0001225208-12-004092.txt : 20120214 0001225208-12-004092.hdr.sgml : 20120214 20120214160756 ACCESSION NUMBER: 0001225208-12-004092 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20120213 FILED AS OF DATE: 20120214 DATE AS OF CHANGE: 20120214 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: SWEET DAVID E CENTRAL INDEX KEY: 0001339801 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 12609726 MAIL ADDRESS: STREET 1: 755 PAGE MILL ROAD STREET 2: SUITE A-200 CITY: PALO ALTO STATE: CA ZIP: 94304-1005 ISSUER: COMPANY DATA: COMPANY CONFORMED NAME: CARDICA INC CENTRAL INDEX KEY: 0001178104 STANDARD INDUSTRIAL CLASSIFICATION: SURGICAL & MEDICAL INSTRUMENTS & APPARATUS [3841] IRS NUMBER: 943287832 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 BUSINESS ADDRESS: STREET 1: 900 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 650-364-9975 MAIL ADDRESS: STREET 1: 900 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 4 1 doc4.xml X0304 4 2012-02-13 0001178104 CARDICA INC CRDC 0001339801 SWEET DAVID E 755 PAGE MILL ROAD, SUITE A-200 PALO ALTO CA 94304-1005 1 Common Stock 2012-02-13 4 P 0 3323.0000 1.6500 A 16577.0000 I By Profit Sharing Plan Trust Common Stock 8800.0000 I By Trust (Trustees) Acquired in an underwritten public offering that closed on February 13, 2012. Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person. 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. Robert Yin, by power of attorney 2012-02-14