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