0001225208-13-008258.txt : 20130323 0001225208-13-008258.hdr.sgml : 20130323 20130322185749 ACCESSION NUMBER: 0001225208-13-008258 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20130320 FILED AS OF DATE: 20130322 DATE AS OF CHANGE: 20130322 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Pullara Samuel J III CENTRAL INDEX KEY: 0001561643 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 13712372 MAIL ADDRESS: STREET 1: 755 PAGE MILL ROAD, SUITE A-200 CITY: PALO ALTO STATE: CA ZIP: 94304 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 X0306 4 2013-03-20 0001178104 CARDICA INC CRDC 0001561643 Pullara Samuel J III 755 PAGE MILL ROAD, SUITE A-200 PALO ALTO CA 1 Common Stock 2013-03-20 4 P 0 18433.0000 1.0500 A 18433.0000 D Common Stock 2013-03-20 4 P 0 981736.0000 1.0500 A 3412793.0000 I By Ltd Partnership (SHV) Common Stock 9726.0000 I By Ltd Partnership (SHAI) Common Stock 24628.0000 I By Ltd Partnership (SHQP) Acquired in an underwritten public offering that closed on March 20, 2013. 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. 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. 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. /s/ Robert Yin, by power of attorney 2013-03-22