-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, OCigIet5ckguYjwGnQ/PTEn15ov3m2shN6wXYhEnsvRpswOZMS1LdEXK4hz6XhrW TmdIGdjxyt2yhlIdxXo/mw== 0000932799-08-000039.txt : 20080211 0000932799-08-000039.hdr.sgml : 20080211 20080211145402 ACCESSION NUMBER: 0000932799-08-000039 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080211 DATE AS OF CHANGE: 20080211 GROUP MEMBERS: ALLEN & COMPANY INCORPORATED GROUP MEMBERS: ALLEN, BRUCE GROUP MEMBERS: ALLEN, HERBERT A. GROUP MEMBERS: ALLEN, SUSAN K. GROUP MEMBERS: HAGC PARTNERS L.P. GROUP MEMBERS: JOHN SIMON GROUP MEMBERS: KEOUGH PARTNERS, L.P. SUBJECT COMPANY: 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 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-81663 FILM NUMBER: 08592875 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 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: ALLEN & CO INC/ALLEN HOLDING INC CENTRAL INDEX KEY: 0000904807 IRS NUMBER: 931202428 STATE OF INCORPORATION: NY FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 2128328300 MAIL ADDRESS: STREET 1: 711 FIFTH AVENUE CITY: NEW YORK STATE: NY ZIP: 10022 SC 13G/A 1 cardica_13ga.txt SCHEDULE 13G AMENDMENT NO. 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Rule 13d-102 Under the Securities Exchange Act of 1934 (Amendment No. 1)* CARDICA, INC. ------------------------------------------------------------------------------- (Name of Issuer) Common Stock ------------------------------------------------------------------------------- (Title of Class of Securities) 14141R101 ------------------------------------------------------------------------------- (CUSIP Number) December 31, 2007 ------------------------------------------------------------------------------- (Date of Event which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: |_| Rule 13d-1 (b) |_| Rule 13d-1 (c) |X| Rule 13d-1 (d) - ---------- * The remainder of this cover page shall be filled out for a reporting person's initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page. The information required on the remainder of this cover page shall not be deemed to be "filed" for the purpose of Section 18 of the Securities Exchange Act of 1934 ("Act") or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). - -------------------------------------------------------------------------------- CUSIP No. 14141R101 (1) Names of reporting persons. Allen & Company Incorporated - -------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a)| | (b)|X| - -------------------------------------------------------------------------------- (3) SEC use only. - -------------------------------------------------------------------------------- (4) Citizenship or place of organization. New York - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 0 (6) Shared voting power: 498,534 (including 80,596 shares underlying warrants) (7) Sole dispositive power: 0 (8) Shared dispositive power: 498,534 (including 80,596 shares underlying warrants) - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 498,534 (including 80,596 shares underlying warrants) - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 3.6% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). CO - -------------------------------------------------------------------------------- 2 CUSIP No. 14141R101 - -------------------------------------------------------------------------------- (1) Names of reporting persons. Keough Partners, L.P. - -------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a)| | (b)|X| - -------------------------------------------------------------------------------- (3) SEC use only. - -------------------------------------------------------------------------------- (4) Citizenship or place of organization. Georgia - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 0 (6) Shared voting power: 128,240 (including 13,324 shares underlying warrants) (7) Sole dispositive power: 0 (8) Shared dispositive power: 128,240 (including 13,324 shares underlying warrants) - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 128,240 (including 13,324 shares underlying warrants) - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0.9% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). PN - -------------------------------------------------------------------------------- 3 CUSIP No. 14141R101 - -------------------------------------------------------------------------------- (1) Names of reporting persons. HAGC Partners L.P. - -------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a)| | (b)|X| - -------------------------------------------------------------------------------- (3) SEC use only. - ------------------------------------------------------------------------------- (4) Citizenship or place of organization. Delaware - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 0 (6) Shared voting power: 48,667 (7) Sole dispositive power: 0 (8) Shared dispositive power: 48,667 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 48,667 - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0.4% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). PN - -------------------------------------------------------------------------------- 4 CUSIP No. 14141R101 - -------------------------------------------------------------------------------- (1) Names of reporting persons. Allen, Herbert A. - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a)| | (b)|X| - -------------------------------------------------------------------------------- (3) SEC use only. - -------------------------------------------------------------------------------- (4) Citizenship or place of organization. USA - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 40,556 (6) Shared voting power: 498,534 (represents shares held by Allen & Company Incorporated) (7) Sole dispositive power: 40,556 (8) Shared dispositive power: 498,534 (represents shares held by Allen & Company Incorporated) - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 539,090 (including 80,596 shares underlying warrants) - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 3.9% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- 5 CUSIP No. 14141R101 - -------------------------------------------------------------------------------- (1) Names of reporting persons. Allen, Bruce - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a)| | (b)|X| - -------------------------------------------------------------------------------- (3) SEC use only. - -------------------------------------------------------------------------------- (4) Citizenship or place of organization. USA - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 323,578 (including 38,760 shares underlying warrants) (6) Shared voting power: 0 (7) Sole dispositive power: 323,578 (including 38,760 shares underlying warrants) (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 323,578 (including 38,760 shares underlying warrants) - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 2.4% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- 6 CUSIP No. 14141R101 - -------------------------------------------------------------------------------- (1) Names of reporting persons. Allen, Susan K. - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a)| | (b)|X| - -------------------------------------------------------------------------------- (3) SEC use only. - -------------------------------------------------------------------------------- (4) Citizenship or place of organization. USA - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 121,213 (including 24,225 shares underlying warrants) (6) Shared voting power: 0 (7) Sole dispositive power: 121,213 (including 24,225 shares underlying warrants) (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 121,213 (including 24,225 shares underlying warrants) - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 0.9% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- 7 CUSIP No. 14141R101 - -------------------------------------------------------------------------------- (1) Names of reporting persons. John Simon - ------------------------------------------------------------------------------- (2) Check the appropriate box if a member of a group (see instructions) (a)| | (b)|X| - -------------------------------------------------------------------------------- (3) SEC use only. - -------------------------------------------------------------------------------- (4) Citizenship or place of organization. USA - -------------------------------------------------------------------------------- Number of shares beneficially owned by each reporting person with: (5) Sole voting power: 206,065 (represents shares held as tenant in common with wife and includes 29,225 shares underlying warrants and options) (6) Shared voting power: 0 (7) Sole dispositive power: 206,065 (represents shares held as tenant in common with wife and includes 29,225 shares underlying warrants and options) (8) Shared dispositive power: 0 - -------------------------------------------------------------------------------- (9) Aggregate amount beneficially owned by each reporting person. 206,065 (represents shares held as tenant in common with wife and includes 29,225 shares underlying warrants and options) - -------------------------------------------------------------------------------- (10) Check if the aggregate amount in Row (9) excludes certain shares |_| (see instructions). - -------------------------------------------------------------------------------- (11) Percent of class represented by amount in Row 9. 