-----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, MizQf+0VPFLPkNGRsr+86uxSURPnq8ZrWkVNzGyJB4L+w0RJ44HM3GiG4cKLBGzN c1ZE1ycz+sVO4sKK9IyS0w== 0000884300-02-000037.txt : 20020415 0000884300-02-000037.hdr.sgml : 20020415 ACCESSION NUMBER: 0000884300-02-000037 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020408 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CARDIOGENESIS CORP /CA CENTRAL INDEX KEY: 0000863680 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 770223740 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-48997 FILM NUMBER: 02604307 BUSINESS ADDRESS: STREET 1: 1049 KIEL COURT CITY: SUNNYVALE STATE: CA ZIP: 94089 BUSINESS PHONE: 4085482100 MAIL ADDRESS: STREET 1: 1049 KIEL COURT CITY: SUNNYVALE STATE: CA ZIP: 94089 FORMER COMPANY: FORMER CONFORMED NAME: ECLIPSE SURGICAL TECHNOLOGIES INC DATE OF NAME CHANGE: 19940815 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PERKINS CAPITAL MANAGEMENT INC CENTRAL INDEX KEY: 0000884300 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 411501962 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 730 EAST LAKE STREET CITY: WAYZATA STATE: MN ZIP: 55391-1769 BUSINESS PHONE: 9524738367 MAIL ADDRESS: STREET 1: 730 EAST LAKE STREET CITY: WAYZATA STATE: MN ZIP: 55391 FORMER COMPANY: FORMER CONFORMED NAME: PERKINS CAPITAL MANAGEMENT INC ET AL DATE OF NAME CHANGE: 19960212 SC 13G/A 1 cgcp0302.htm CARDIOGENESIS CORP 13GA cgcp0302

UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.

1)

CardioGenesis Corporation

(Name of Issuer)

 

Common

(Title of Class of Securities)

 

14159W-10-9

(CUSIP Number)

 

March 31, 2002

(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 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).

 

 

 

 

 

 

Potential persons who are to respond to the collection of information contained in

this form are not required to respond unless the form displays a currently valid OMB

control number.

 

 CUSIP No.

14159W-10-9

Page 2 of 5

 1.

Names of Reporting Persons.

I.R.S. Identification Nos. of above persons (entities only).

Perkins Capital Management, Inc.

41-1501962

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

  1. / /
  2. / /

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization

730 East Lake Street, Wayzata, Minnesota 55391-1769

 Number of

Shares Bene-

5.

Sole Voting Power

1,080,400

ficially owned

by Each

6.

Shared Voting Power

0

Reporting

 

7.

Sole Dispositive Power

3,788,600

Person With:

8.

Shared Dispositive Power

0

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person

3,788,600

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

 

 

 

11.

Percent of Class Represented by Amount in Row (9)

10.4%

12.

Type of Reporting Person (See Instructions)

IA

 

Item 1.

(a)

Name of Issuer

Cardiogenesis Corporations

(b)

Address of Issuer's Principal Executive Offices

26632 Towne Centre Drive, Suite 320, Foothill Ranch, California 92610

Item 2.

(a)

Name of Person Filing

Perkins Capital Management, Inc.

(b)

Address of Principal Business Office or, if none, Residence

730 East Lake Street, Wayzata, Minnesota 55391-1769

(c)

Citizenship

Minnesota Corporation

(d)

Title of Class of Securities

Common

(e)

CUSIP Number

14159W-10-9

 

Item 3. If this statement is filed pursuant to ss240.13d-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(s)(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).

  1. /_/ Investment company registered under section 8 of the Investment Company Act of 1940

(15 U.S.C. 80a-8).

(e) /X/ An investment adviser in accordance with s240.13d-1(b)(1)(ii)(E);

(f) /_/ An employee benefit plan or endowment fund in accordance with s240.13d-1(b)(1)(ii)(F);

(g) /_/ A parent holding company or control person in accordance with s240.13d-1(b)(ii)(G);

  1. /_/ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act
  2. (12 U.S.C. 1813);

  3. /_/ A church plan that is excluded from the definition of an investment company under section 3c(14)

of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(j) /_/ Group, in accordance with s240.13d-1(b)(1)(ii)(J).

 

Item 4. Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities

of the issuer identified in Item 1.

 

    1. Amount Beneficially Owned:
    2. 3,788,600

    3. Percent of Class:
    4. 10.4%

    5. Number of shares as to which such person has:

    1. Sole power to vote or to direct the vote:
    2. 1,080,400

    3. Shared power to vote or to direct the vote:
    4. 0

    5. Sole power to dispose or to direct the disposition of:
    6. 3,788,600

    7. Shared power to dispose or to direct the disposition of:

0

Instruction: For computations regarding securities which represent a right to acquire an underlying security

see s240.13d(1).

 

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 /_/.

 

Instruction: Dissolution of a group requires a response to this item.

 

Item 6. Ownership of More than Five Percent on Behalf of Another Person.

 

If any other person is known to have the right to receive or the power to direct the receipt of

dividends from, or the proceeds from the sale of, such securities, a statement to that effect should be

included in response to this item and, if such interest relates to more than five percent of the class,

such person should be identified. A listing of the shareholders of an investment company registered

under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund

or endowment fund is not required.

 

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported

on By the Parent Holding Company

 

If a parent holding company has filed this schedule, pursuant to Rule 13d-1(b)(ii)(G), so indicate under

Item 3(g) and attach an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a

parent holding company has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit

stating the identification of the relevant subsidiary.

 

Item 8. Identification and Classification of Members of the Group

 

If a group has filed this schedule pursuant to s240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j)

and attach an exhibit stating the identity and Item 3 classification of each member of the group. If a group

has filed this schedule pursuant to s240.13d-1(c) or s240.13d(d), attach an exhibit stating the identity of each

member of the group.

 

Item 9. Notice of Dissolution of Group

 

Notice of dissolution of a group may be furnished as an exhibit stating the date of the dissolution and

that all further filings with respect to transactions in the security reported on will be filed, if required, by members

of the group, in their individual capacity. See Item 5.

 

Item 10. Certification

  1. The following certification shall be included if the statement is filed pursuant to s240.13d-1(b):
  2.  

    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 that purpose or effect.

     

  3. The following certification shall be included if the statement is filed pursuant to s240.13d-1(c):

 

By signing below I certify that, to the best of my knowledge and belief, the securities referred to

above 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 that purpose 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.

 

 

April 8, 2002

Date

 

 

 

Signature

 

Richard C. Perkins, VP/Portfolio Manager

Name/Title

 

The original statement shall be signed by each person on whose behalf the statement is filed

or his authorized representative. If the statement is signed on behalf of a person by his authorized representative

other than and executive officer or general partner of the filing person, evidence of the representative's

authority to sign on behalf of such person shall be filed with the statement, provided, however, that power

of attorney for this purpose which is already on file with the Commission may be incorporated by reference.

The name and any title of each person who signs the statement shall be typed or printed beneath his signature.

 

NOTE: Schedules filed in paper format shall include a signed original and five copies of the schedule, including

all exhibits. See s240.13d-7 for other parties for whom copies are to be sent.

 

Attention: Intentional misstatements or omissions of fact constitute Federal criminal violations (See 18 U.S.C. 1001)

-----END PRIVACY-ENHANCED MESSAGE-----