-----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, M0H6KDuz/J+mvsaazLLiKfrccsTul8zCeB3/cY6BqcQXaZs87YPvJIIYCjmBBY0g x08eSlU00jJhB1YrB92fmA== 0000950124-01-502299.txt : 20010710 0000950124-01-502299.hdr.sgml : 20010710 ACCESSION NUMBER: 0000950124-01-502299 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010709 GROUP MEMBERS: DANIEL ASHER GROUP MEMBERS: OAKMONT INVESTMENTS LLC GROUP MEMBERS: PYRAMID TRADING LTD PARTNERSHIP /IL SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MEDAMICUS INC CENTRAL INDEX KEY: 0000833140 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 411533300 STATE OF INCORPORATION: MN FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: SEC FILE NUMBER: 005-45959 FILM NUMBER: 1677032 BUSINESS ADDRESS: STREET 1: 15301 HGHWY 55 W CITY: PLYMOUTH STATE: MN ZIP: 55447 BUSINESS PHONE: 7635592613 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: PYRAMID TRADING LTD PARTNERSHIP /IL CENTRAL INDEX KEY: 0001107219 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 363723624 STATE OF INCORPORATION: IL FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: 440 SO LASALLE ST SUITE 700 CITY: CHICAGO STATE: IL ZIP: 60605 BUSINESS PHONE: 3123624000 MAIL ADDRESS: STREET 1: 440 SO LASALLE ST SUITE 700 CITY: CHICAGO STATE: IL ZIP: 60605 SC 13D/A 1 c63713a4sc13da.txt AMENDMENT NO. 4 TO SCHEDULE 13D 1 ================================================================================ SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 Amendment No. 4 Medamicus, Inc. ---------------- (Name of Issuer) Common Stock ------------------------------ (Title of Class of Securities) 584027-10-6 -------------- (CUSIP Number) Robert T. Montague Robins, Kaplan, Miller & Ciresi 800 LaSalle Avenue, Suite 2800 Minneapolis, MN 55402 612-349-8500 -------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to receive Notices and Communications) April 25, 2001 ------------------------------------------------------- (Date of Event which Requires Filing of this Statement) If the filing person has previously filed a statement on Schedule 13G to report the acquisition that is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), (f) or (g), check the following box [ ]. Note: Schedules filed in paper format shall include a signed original and five copies of the schedule, including all exhibits. See Rule 13d-7 for other parties to whom copies are to be sent. *The remainder of this cover page should 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). ================================================================================ 2 CUSIP No. 584027-10-6 (1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Pyramid Trading Limited Partnership 36-3723624 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ x ] - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Source of Funds WC - -------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) Citizenship or Place of Organization Illinois - -------------------------------------------------------------------------------- NUMBER OF (7) Sole Voting Power 0 shares SHARES -------------------------------------------------------------- BENEFICIALLY (8) Shared Voting Power 65,292 shares OWNED BY -------------------------------------------------------------- EACH (9) Sole Dispositive Power 0 shares REPORTING -------------------------------------------------------------- PERSON WITH (10) Shared Dispositive Power 65,292 shares - -------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 65,292 shares - -------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 1.6% - -------------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) BD, PN, IV - -------------------------------------------------------------------------------- Page 2 3 CUSIP No. 54027-10-6 (1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Oakmont Investments, LLC 36-3996171 - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ x ] - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Source of Funds N/A - -------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) Citizenship or Place of Organization Illinois - -------------------------------------------------------------------------------- NUMBER OF (7) Sole Voting Power 0 shares SHARES -------------------------------------------------------------- BENEFICIALLY (8) Shared Voting Power 65,292 shares OWNED BY -------------------------------------------------------------- EACH (9) Sole Dispositive Power 0 shares REPORTING -------------------------------------------------------------- PERSON WITH (10) Shared Dispositive Power 65,292 shares - -------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 65,292 shares - -------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 1.6% - -------------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) CO, IV - -------------------------------------------------------------------------------- Page 3 4 CUSIP No. 584027-10-6 (1) Names of Reporting Persons S.S. or I.R.S. Identification Nos. of Above Persons Daniel Asher ###-##-#### - -------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member of a Group (a) [ ] (b) [ x ] - -------------------------------------------------------------------------------- (3) SEC Use Only - -------------------------------------------------------------------------------- (4) Source of Funds N/A - -------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) [ ] - -------------------------------------------------------------------------------- (6) Citizenship or Place of Organization United States - -------------------------------------------------------------------------------- NUMBER OF (7) Sole Voting Power 0 shares SHARES -------------------------------------------------------------- BENEFICIALLY (8) Shared Voting Power 65,292 shares OWNED BY -------------------------------------------------------------- EACH (9) Sole Dispositive Power 0 shares REPORTING -------------------------------------------------------------- PERSON WITH (10) Shared Dispositive Power 65,292 shares - -------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 65,292 shares - -------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares [ ] - -------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 1.6% - -------------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Page 4 5 This Amendment No. 4 ("Amendment No. 4") amends the Statement on Schedule 13D (the "Schedule 13D") filed on December 29, 1999, and amended by Amendment No. 1 filed May 1, 2000, Amendment No. 2 filed September 28, 2000 and Amendment No. 3 filed October 27, 2000 by Pyramid Trading Limited Partnership ("PT"), Oakmont Investments, LLC, the general partner of PT ("OI") and Daniel Asher, as Manager of OI and individually ("DA")(collectively, the "Reporting Persons") with respect to their beneficial ownership of common stock, par value $.01 per share (the "Common Stock"), of Medamicus, Inc., a Minnesota corporation (the "Company"). The principal executive offices of the Company are located at 15301 Highway 55 West, Plymouth, MN 55447. Items 3, 5 and 7 are hereby amended to read as follows: ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION From March 28, 2001 to June 1, 2001, PT sold 219,100 shares of Common Stock realizing $1,552,102, decreasing its holdings to a total of 65,292 shares. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER As of June 1, 2001, the Reporting Persons beneficially owned 65,292 shares of Common Stock, representing 1.6% thereof, based on 4,196,799 shares outstanding as of May 31, 2001 as set forth in the Company's Registration Statement filed on Form S-8 on June 8, 2001. (b) The information set forth in Items 7 through 11 of the cover pages hereto is incorporated herein by reference. (c) The information concerning transactions in the Common Stock effected by the Reporting Persons during the past sixty (60) days is set forth in Appendix A hereto and incorporated herein by reference. All of the transactions were open market transactions. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS 1. Agreement dated as of June 19, 2001 by and among the signatories of this Statement on Schedule 13-D with respect to its filing. Page 5 6 SIGNATURE After reasonable inquiry and to the best of its knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct. Date: June 19, 2001 PYRAMID TRADING LIMITED PARTNERSHIP BY OAKMONT INVESTMENTS, LLC ITS GENERAL PARTNER BY /s/ Daniel Asher ---------------------------------------------- Daniel Asher, Manager, Oakmont Investments, LLC OAKMONT INVESTMENTS, LLC BY /s/ Daniel Asher ---------------------------------------------- Daniel Asher, Manager /s/ Daniel Asher ------------------------------------------------- DANIEL ASHER Page 6 7 APPENDIX A
