-----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, HgJFikGFqonNeZWkZ58klX8uRuraBn8/VOK1ua9CFPcKvBDE9TpINtQLKUlzQ0Sz LVV7f/uk35bcix1rRbDlFw== 0000884300-00-000031.txt : 20000203 0000884300-00-000031.hdr.sgml : 20000203 ACCESSION NUMBER: 0000884300-00-000031 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20000202 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ASTROCOM CORP CENTRAL INDEX KEY: 0000215155 STANDARD INDUSTRIAL CLASSIFICATION: COMPUTER COMMUNICATIONS EQUIPMENT [3576] IRS NUMBER: 410946755 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-09615 FILM NUMBER: 520327 BUSINESS ADDRESS: STREET 1: 3500 HOLLY LN N. STREET 2: SUITE 60 CITY: PLYMOUTH STATE: MN ZIP: 55447 BUSINESS PHONE: 6123787800 MAIL ADDRESS: STREET 1: 3500 HOLLY LN N. STREET 2: SUITE 60 CITY: PLYMOUTH STATE: MN ZIP: 55447 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PERKINS CAPITAL MANAGEMENT INC ET AL 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: 6124738367 MAIL ADDRESS: STREET 1: 730 EAST LAKE STREET CITY: WAYZATA STATE: MN ZIP: 55391 SC 13G/A 1 ATCC13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No._1_)* Astrocom Corporation - ----------------------------------------------------------------------------- (Name of Issuer) Common Stock - ----------------------------------------------------------------------------- (Title of Class of Securities) 046390-10-0 - ----------------------------------------------------------------------------- (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: /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). SEC 1745 (2/92) Page 1 of 7 pages CUSIP No. 046390-10-0 13G Page 2 of 7 pages 1 NAME OF REPORTING PERSON S.S. OR IRS IDENTIFICATION NO. OF ABOVE PERSON Perkins Capital Management, Inc. IRS ID No.: 41-1501962 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) /_/ (b) /_/ 3 SEC USE ONLY 4 CITIZENSHIP OR PLACE OF ORGANIZATION 730 East Lake Street, Wayzata, MN 55391-1769 5 SOLE VOTING POWER NUMBER OF 849,757 6 SHARED VOTING POWER SHARES 0 BENEFICIALLY OWNED BY 7 SOLE DISPOSITIVE POWER 1,924,257 EACH REPORTING PERSON 8 SHARED DISPOSITIVE POWER 0 WITH 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,162,000 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /_/ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.7% 12 TYPE OF REPORTING PERSON* IA SEC 1745 (2/92) Page 2 of 7 pages CUSIP No. 046390-10-0 13G Page 3 of 7 pages 1. NAME OF REPORTING PERSON S.S. OR I.R.S IDENTIFICATION NO. OF THE ABOVE PERSON Richard W. Perkins ###-##-#### 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP * (a) /_/ (b) /_/ 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION 730 East Lake Street, Wayzata, MN 55391 NUMBER OF 5. SOLE VOTING POWER 0 (Refer to item 5 page 2 of 7) SHARES 6. SHARED VOTING POWER BENEFICIALLY 0 OWNED BY EACH 7. SOLE DISPOSITIVE POWER 0 (Refer to item 7 page 2 of 7) REPORTING 8. SHARED DISPOSITIVE POWER PERSON WITH 0 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 762,257 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES * /_/ 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 5.1% 12. TYPE OF REPORTING PERSON * IN SEC 1745 (2/92) Page 3 of 7 pages CUSIP No. 046390-10-0 13G Page 4 of 7 pages ITEM 1. (a) Name of Issuer Astrocom Corporation (b) Address of Issuer's Principal Executive Offices 3500 Holly Lane North, Suite 60, Plymouth, Minnesota 55447 ITEM 2. (a) Name of Persons Filing Perkins Capital Management, Inc., a Minnesota Corporation Richard W. Perkins, an indivudual investor (b) Address of Principal Business Office or, if none, Residence 730 East Lake Street, Wayzata, MN 55391-1769 (c) Citizenship A Minnesota Corporation A US Citizen (d) Title of Class of Securities Common (e) CUSIP Number 046390-10-0 ITEM 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: (a) /_/ Broker or a Dealer registered under Section 15 of the Act (b) /_/ Bank as defined in section 3(a)(6) of the Act (c) /_/ Insurance Company as defined in section 3(a)(19) of the Act (d) /_/ Investment Company registered under section 8 of the Investment Company Act (e) /X/ Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) /_/ Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund (g) /_/ Parent Holding Company, in accordance with 240.13d-1(b)(ii)(G) (Note: See Item 7) SEC 1745 (2/92) Page 4 of 7 pages CUSIP No. 046390-10-0 13G Page 5 of 7 pages (h) /_/ Group, in accordance with 240.13d-1(b)(1)(ii)(H) ITEM 4. OWNERSHIP (a) The amount beneficially owned is 1,924,257 shares of common equivalents. This includes 454,500 shares of common equivalents and 707,500 warrants exerciseable within 60 days owned by clients of Perkins Capital Management, Inc., and 687,257 shares of common equivalents and 75,000 warrants exerciseable within 60 days owned by Richard W. Perkins. Perkins Capital Management, Inc. disclaims beneficial interest in Richard W. Perkins shares. (b) The percent of class is 12.8%. This includes a percentage of class of 7.7% by clients of Perkins Capital Management, Inc. and 5.1% by Richard W. Perkins. (c) Number of shares as to which such person has: (i) The total voting power is 849,757 shares, which includes 160,500 shares of sole voting power for Perkins Capital Management, Inc. and 687,257 shares of sole voting power for Richard W. Perkins. (ii) There are zero shares with shared power to vote or to direct the vote. (iii) The total shares the power to dispose is 1,924,257, which includes 454,500 common equivalents and 707,500 warrants exercisable within 60 days held by clients of Perkins Capital Management, Inc. and 687,257 common equivalents and 75,000 warrants exercisable within 60 days held by Richard W. Perkins in various trusts. (iv) There are zero shares with shared power to dispose or to direct the disposition. SEC 1745 (2/92) Page 5 of 7 pages CUSIP No. 046390-10-0 13G Page 6 of 7 pages ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS Not applicable. ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON. Not applicable. 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 I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes 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. January 31, 2000 By /s/ Richard C. Perkins - ---------------------------------------------- (Signature) Richard C. Perkins, VP/Portfolio Manager - ---------------------------------------------- (Name/Title) SEC 1745 (2/92) Page 6 of 7 pages CUSIP No. 046390-10-0 13G Page 7 of 7 pages JOINT FILING AGREEMENT PURSUANT TO RULE 13d-1(f)(1) This agreement is made pursuant to Rule 13d-1(f)(1) under the Securities Exchange Act of 1934 (the "ACT") by and among the parties listed below, each referred to herein as a "Joint Filer". The Joint Filers agree that a statement of beneficial ownership as required by Section 13(d) of the ACT and the Rules thereunder may be filed on each of their behalf on Schedule 13D or Schedule 13G as appropriate and that said joint filing may thereafter be amended by further joint filings. The Joint Filers state that to the best of their knowledge and belief they each satisfy the requirements for making a joint filing under Rule 13d-1. January 31, 2000 /s/ Richard C. Perkins /s/ Richard W. Perkins - ----------------------------- ------------------------------- Perkins Capital Management, Inc. Perkins Capital Management, Inc. Richard C. Perkins Richard W. Perkins VP/Portfolio Manager President/Portfolio Manager -----END PRIVACY-ENHANCED MESSAGE-----