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)
*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)
|
||||||
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).
(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);
(12 U.S.C. 1813);
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.
3,788,600
10.4%
1,080,400
0
3,788,600
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
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.
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)