0001225208-16-028784.txt : 20160301 0001225208-16-028784.hdr.sgml : 20160301 20160301172438 ACCESSION NUMBER: 0001225208-16-028784 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20160226 FILED AS OF DATE: 20160301 DATE AS OF CHANGE: 20160301 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: 161474573 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 2016-02-26 0001178104 CARDICA INC CRDC 0001201717 YOUNGER WILLIAM H JR 755 PAGE MILL ROAD, SUITE A-200 PALO ALTO CA 94304-1005 1 Common Stock 2016-02-26 4 J 0 44665.0000 0.0000 D 296614.0000 I By Ltd Partnership (SHV) Common Stock 2016-02-26 4 J 0 56.0000 0.0000 A 26468.0000 I By Trust (Trustee) Common Stock 233.0000 D Common Stock 44415.0000 I By Ltd Partnership (YVST) Common Stock 17286.0000 I By Profit Sharing Plan Trust Distribution of shares without consideration to the managing directors of the general partner of Sutter Hill Ventures, a California Limited Partnership, including the reporting person, in accordance with the partnership agreement. On February 17, 2016, the Issuer effected a one-for-ten reverse stock split of its common stock. Shares reported as being beneficially owned in this Form 4 have been adjusted for the reverse stock split. 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 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. 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 2016-03-01