0001225208-14-023212.txt : 20141112
0001225208-14-023212.hdr.sgml : 20141111
20141112185119
ACCESSION NUMBER: 0001225208-14-023212
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20141110
FILED AS OF DATE: 20141112
DATE AS OF CHANGE: 20141112
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
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: YOUNGER WILLIAM H JR
CENTRAL INDEX KEY: 0001201717
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-51772
FILM NUMBER: 141215744
MAIL ADDRESS:
STREET 1: 755 PAGE MILL ROAD, SUITE A-200
CITY: PALO ALTO
STATE: CA
ZIP: 94304-1005
4
1
doc4.xml
X0306
4
2014-11-10
0001178104
CARDICA INC
CRDC
0001201717
YOUNGER WILLIAM H JR
755 PAGE MILL ROAD, SUITE A-200
PALO ALTO
CA
94304-1005
1
Common Stock
2014-11-10
4
P
0
24628.0000
0.9100
A
254399.0000
I
By Trust (Trustee)
Common Stock
2014-11-10
4
P
0
9726.0000
0.9100
A
264125.0000
I
By Trust (Trustee)
Common Stock
2333.0000
D
Common Stock
3412793.0000
I
By Ltd Partnership (SHV)
Common Stock
444157.0000
I
By Ltd Partnership (YVST)
Common Stock
172869.0000
I
By Profit Sharing Plan Trust
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.
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.
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.
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 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.
Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.
/s/ Robert Yin, by power of attorney
2014-11-10