Filing Details

Accession Number:
0001225208-13-008253
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-22 18:47:33
Reporting Period:
2013-03-20
Filing Date:
2013-03-22
Accepted Time:
2013-03-22 18:47:33
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
1178104 Cardica Inc CRDC Surgical & Medical Instruments & Apparatus (3841) 943287832
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1484394 A Stefan Dyckerhoff 755 Page Mill Road, Suite A-200
Palo Alto CA
No No Yes No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2013-03-20 981,736 $1.05 3,412,793 No 4 P Indirect By Ltd Partnership (SHV)
Common Stock Acquisiton 2013-03-20 18,433 $1.05 18,433 No 4 P Indirect By Trust (Trustees)
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Ltd Partnership (SHV)
No 4 P Indirect By Trust (Trustees)
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 9,726 Indirect By Ltd Partnership (SHAI)
Common Stock 24,628 Indirect By Ltd Partnership (SHQP)
Footnotes
  1. Acquired in an underwritten public offering that closed on March 20, 2013.
  2. Shares held by Sutter Hill Ventures, A California Limited Partnership. The reporting person is a Managing Director of the General Partner of Sutter Hill Ventures, A California Limited Partnership. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the partnership.
  3. Shares held by a trust of which the reporting person is a trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust.
  4. Shares held by Sutter Hill Entrepreneurs Fund (AI), L.P. The reporting person is a Managing Director of the General Partner of Sutter Hill Entrepreneurs Fund (AI), L.P. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the partnership.
  5. Shares held by Sutter Hill Entrepreneurs Fund (QP), L.P. The reporting person is a Managing Director of the General Partner of Sutter Hill Entrepreneurs Fund (QP), L.P. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the partnership.