Filing Details

Accession Number:
0001225208-13-008269
Form Type:
4
Zero Holdings:
No
Publication Time:
2013-03-22 19:10:25
Reporting Period:
2013-03-20
Filing Date:
2013-03-22
Accepted Time:
2013-03-22 19:10:25
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
1201717 Jr H William Younger 755 Page Mill Road, Suite A-200
Palo Alto CA 94304-1005
Yes 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 2013-03-20 262,942 $1.05 444,157 No 4 P Indirect By Ltd Partnership (YVST)
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Ltd Partnership (SHV)
No 4 P Indirect By Ltd Partnership (YVST)
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,333 Direct
Common Stock 9,726 Indirect By Ltd Partnership (SHAI)
Common Stock 24,628 Indirect By Ltd Partnership (SHQP)
Common Stock 172,869 Indirect By Profit Sharing Plan Trust
Common Stock 229,771 Indirect By Trust (Trustee)
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 limited partnership of which the reporting person is the trustee of a trust which is the General Partner. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest therein.
  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.
  6. Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
  7. Shares held by a trust of which the reporting person is the trustee. The reporting person disclaims beneficial ownership in these shares except as to the reporting person's pecuniary interest in the trust.