NUMBER OF SHARES TRANSACTION PURCHASED\ SHARE (COSTS)/ DATE (SOLD) PRICE PROCEEDS ---- ---------------- ----- ----------- 3/28/01 (5,000) $4.38 $21,875.00 4/10/01 (2,000) $4.50 $9,000.00 4/10/01 (2,000) $4.65 $9,300.00 4/11/01 (2,000) $4.50 $9,000.00 4/12/01 (1,000) $4.55 $4,550.00 4/12/01 (1,500) $4.60 $6,900.00 4/12/01 (1,000) $4.65 $4,650.00 4/16/01 (1,000) $4.95 $4,950.00 4/16/01 (1,500) $4.95 $7,425.00 4/17/01 (400) $4.90 $1,960.00 4/17/01 (1,600) $4.90 $7,840.00 4/17/01 (10,000) $5.07 $50,700.00 4/18/01 (1,500) $5.25 $7,875.00 4/19/01 (500) $5.20 $2,600.00 4/19/01 (1,500) $5.20 $7,800.00 4/19/01 (1,500) $5.23 $7,845.00 4/20/01 (700) $5.30 $3,710.00 4/24/01 (1,000) $5.25 $5,250.00 4/25/01 (1,500) $5.25 $7,875.00 4/25/01 (1,000) $5.29 $5,290.00 4/25/01 (1,000) $5.29 $5,290.00 4/25/01 (1,500) $5.30 $7,950.00 4/30/01 (1,000) $5.45 $5,450.00 4/30/01 (1,000) $5.45 $5,450.00 4/30/01 (2,000) $5.50 $11,000.00 4/30/01 (2,000) $5.60 $11,200.00 5/04/01 (1,000) $5.55 $5,550.00 5/04/01 (1,000) $5.60 $5,600.00 5/04/01 (3,000) $5.65 $16,950.00 5/04/01 (1,800) $5.75 $10,350.00 5/04/01 (100) $5.75 $575.00 5/04/01 (100) $5.75 $575.00 5/04/01 (5,000) $5.87 $29,350.00 5/04/01 (2,000) $5.99 $11,980.00 5/04/01 (2,000) $5.99 $11,980.00 5/04/01 (20,000) $5.60 $112,000.00 5/07/01 (1,000) $5.98 $5,980.00 5/07/01 (500) $6.00 $3,000.00 5/07/01 (1,500) $6.00 $9,000.00 5/07/01 (2,000) $6.00 $12,000.00 5/07/01 (2,000) $6.25 $12,500.00 5/07/01 (2,000) $6.40 $12,800.00 5/07/01 (1,000) $6.40 $6,400.00
Page 7 8 5/07/01 (500) $6.40 $3,200.00 5/07/01 (500) $6.40 $3,200.00 5/07/01 (200) $6.40 $1,280.00 5/07/01 (1,000) $6.45 $6,450.00 5/07/01 (1,000) $6.45 $6,450.00 5/07/01 (2,500) $6.45 $16,125.00 5/07/01 (5,000) $6.60 $33,000.00 5/07/01 (1,400) $6.65 $9,310.00 5/10/01 (600) $6.40 $3,840.00 5/10/01 (1,500) $7.25 $10,875.00 5/10/01 (100) $7.27 $727.00 5/10/01 (700) $7.27 $5,089.00 5/10/01 (500) $7.35 $3,675.00 5/10/01 (100) $7.46 $746.00 5/10/01 (100) $7.52 $752.00 5/10/01 (1,000) $7.52 $7,520.00 5/10/01 (100) $7.60 $760.00 5/10/01 (2,500) $7.70 $19,250.00 5/10/01 (5,000) $7.75 $38,750.00 5/10/01 (4,200) $7.75 $32,550.00 5/10/01 (800) $7.75 $6,200.00 5/10/01 (5,000) $7.75 $38,750.00 5/14/01 (1,500) $7.45 $11,175.00 5/14/01 (1,500) $7.45 $11,175.00 5/14/01 (400) $7.48 $2,992.00 5/14/01 (800) $7.48 $5,984.00 5/14/01 (1,000) $7.50 $7,500.00 5/14/01 (1,000) $7.50 $7,500.00 5/14/01 (2,000) $7.60 $15,200.00 5/14/01 (200) $7.65 $1,530.00 5/14/01 (1,800) $7.65 $13,770.00 5/15/01 (100) $7.75 $775.00 5/15/01 (1,900) $7.75 $14,725.00 5/15/01 (1,500) $7.78 $11,670.00 5/15/01 (500) $7.78 $3,890.00 5/16/01 (1,000) $7.78 $7,780.00 5/16/01 (300) $7.80 $2,340.00 5/16/01 (100) $7.80 $780.00 5/16/01 (3,000) $7.80 $23,400.00 5/16/01 (1,600) $7.80 $12,480.00 5/16/01 (2,500) $7.80 $19,500.00 5/16/01 (4,000) $7.84 $31,360.00 5/16/01 (4,000) $7.88 $31,520.00 5/18/01 (3,100) $8.45 $26,195.00 5/18/01 (1,900) $8.45 $16,055.00 5/18/01 (5,000) $8.70 $43,500.00 5/18/01 (5,000) $8.75 $43,750.00 5/21/01 (5,000) $8.70 $43,500.00 5/21/01 (5,000) $8.70 $43,500.00 5/21/01 (300) $8.69 $2,607.00 5/22/01 (1,000) $8.60 $8,600.00 5/22/01 (1,500) $8.65 $12,975.00
Page 8 9 5/22/01 (2,000) $8.75 $17,500.00 5/22/01 (1,500) $8.75 $13,125.00 5/22/01 (1,500) $8.75 $13,125.00 5/24/01 (3,600) $10.00 $36,000.00 5/24/01 (1,400) $10.00 $14,000.00 5/24/01 (3,000) $10.00 $30,000.00 5/24/01 (2,000) $10.00 $20,000.00 5/24/01 (3,600) $10.00 $36,000.00 5/29/01 (5,000) $9.98 $49,900.00 5/29/01 (5,000) $10.00 $50,000.00 5/29/01 (1,000) $10.00 $10,000.00 5/30/01 (2,000) $9.80 $19,600.00 6/01/01 (2,000) $8.65 $17,300.00 ============ ================= TOTAL: (219,100) $1,552,102.00
Page 9 EX-99.1 2 c63713a4ex99-1.txt AGREEMENT DATED JUNE 19, 2001 1 EXHIBIT 1 AGREEMENT This will confirm the agreement by and among all the undersigned that the Amendment No. 4 to Schedule 13D filed on or about this date with respect to the beneficial ownership of the undersigned of shares of Common Stock of Medamicus, Inc. is being filed on behalf of each of the individuals and entities names below. This agreement may be executed in two or more counterparts, each of which shall be deemed an original, but all of which together shall constitute one and the same instrument. Date: June 19, 2001 PYRAMID TRADING LIMITED PARTNERSHIP BY OAKMONT INVESTMENTS, LLC ITS GENERAL PARTNER BY /s/ Daniel Asher --------------------------------------------- Daniel Asher, Manager, Oakmont Investments, LLC OAKMONT INVESTMENTS, LLC BY /s/ Daniel Asher --------------------------------------------- Daniel Asher, Manager /s/ Daniel Asher ---------------------------------------------- DANIEL ASHER -----END PRIVACY-ENHANCED MESSAGE-----