-----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, RhdC1GkRJTDe1wiMdbG5een2AoT4rH5Z+QtO7hyNw/dj7Ajq76JDjQuYf3Yef8K9 HfUmHUczfwgWqAWy9RbK+Q== 0000940180-02-001406.txt : 20020809 0000940180-02-001406.hdr.sgml : 20020809 20020809155746 ACCESSION NUMBER: 0000940180-02-001406 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020809 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: UROPLASTY INC CENTRAL INDEX KEY: 0000890846 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 411719250 STATE OF INCORPORATION: MN FISCAL YEAR END: 0331 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-78417 FILM NUMBER: 02724894 BUSINESS ADDRESS: STREET 1: 2718 SUMMER STREET NE CITY: MINNEAPOLIS STATE: MN ZIP: 55413 BUSINESS PHONE: 6123781180 MAIL ADDRESS: STREET 1: 2718 SUMMER ST NE CITY: MINNEAPOLIS STATE: MN ZIP: 55413 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HEARTLAND ADVISORS INC CENTRAL INDEX KEY: 0000937394 IRS NUMBER: 391078128 STATE OF INCORPORATION: WI FISCAL YEAR END: 0930 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 789 N WATER STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 BUSINESS PHONE: 4142897840 MAIL ADDRESS: STREET 1: 789 N WATER STREET CITY: MILWAUKEE STATE: WI ZIP: 53202 SC 13G 1 dsc13g.txt SCHEDULE 13-G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* UROPLASTY, INC. (Name of Issuer) COMMON STOCK (Title of Class of Securities) 917277204 (CUSIP Number) July 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). Page 1 of 6 pages CUSIP No. 917277204 13G Page 2 of 6 Pages 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOs. OF ABOVE PERSONS HEARTLAND ADVISORS, INC. #39-1078128 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION WISCONSIN, U.S.A. NUMBER OF 5. SOLE VOTING POWER SHARES BENEFICIALLY None OWNED BY EACH 6. SHARED VOTING POWER REPORTING PERSON None WITH 7. SOLE DISPOSITIVE POWER 377,500 8. SHARED DISPOSITIVE POWER None 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 377,500 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 8.5% 12. TYPE OF REPORTING PERSON IA CUSIP No. 917277204 13G Page 3 of 6 Pages 1. NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOs. OF ABOVE PERSONS WILLIAM J. NASGOVITZ ###-##-#### 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [_] (b) [_] 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION WISCONSIN, U.S.A. NUMBER OF 5. SOLE VOTING POWER SHARES BENEFICIALLY None OWNED BY EACH 6. SHARED VOTING POWER REPORTING PERSON None WITH 7. SOLE DISPOSITIVE POWER None 8. SHARED DISPOSITIVE POWER None 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON None 10. CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.0% 12. TYPE OF REPORTING PERSON IN CUSIP No. 917277204 13G Page 4 of 6 Pages Item 1. (a) Name of Issuer: Uroplasty, Inc. -------------- (b) Address of Issuer's Principal Executive Offices: ----------------------------------------------- 2718 Summer Street NE Minneapolis, MN 55413-2820 Item 2. (a) Name of Person Filing: --------------------- (1) Heartland Advisors, Inc. (2) William J. Nasgovitz (b) Address of Principal Business Office: ------------------------------------ (1) 789 North Water Street Milwaukee, WI 53202 (2) 789 North Water Street Milwaukee, WI 53202 (c) Citizenship: Heartland Advisors is a Wisconsin corporation. ----------- William J. Nasgovitz - U.S.A. (d) Title of Class of Securities: Common Stock ---------------------------- (e) CUSIP Number: 917277204 ------------ Item 3. The persons filing this Schedule 13G are Heartland Advisors, Inc., an investment adviser registered with the SEC, and William J. Nasgovitz, President and principal shareholder of Heartland Advisors, Inc. Mr. Nasgovitz joins in this filing pursuant to SEC staff positions authorizing certain individuals in similar situations to join in a filing with a controlled entity eligible to file on Schedule 13G. The reporting persons do not admit that they constitute a group. Item 4. Ownership. --------- (a) Amount beneficially owned: -------------------------- 377,500 shares may be deemed beneficially owned within the meaning of Rule 13d-3 of the Securities Exchange Act of 1934 by (1) Heartland Advisors, Inc. by virtue of its investment discretion over client securities, which may be revoked; and (2) William J. Nasgovitz, as a result of his position with and stock ownership of Heartland which could be deemed to confer upon him investment power over the shares Heartland beneficially owns. (b) Percent of Class: ----------------- 8.5% (c) For information on voting and dispositive power with respect to the above listed shares, see Items 5-8 of the Cover Page. CUSIP No. 917277204 13G Page 5 of 6 Pages 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:[ ] Item 6. Ownership of more than Five Percent on Behalf of Another Person. ---------------------------------------------------------------- The shares of common stock to which this Schedule relates represent more than 5% of the class and are held in an investment advisory account of Heartland Advisors, Inc. for the benefit of Turn of the Tide, a Wisconsin Limited Partnership. As a result, various persons have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the securities. Item 7. Identification and Classification of the Subsidiary Which Acquired the ---------------------------------------------------------------------- Security Being Reported on By the Parent Holding Company. --------------------------------------------------------- Not Applicable. Item 8. Identification and Classification of Members of the Group. --------------------------------------------------------- Not Applicable. Item 9. Notice of Dissolution of Group. ------------------------------ Not Applicable. Item 10. Certification. ------------- By signing below, the undersigned certify that, to the best of their 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. 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. DATE: August 9, 2002 WILLIAM J. NASGOVITZ HEARTLAND ADVISORS, INC. By: /s/ PAUL T. BESTE By: /s/ PAUL T. BESTE - --------------------- ------------- Paul T. Beste Paul T. Beste As Attorney in Fact for Chief Operating Officer William J. Nasgovitz EXHIBIT INDEX Exhibit 1 Joint Filing Agreement EXHIBIT 1 Joint Filing Agreement The undersigned persons agree and consent to the joint filing on their behalf of this Schedule 13G in connection with their beneficial ownership of UROPLASTY, Inc. at July 31, 2002. WILLIAM J. NASGOVITZ By: /s/ PAUL T. BESTE ------------- Paul T. Beste As Attorney in Fact for William J. Nasgovitz HEARTLAND ADVISORS, INC. By: /s/ PAUL T. BESTE ------------- Paul T. Beste Chief Operating Officer -----END PRIVACY-ENHANCED MESSAGE-----