Dear Valued Visitor,

We have noticed that you are using an ad blocker software.

Although advertisements on the web pages may degrade your experience, our business certainly depends on them and we can only keep providing you high-quality research based articles as long as we can display ads on our pages.

To view this article, you can disable your ad blocker and refresh this page or simply login.

We only allow registered users to use ad blockers. You can sign up for free by clicking here or you can login if you are already a member.

Filing Details

Accession Number:
0001225208-14-023212
Form Type:
4
Zero Holdings:
No
Publication Time:
2014-11-12 18:51:19
Reporting Period:
2014-11-10
Filing Date:
2014-11-12
Accepted Time:
2014-11-12 18:51:19
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 No 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 2014-11-10 24,628 $0.91 254,399 No 4 P Indirect By Trust (Trustee)
Common Stock Acquisiton 2014-11-10 9,726 $0.91 264,125 No 4 P Indirect By Trust (Trustee)
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect By Trust (Trustee)
No 4 P Indirect By Trust (Trustee)
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 2,333 Direct
Common Stock 3,412,793 Indirect By Ltd Partnership (SHV)
Common Stock 444,157 Indirect By Ltd Partnership (YVST)
Common Stock 172,869 Indirect By Profit Sharing Plan Trust
Footnotes
  1. These shares were purchased from Sutter Hill Entrepreneurs Fund (QP), L.P. ("SHQP") The reporting person is a Managing Director of the General Partner of SHQP. The reporting person previously reported beneficial ownership of such shares indirectly through SHQP, disclaiming beneficial ownership of these shares except as to the reporting person's pecuniary interest in the partnership. For purposes of Section 16, the purchase of these shares by the trust constituted (i) a change in the form of ownership of the shares previously beneficially owned by the reporting person from one form of indirect ownership to another; and (ii) with respect to the remaining shares shares held by SHQP, a purchase by the reporting person. Following this transaction, SHQP no longer holds any securities of the Issuer.
  2. 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.
  3. These shares were purchased from Sutter Hill Entrepreneurs Fund (AI), L.P. ("SHAI") The reporting person is a Managing Director of the General Partner of SHAI. The reporting person previously reported beneficial ownership of such shares indirectly through SHAI, disclaiming beneficial ownership of these shares except as to the reporting person's pecuniary interest in the partnership. For purposes of Section 16, the purchase of these shares held by the trust constituted (i) a change in the form of ownership of the shares previously beneficially owned by the reporting person from one form of indirect ownership to another; and (ii) with respect to the remaining shares held by SHAI, a purchase by the reporting person. Following this transaction, SHAI no longer holds any securities of the Issuer.
  4. 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.
  5. 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.
  6. Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.