0000884300-16-000037.txt : 20160617
0000884300-16-000037.hdr.sgml : 20160617
20160617140929
ACCESSION NUMBER: 0000884300-16-000037
CONFORMED SUBMISSION TYPE: SC 13G/A
PUBLIC DOCUMENT COUNT: 1
FILED AS OF DATE: 20160617
DATE AS OF CHANGE: 20160617
SUBJECT COMPANY:
COMPANY DATA:
COMPANY CONFORMED NAME: WaferGen Bio-systems, Inc.
CENTRAL INDEX KEY: 0001368993
STANDARD INDUSTRIAL CLASSIFICATION: LABORATORY ANALYTICAL INSTRUMENTS [3826]
IRS NUMBER: 900416683
STATE OF INCORPORATION: NV
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: SC 13G/A
SEC ACT: 1934 Act
SEC FILE NUMBER: 005-84025
FILM NUMBER: 161719721
BUSINESS ADDRESS:
STREET 1: 7400 PASEO PADRE PARKWAY
CITY: FREMONT
STATE: CA
ZIP: 94555
BUSINESS PHONE: (510) 651-4450
MAIL ADDRESS:
STREET 1: 7400 PASEO PADRE PARKWAY
CITY: FREMONT
STATE: CA
ZIP: 94555
FORMER COMPANY:
FORMER CONFORMED NAME: La Burbuja Cafe, Inc.
DATE OF NAME CHANGE: 20060714
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
wgbs0610.txt
WAFERGEN 13G/A
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G/A
Under the Securities Exchange Act of 1934
(Amendment No. 2)
Wafergen Bio-Systems, Inc.
(Name of Issuer)
Common
(Title of Class of Securities)
93041P308
(CUSIP Number)
May 31, 2016
(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).
CUSIP No. 93041P308 Schedule 13 Page 2 of 5
___________________________________________________________________________
1.Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).
Perkins Capital Managment, Inc.
41-1501962
___________________________________________________________________________
2.Check the Appropriate Box if a Member of a Group (See Instructions)
(a) / /
(b) / /
___________________________________________________________________________
3.SEC Use Only
___________________________________________________________________________
4.Citizenship or Place of Organization
A Minnesota Corporation
___________________________________________________________________________
Number of
5.Sole Voting Power
Shares Bene- 0
_________________________________________________________
ficially owned 6.Shared Voting Power
0
by Each _________________________________________________________
7.Sole Dispositive Power
761,000
Reporting _________________________________________________________
8.Shared Dispositive Power
Person With: 0
___________________________________________________________________________
9.Aggregate Amount Beneficially Owned by Each Reporting Person
761,000
____________________________________________________________________________
10.Check if the Aggregate Amount in Row (9) Excludes Certain Shares
(See Instructions)
____________________________________________________________________________
11.Percent of Class Represented by Amount in Row 9
3.9
____________________________________________________________________________
12.Type of Reporting Person (See Instructions)
IA
____________________________________________________________________________
Item 1.
(a)Name of Issuer:
Wafergen Bio-Systems, Inc
(b)Address of Issuer's Principal Executive Offices
7400 Paseo Padre Parkway
Fremont, CA 94555
Item 2.
(a)Name of Person Filing
Perkins Capital Management, Inc.
(b)Address of Principal Business Office or, if none, Residence
730 Lake St E
Wayzata, MN 55391
(c)Citizenship
A Minnesota Corporation
(d)Title of Class of Securities
Common
(e)CUSIP Number
93041P308
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).
(d) | | 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);
(h) | | A savings associations as defined in Section 3(b) of the
Federal Deposit Insurance Act (12 U.S.C. 1813);
(i) | | 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.
(a) Amount Beneficially Owned:
761,000(includes 0 common equivalents and 761,000
warrants exercisable within 60 days)
(b) Percent of Class:
3.9%
(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:
761,000 (includes 0 common equivalents and 761,000
warrants exercisable within 60 days)
(iv) 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 / /.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Item 7. Identification and Classification of the Subsidiary Which Acquired
the Security Being Reported on By the Parent Holding Company
Item 8. Identification and Classification of Members of the Group
Item 9. Notice of Dissolution of Group
Item 10. Certification.
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 and do not have the effect of changing or influencing
the control of the issuer of such securities and were not acquired and are
not held in connection with or as a participant in any transaction having
such 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.
June 10, 2016
______________________________
(Date)
/s/ Richard C. Perkins
______________________________
(Signature)
Richard C. Perkins
Executive VP/CCO/Portfolio Manager
______________________________
(Name/Title)