-----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, JaQMEVYrB7MTCxM6xNOqwNu3nkGx3fCOaIPZmMgVFEDdVdYOVRaFGb68qDjP9EPm pGhUoG1xiA6wTzp8k5FbMA== 0000884300-97-000008.txt : 19970806 0000884300-97-000008.hdr.sgml : 19970806 ACCESSION NUMBER: 0000884300-97-000008 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970805 SROS: NONE SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: ATS MEDICAL INC CENTRAL INDEX KEY: 0000824068 STANDARD INDUSTRIAL CLASSIFICATION: ORTHOPEDIC, PROSTHETIC & SURGICAL APPLIANCES & SUPPLIES [3842] IRS NUMBER: 411595629 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-49437 FILM NUMBER: 97651318 BUSINESS ADDRESS: STREET 1: 3905 ANNAPOLIS LA STREET 2: SUITE 105 CITY: MINNEAPOLIS STATE: MN ZIP: 55447 BUSINESS PHONE: 6125537736 MAIL ADDRESS: STREET 1: 3905 ANNAPOLIS LANE STREET 2: SUITE 105 CITY: MINNEAPOLIS STATE: MN ZIP: 55447 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PERKINS CAPITAL MANAGEMENT INC ET AL CENTRAL INDEX KEY: 0000884300 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 411501962 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 708 EAST LAKE STREET CITY: WAYZATA STATE: MN ZIP: 55391 BUSINESS PHONE: 6124738367 MAIL ADDRESS: STREET 1: 708 EAST LAKE STREET CITY: WAYZATA STATE: MN ZIP: 55391 SC 13G/A 1 ATSI 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No.__1__)* ATS Medical, Incorporated - ----------------------------------------------------------------------------- (Name of Issuer) Common Stock - ----------------------------------------------------------------------------- (Title of Class of Securities) 002083-10-3 ------------------------------ (CUSIP Number) *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 5 pages CUSIP No. 002083-10-3 13G Page 2 of 5 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 253,200 6 SHARED VOTING POWER SHARES 0 BENEFICIALLY OWNED BY 7 SOLE DISPOSITIVE POWER 862,100 EACH REPORTING PERSON 8 SHARED DISPOSITIVE POWER 0 WITH 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 862,100 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* /_/ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 4.9% 12 TYPE OF REPORTING PERSON* IA SEC 1745 (2/92) Page 2 of 5 pages CUSIP No. 002083-10-3 13G Page 3 of 5 pages ITEM 1. (a) Name of Issuer ATS Medical, Incorporated (b) Address of Issuer's Principal Executive Offices 3905 Annapolis Lane, Minneapolis, MN 55447 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, MN 55391-1769 (c) Citizenship A Minnesota Corporation (d) Title of Class of Securities Common (e) CUSIP Number 002083-10-3 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 3 of 5 pages CUSIP No. 002083-10-3 13G Page 4 of 5 pages (h) /_/ Group, in accordance with 240.13d-1(b)(1)(ii)(H) ITEM 4. OWNERSHIP If the percent of the class owned, as of December 31 of the year covered by the statement, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount Beneficially Owned 832,100 (b) Percent of Class 4.9% (c) Number of shares as to which such person has: (i) Sole Power to vote or to direct the vote: 253,200 (ii) Shared Power to vote or to direct the vote: 0 (iii) Sole Power to dispose or to direct the disposition of: 862,100 (iv) Shared Power to dispose or to direct the disposition of: 0 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 /X/. 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. SEC 1745 (2/92) Page 4 of 5 pages CUSIP No. 002083-10-3 13G Page 5 of 5 pages 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. August 5, 1997 By /s/ Bradley A. Erickson ---------------------------------------------- (Signature) Bradley A. Erickson Vice President ---------------------------------------------- (Name/Title) SEC 1745 (2/92) Page 5 of 5 pages -----END PRIVACY-ENHANCED MESSAGE-----