-----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, A1wPG+vuAGeLC1TcEQ0iwlVHRomh+p+d7KjwkcV2RyYXZ5cGXKSOsifIQmlHzHQO dUc4KPym48uxti1KR9C+CQ== 0000897069-02-000106.txt : 20020414 0000897069-02-000106.hdr.sgml : 20020414 ACCESSION NUMBER: 0000897069-02-000106 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20020208 GROUP MEMBERS: DAVID W. TICE &ASSOCIATES, INC. 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 SEC ACT: 1934 Act SEC FILE NUMBER: 005-52701 FILM NUMBER: 02532321 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 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 1 sdc84a.txt SCHEDULE 13G - PRUDENT BEAR FUNDS, INC. ----------------------------------- OMB APPROVAL ----------------------------------- OMB Number: 3235-0145 Expires: October 31, 2002 Estimated average burden Hours per response.............14.9 ----------------------------------- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* CARDIMA, INC. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock - -------------------------------------------------------------------------------- (Title of Class of Securities) 14147M106 ------------------------------------------------------------------------ (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- (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 8 Pages - ----------------------------------- CUSIP No. 14147M106 - ----------------------------------- ================================================================================ 1 NAME OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) David W. Tice & Associates, Inc. - 75-2476962 - -------- ---------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (SEE INSTRUCTIONS) (b) [ ] Not Applicable - -------- ---------------------------------------------------------------------- 3 SEC USE ONLY - -------- ---------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Texas - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 0 -------- -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 -------- -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 2,608,632 -------- -------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,608,632(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) 7.0%(1) - -------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IA ================================================================================ (1) The percent ownership calculated is based upon an aggregate of 37,548,210 shares outstanding as of November 12, 2001. Page 2 of 8 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 (a) [ ] (SEE INSTRUCTIONS) (b) [ ] Not Applicable - -------- ---------------------------------------------------------------------- 3 SEC USE ONLY - -------- ---------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION Maryland - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER SHARES 2,608,632 -------- -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 0 -------- -------------------------------------------------------- EACH 7 SOLE DISPOSITIVE POWER REPORTING 0 -------- -------------------------------------------------------- PERSON 8 SHARED DISPOSITIVE POWER WITH 0 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 2,608,632(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) 7.0%(1) - -------- ---------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IV ================================================================================ (1) The percent ownership calculated is based upon an aggregate of 37,548,210 shares outstanding as of November 12, 2001. Page 3 of 8 Pages - ----------------------------------- CUSIP No. 14147M106 - ----------------------------------- Item 1(a). Name of Issuer: - ---------- --------------- Cardima, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: - ---------- ------------------------------------------------ 47266 Benicia Street Fremont, CA 94538-7330 Item 2(a). Name of Person Filing: - ---------- ---------------------- The persons filing this Schedule 13G are (i) David W. Tice & Associates, Inc., an investment adviser registered under Section 203 of the Investment Advisers Act of 1940 and (ii) Prudent Bear Funds, Inc., an investment company registered under the Investment Company Act of 1940. Attached as Exhibit 1 hereto, which is incorporated by reference herein, is an agreement between David W. Tice & Associates, Inc. and Prudent Bear Funds, Inc. that this Schedule 13G is filed on behalf of each of them. Item 2(b). Address of Principal Business Office or, if none, Residence: - ---------- ------------------------------------------------------------ 8140 Walnut Hill Lane, Suite 300 Dallas, Texas 75231 (for both David W. Tice & Associates, Inc. and Prudent Bear Funds, Inc.) Item 2(c). Citizenship: - ---------- ------------ David W. Tice & Associates, Inc. is a Texas corporation. Prudent Bear Funds, Inc. is a Maryland corporation. Item 2(d). Title of Class of Securities: - ---------- ----------------------------- Common Stock Item 2(e). CUSIP Number: - ---------- ------------- 14147M106 Page 4 of 8 Pages - ----------------------------------- CUSIP No. 14147M106 - ----------------------------------- Item 3. If this statement is filed pursuant to Rules 13d-1(b), or - ------- ---------------------------------------------------------- 13d-2(b) or (c), check whether the person filing is a: ------------------------------------------------------ [ ] Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). [ ] Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). [ ] Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). [X] Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8). [X] An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E). [ ] An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F). [ ] A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G). [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); [ ] A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); [ ] Group, in accordance with Section 240.13d-1(b)(1)(ii)(J). Item 4. Ownership - ------- --------- David W. Tice & Associates, Inc. -------------------------------- (a) Amount Beneficially Owned: 2,608,632* (b) Percent of Class: 7.0% (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: 2,608,632 (iv) shared power to dispose or to direct the disposition of: -0- - ------------ * David W. Tice & Associates, Inc. and Prudent Bear Funds, Inc. share beneficial ownership over the same 2,608,632 shares. Page 5 of 8 Pages - ----------------------------------- CUSIP No. 14147M106 - ----------------------------------- Prudent Bear Funds, Inc. ------------------------ (a) Amount Beneficially Owned: 2,608,632* (b) Percent of Class: 7.0% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 2,608,632 (ii) shared power to vote or to direct the vote: -0- (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. - ------ -------------------------------------------- N/A Item 6. Ownership of More than Five Percent on Behalf of Another - ------ -------------------------------------------------------- Person. ------ N/A Item 7. Identification and Classification of the Subsidiary Which - ------ --------------------------------------------------------- Acquired the Security Being Reported on By the Parent ----------------------------------------------------- Holding Company. --------------- N/A Item 8. Identification and Classification of Members of the Group. - ------ --------------------------------------------------------- N/A Item 9. Notice of Dissolution of Group. - ------ ------------------------------ N/A - ------------ * David W. Tice & Associates, Inc. and Prudent Bear Funds, Inc. share beneficial ownership over the same 2,608,632 shares. Page 6 of 8 Pages - ----------------------------------- CUSIP No. 14147M106 - ----------------------------------- 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. 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. Date: February 5, 2002 DAVID W. TICE & ASSOCIATES, INC. By: /s/ David W. Tice -------------------------------------- David W. Tice, President PRUDENT BEAR FUNDS, INC. By: /s/ David W. Tice -------------------------------------- David W. Tice, President Page 7 of 8 Pages EX-99.1 3 sdc84b.txt AGR. TO FILE SCHED. 13G JOINTLY - PRUDENT BEAR - ----------------------------------- CUSIP No. 14147M106 - ----------------------------------- EXHIBIT 1 AGREEMENT dated as of February 5, 2002, by and among David W. Tice & Associates, Inc., a Texas corporation, 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, Inc. 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, Inc. 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, INC. By: /s/ David W. Tice --------------------------------------------- David W. Tice, President PRUDENT BEAR FUNDS, INC. By: /s/ David W. Tice --------------------------------------------- David W. Tice, President Page 8 of 8 Pages -----END PRIVACY-ENHANCED MESSAGE-----