0001437749-16-025977.txt : 20160224 0001437749-16-025977.hdr.sgml : 20160224 20160224200313 ACCESSION NUMBER: 0001437749-16-025977 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160222 FILED AS OF DATE: 20160224 DATE AS OF CHANGE: 20160224 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: Bates Michael A. CENTRAL INDEX KEY: 0001661542 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 161453607 MAIL ADDRESS: STREET 1: 900 SAGINAW DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 4 1 rdgdoc.xml FORM 4 X0306 4 2016-02-22 0001178104 CARDICA INC CRDC 0001661542 Bates Michael A. 900 SAGINAW DRIVE REDWOOD CITY CA 94063 1 Common Stock 2016-02-22 4 P 0 2000 2.62 A 23000 D Common Stock 2016-02-23 4 P 0 5000 2.63 A 28000 D Common Stock 2016-02-24 4 P 0 26600 2.99 A 54600 D The price reported in Column 4 is the weighted average price. These shares were bought in multiple transactions at prices ranging from $2.57 to $2.67, inclusive. Upon request, the reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission, full information regarding the shares purchased at each separate price within the range set forth in footnote one (1) of this Form 4. The price reported in Column 4 is the weighted average price. These shares were bought in multiple transactions at prices ranging from $2.74 to $3.08, inclusive. Upon request, the reporting person undertakes to provide the Issuer, any security holder of the Issuer, or the Securities and Exchange Commission, full information regarding the shares purchased at each separate price within the range set forth in footnote two (2) of this Form 4. /s/ By: Robert Y. Newell, IV, For: Michael A. Bates 2016-02-24