-----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, SR7r8NVtkfdfpnS/Bb9J/e+u7uWCetv/aBwHaVLvBhpgzLrC5BgZqnLsEv57rRJE U67kUOi9jitVbj2bzjHmCQ== 0000897069-04-000324.txt : 20040210 0000897069-04-000324.hdr.sgml : 20040210 20040210152726 ACCESSION NUMBER: 0000897069-04-000324 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040210 GROUP MEMBERS: DAVID W. TICE & ASSOCIATES, LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARDIMA INC CENTRAL INDEX KEY: 0001022570 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 943177883 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-52701 FILM NUMBER: 04581765 BUSINESS ADDRESS: STREET 1: 47266 BENICIA STREET CITY: FREMONT STATE: CA ZIP: 94538 BUSINESS PHONE: 5103540300 MAIL ADDRESS: STREET 1: 47266 BENICIA ST CITY: FREMONT STATE: CA ZIP: 94538 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PRUDENT BEAR FUNDS INC CENTRAL INDEX KEY: 0001002903 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] STATE OF INCORPORATION: MD FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 615 EAST MICHIGAN STREET STREET 2: STE 405 CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4142873315 MAIL ADDRESS: STREET 1: 8140 WALNUT HILL LANE STREET 2: SUITE 405 CITY: DALLAS STATE: TX ZIP: 75231 SC 13G/A 1 sdc642.htm SCHEDULE 13G AMENDMENT 2
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 2)*

CARDIMA, INC.
(Name of Issuer)

Common Stock
(Title of Class of Securities)

14147M106
(CUSIP Number)

December 31, 2003
(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)

* 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).

(Continued on following page(s))
Page 1 of 6 Pages

CUSIP No. 14147M106
      1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

David W. Tice & Associates, LLC - 66-0623243
      2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

Not Applicable
 		(a)   [  ]
(b)   [  ]
      3 SEC USE ONLY

      4 CITIZENSHIP OR PLACE OF ORGANIZATION

Delaware
NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH   

REPORTING  

PERSON WITH    		5  


6  


7  


8   		SOLE VOTING POWER

-0-
SHARED VOTING POWER

-0-
SOLE DISPOSITIVE POWER

1,144,716
SHARED DISPOSITIVE POWER

-0-
      9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,144,716(1)
    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

Not Applicable 		[  ]
    11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

1.5%(1)
    12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

IA
(1) Includes 509,349 shares of Common Stock issuable upon the exercise of immediately exercisable warrants (with the percent ownership calculated based upon an aggregate of 76,750,471 shares outstanding as of November 13, 2003, and assuming the exercise of the warrants to purchase 509,349 shares by the reporting person).

Page 2 of 6 Pages

CUSIP No. 14147M106
      1 NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Prudent Bear Funds, Inc. - 39-1837741
      2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS)

Not Applicable
 		(a)   [  ]
(b)   [  ]
      3 SEC USE ONLY

      4 CITIZENSHIP OR PLACE OF ORGANIZATION

Maryland
NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH   

REPORTING  

PERSON WITH    		5  


6  


7  


8   		SOLE VOTING POWER

-0-
SHARED VOTING POWER

1,144,716
SOLE DISPOSITIVE POWER

-0-
SHARED DISPOSITIVE POWER

-0-
      9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

1,144,716(1)
    10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW 9 EXCLUDES CERTAIN SHARES (SEE INSTRUCTIONS)

Not Applicable 		[  ]
    11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

1.5%(1)
    12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS)

IV
(1) Includes 509,349 shares of Common Stock issuable upon the exercise of immediately exercisable warrants (with the percent ownership calculated based upon an aggregate of 76,750,471 shares outstanding as of November 13, 2003, and assuming the exercise of the warrants to purchase 509,349 shares by the reporting person).

Page 3 of 6 Pages


CUSIP No. 14147M106

        This Amendment No. 2 to the undersigned's Schedule 13G, which was originally filed on February 8, 2002 (the “Schedule 13G”) with regard to Cardima, Inc. (the “Issuer”), is being filed to amend Items 4 and 5 of the Schedule 13G. Except as expressly stated herein, there have been no material changes in the information set forth in the Schedule 13G.

Item 4. Ownership

  David W. Tice & Associates, LLC

  (a) Amount Beneficially Owned:  1,144,716 *

  (b) Percent of Class:  1.5%

  (c) Number of shares as to which such person has:

  (i) sole power to vote or to direct the vote:  -0-

  (ii) shared power to vote or to direct the vote:  -0-

  (iii) sole power to dispose or to direct the disposition of:  1,144,716

  (iv) shared power to dispose or to direct the disposition of:  -0-

  Prudent Bear Funds, Inc.

  (a) Amount Beneficially Owned:  1,144,716 *

  (b) Percent of Class:  1.5%

  (c) Number of shares as to which such person has:

  (i) sole power to vote or to direct the vote:  -0-

  (ii) shared power to vote or to direct the vote:  1,144,716

  (iii) sole power to dispose or to direct the disposition of:  -0-

  (iv) shared power to dispose or to direct the disposition of:  -0-

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 |X|.

 
* David W. Tice & Associates, LLC and Prudent Bear Funds, Inc. share beneficial ownership over the same 1,144,716 shares.

Page 4 of 6 Pages


CUSIP No. 14147M106


Exhibits.

  1. Agreement to file Schedule 13G jointly.

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:   February 3, 2004



DAVID W. TICE & ASSOCIATES, LLC


  By:    /s/  David W. Tice
David W. Tice
President

PRUDENT BEAR FUNDS, INC.


  By:    /s/  David W. Tice
David W. Tice
President


Page 5 of 6 Pages


CUSIP No. 14147M106

EXHIBIT 1

        AGREEMENT dated as of February 3, 2004, by and among David W. Tice & Associates, LLC, a Delaware limited liability company, and Prudent Bear Funds, Inc., a Maryland corporation.

        WHEREAS, in accordance with Rule 13d-1(k) of the Securities Exchange Act of 1934 (the “Act”), only one such statement need be filed whenever two or more persons are required to file a statement pursuant to Section 13(d) of the Act with respect to the same securities, provided that said persons agree in writing that such statement is filed on behalf of each of them.

        NOW, THEREFORE, in consideration of the premises and mutual agreements herein contained, the parties hereto agree as follows:

        Both David W. Tice & Associates, LLC and Prudent Bear Funds, Inc. hereby agree, in accordance with Rule 13d-1(k) under the Act, to file one Statement on Schedule 13G relating to their ownership of the Common Stock of Cardima, Inc., and hereby further agree that said Statement shall be filed on behalf of both David W. Tice &Associates, LLC and Prudent Bear Funds, Inc. Nothing herein shall be deemed to be an admission that the parties hereto, or any of them, are members of a “group”(within the meaning of Section 13(d) of the Act and the rules promulgated thereunder) with respect to any securities of Cardima, Inc.

        IN WITNESS WHEREOF, the parties have executed this agreement as of the date first written above.



DAVID W. TICE & ASSOCIATES, LLC


  By:    /s/  David W. Tice
David W. Tice
President

PRUDENT BEAR FUNDS, INC.


  By:    /s/  David W. Tice
David W. Tice
President


Page 6 of 6 Pages

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