a).
Item 9. Notice of Dissolution of Group:
------------------------------
Not Applicable.
Item 10. Certification:
-------------
Not Applicable.
Page 9 of 15 Pages
<PAGE>
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: April 25, 2000 J O HAMBRO CAPITAL MANAGEMENT LIMITED
/s/ R.G. Barrett
By: _______________________________
Name: R.G. Barrett
Title: Director
Executed on behalf of the parties hereto
pursuant to the Joint Filing Agreement
previously filed.
Page 10 of 15 Pages
<PAGE>
EXHIBITS
The following documents are filed herewith:
(a) Joint Filing Agreement dated as of April 25, 2000 among Holdings, J O
Hambro Capital Management, Christopher Harwood Bernard Mills, Oryx and
Consulta.
Page 11 of 15 Pages
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JOINT FILING AGREEMENT
Page 12 of 15 Pages
<PAGE>
JOINT FILING AGREEMENT
The undersigned hereby agree that the Statement on Schedule 13G dated April 25,
2000 with respect to the shares of Common Stock, $0.0001 par value, of Compass
Plastics & Technologies, Inc. and any further amendments thereto executed by
each or any of us shall be filed on behalf of each of us pursuant to and in
accordance with the provisions of Rule 13d-1(k) under the Securities Exchange
Act of 1934, as amended.
This Agreement may be executed in separate counterparts, each of which shall be
deemed an original, but all of which shall constitute one and the same
instrument.
Date: April 25, 2000 J O HAMBRO CAPITAL MANAGEMENT LIMITED
/s/ R.G. Barrett
By:_______________________________
Name: R.G. Barrett
Title: Director
Date: April 25, 2000 J O HAMBRO & CAPITAL MANAGEMENT
(HOLDINGS) LIMITED
/s/ R.G. Barrett
By:_______________________________
Name: R.G. Barrett
Title: Director
Date: April 25, 2000 CHRISTOPHER H.B. MILLS
/s/ C.H.B. Mills
_______________________________
Date: April 25, 2000 ORYX INTERNATIONAL GROWTH FUND
LIMITED
By: J O Hambro Capital Management Limited,
Its investment advisor
/s/ R.G. Barrett
By:_______________________________
Name: R.G. Barrett
Title: Director
<PAGE>
Date: April 25, 2000 CONSULTA (CHANNEL ISLANDS) LTD
/s/ Barry Carroll
By:_______________________________
Name: Barry Carroll
Title: Director