1.5% - -------------------------------------------------------------------------------- (12) Type of reporting person (see instructions). IN - -------------------------------------------------------------------------------- 8 Item 1(a). Name of Issuer: Cardica, Inc. ("Issuer") Item 1(b). Address of Issuer's Principal Executive Offices: Cardica, Inc. 900 Saginaw Dr., Redwood City, CA 94063 Item 2(a). Name of Person Filing: (i) Allen & Company Incorporated (ii) Keough Partners, L.P. (iii) HAGC Partners L.P. (iv) Herbert A. Allen (v) Bruce Allen (vi) Susan K. Allen (vii) John Simon Item 2(b). Address or Principal Business Office or, If None, Residence: (i) 711 Fifth Avenue, New York, NY 10022 (ii) 711 Fifth Avenue, New York, NY 10022 (iii) 711 Fifth Avenue, New York, NY 10022 (iv) 711 Fifth Avenue, New York, NY 10022 (v) 711 Fifth Avenue, New York, NY 10022 (vi) 711 Fifth Avenue, New York, NY 10022 (vii) 711 Fifth Avenue, New York, NY 10022 Item 2(c). Citizenship: (i) New York (ii) Georgia (iii) Delaware (iv) USA (v) USA (vi) USA (vii) USA Item 2(d). Title of Class of Securities: Common Stock Item 2(e). CUSIP No.: 14141R101 Item 3. If This Statement is Filed Pursuant to Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a: (a) |_| Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o). (b) |_| Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c). (c) |_| Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c). (d) |_| Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 80a-8). (e) |_| An investment adviser in accordance with ss.240.13d-1(b)(1)(ii)(E); (f) |_| An employee benefit plan or endowment fund in accordance with ss.240.13d-1(b)(1)(ii)(F); (g) |_| A parent holding company or control person in accordance with ss.240.13d- 1(b)(1)(ii)(G); (h) |_| A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813); (i) |_| A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3); (j) |_| Group, in accordance with ss.240.13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. | X | 9 Item 4. Ownership (a) Amount beneficially owned: 1,366,853 (includes 186,130 shares underlying warrants and options)* (b) Percent of class: 9.87% (c) Number of shares as to which such person has: (i) Sole power to direct the vote: 691,412 (includes 92,210 shares underlying warrants and options) (ii) Shared power to direct the vote: 675,441 (includes 93,920 shares underlying warrants) (iii) Sole power to dispose or direct the disposition of: 691,412 (includes 92,210 shares underlying warrants and options) (iv) Shared power to dispose or direct the disposition of: 675,441 (includes 93,920 shares underlying warrants) * The number of shares reported hereby excludes approximately 110,327 (includes 14,535 shares underlying warrants) shares that, to the Reporting Persons' knowledge, are held by certain officers and employees of Allen & Company LLC, and their related parties. The Reporting Persons disclaim beneficial ownership of all shares held by such officers, employees and related parties. Item 5. Ownership of 5 Percent or Less of a Class. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following |_| Item 6. Ownership of More than 5 Percent on Behalf of Another Person. Not applicable 10 Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not applicable Item 8. Identification and Classification of Members of the Group. Not applicable Item 9. Notice of Dissolution of Group. Not applicable Item 10. Certifications By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct. Allen & Company Incorporated Date: February 8, 2008 /s/ Kim M. Wieland ------------------------- Name: Kim M. Wieland Title: Chief Financial Officer Keough Partners, L.P. Date: February 8, 2008 /s/ Michael Keough ------------------------- Name: Michael Keough Title: Managing Member of GP HAGC Partners L.P. Date: February 8, 2008 /s/ Herbert A. Allen III ------------------------- Name: Herbert A. Allen III Title: President of GP Date: February 8, 2008 /s/ Herbert A. Allen ------------------------- Name: Herbert A. Allen Date: February 8, 2008 /s/ Bruce Allen ------------------------- Name: Bruce Allen Date: February 8, 2008 /s/ Susan K. Allen ------------------------- Name: Susan K. Allen Date: February 8, 2008 /s/ John Simon ------------------------- Name: John Simon 11 SCHEDULE 13G CUSIP NO. 14141R101 Exhibit 1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k) under the Securities Exchange Act of 1934, as amended, the undersigned agree to the joint filing on behalf of each of them of a statement on Schedule 13G (including amendments thereto) with respect to 1,366,853 shares of Common Stock of PlanetOut Inc. and further agree that this Joint Filing Agreement shall be included as an exhibit to such joint filings. The undersigned further agree that each party hereto is responsible for the timely filing of such Schedule 13G and any amendments thereto, and for the completeness and accuracy of the information concerning such party contained therein; provided, however, that no party is responsible for the completeness or accuracy of the information concerning any other party making the filing, unless such party knows or has reason to believe that such information is inaccurate. IN WITNESS WHEREOF, the parties have executed this Joint Filing Agreement on February 8, 2008. Allen & Company Incorporated /s/ Kim M. Wieland Name: Kim M. Wieland Title: Chief Financial Officer Keough Partners, L.P. /s/ Michael Keough Name: Michael Keough Title: Managing Member of GP HAGC Partners L.P. /s/ Herbert A. Allen III Name: Herbert A. Allen III Title: President of GP /s/ Herbert A. Allen Name: Herbert A. Allen /s/ Bruce Allen Name: Bruce Allen /s/ Susan K. Allen Name: Susan K. Allen /s/ John Simon Name: John Simon -----END PRIVACY-ENHANCED MESSAGE-----