0001415889-15-003063.txt : 20150914 0001415889-15-003063.hdr.sgml : 20150914 20150914200105 ACCESSION NUMBER: 0001415889-15-003063 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20150904 FILED AS OF DATE: 20150914 DATE AS OF CHANGE: 20150914 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: KOTLER KEVIN CENTRAL INDEX KEY: 0001601692 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 151106560 MAIL ADDRESS: STREET 1: C/O BROADFIN CAPITAL, LLC STREET 2: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Broadfin Advisors, LLC CENTRAL INDEX KEY: 0001652954 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 151106561 BUSINESS ADDRESS: STREET 1: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-808-2460 MAIL ADDRESS: STREET 1: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Broadfin Healthcare Offshore Fund, Ltd. CENTRAL INDEX KEY: 0001403662 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 151106562 BUSINESS ADDRESS: STREET 1: DMS HOUSE STREET 2: 20 GENESIS CLOSE CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1104 BUSINESS PHONE: 212-808-2460 MAIL ADDRESS: STREET 1: C/O BROADFIN CAPITAL, LLC STREET 2: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: BROADFIN HEALTHCARE OFFSHORE FUND LTD DATE OF NAME CHANGE: 20070619 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Broadfin Healthcare Fund, LP CENTRAL INDEX KEY: 0001354025 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 151106563 BUSINESS ADDRESS: STREET 1: C/O BROADFIN CAPITAL, LLC STREET 2: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-808-2460 MAIL ADDRESS: STREET 1: C/O BROADFIN CAPITAL, LLC STREET 2: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 FORMER NAME: FORMER CONFORMED NAME: Broadfin Healthcare Fund LP DATE OF NAME CHANGE: 20090218 FORMER NAME: FORMER CONFORMED NAME: Broadfin Helathcare Fund LP DATE OF NAME CHANGE: 20060221 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Broadfin Capital, LLC CENTRAL INDEX KEY: 0001511901 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 151106565 BUSINESS ADDRESS: STREET 1: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 BUSINESS PHONE: 212-808-2463 MAIL ADDRESS: STREET 1: 300 PARK AVENUE, 25TH FLOOR CITY: NEW YORK STATE: NY ZIP: 10022 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Broadfin Healthcare Master Fund Ltd CENTRAL INDEX KEY: 0001511900 STATE OF INCORPORATION: E9 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-51772 FILM NUMBER: 151106564 BUSINESS ADDRESS: STREET 1: C/O 20 GENESIS CLOSE STREET 2: ANSBACHER HOUSE, SECOND FLOOR, 1344 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 BUSINESS PHONE: 212-808-2460 MAIL ADDRESS: STREET 1: C/O 20 GENESIS CLOSE STREET 2: ANSBACHER HOUSE, SECOND FLOOR, 1344 CITY: GRAND CAYMAN STATE: E9 ZIP: KY1-1108 3 1 form310042002b_09142015.xml OWNERSHIP DOCUMENT X0206 3 2015-09-04 0 0001178104 CARDICA INC CRDC 0001511901 Broadfin Capital, LLC 300 PARK AVENUE, 25TH FLOOR NEW YORK NY 10022 0 0 1 1 See Explanation of Responses 0001511900 Broadfin Healthcare Master Fund Ltd C/O 20 GENESIS CLOSE ANSBACHER HOUSE, SECOND FLOOR, 1344 GRAND CAYMAN E9 KY1-1108 CAYMAN ISLANDS 0 0 1 1 See Explanation of Responses 0001354025 Broadfin Healthcare Fund, LP C/O BROADFIN CAPITAL, LLC 300 PARK AVENUE, 25TH FLOOR NEW YORK NY 10022 0 0 1 1 See Explanation of Responses 0001403662 Broadfin Healthcare Offshore Fund, Ltd. C/O BROADFIN CAPITAL, LLC 300 PARK AVENUE, 25TH FLOOR NEW YORK NY 10022 0 0 1 1 See Explanation of Responses 0001652954 Broadfin Advisors, LLC C/O BROADFIN CAPITAL, LLC 300 PARK AVENUE, 25TH FLOOR NEW YORK NY 10022 0 0 1 1 See Explanation of Responses 0001601692 KOTLER KEVIN C/O BROADFIN CAPITAL, LLC 300 PARK AVENUE, 25TH FLOOR NEW YORK NY 10022 0 0 1 1 See Explanation of Responses Common Stock 8874992 I See Footnote Series A Convertible Preferred Stock Common Stock 9875200 I See Footnote This Form 3 is filed jointly by Broadfin Healthcare Master Fund, Ltd. ("Broadfin Master"), Broadfin Healthcare Fund, L.P. ("Broadfin LP"), Broadfin Healthcare Offshore Fund, Ltd ("Broadfin Offshore"), Broadfin Advisors, LLC ("Broadfin Advisors"), Broadfin Capital, LLC ("Broadfin Capital") and Kevin Kotler (collectively, the "Reporting Persons"). The securities are held in the account of Broadfin Master, a private investment fund managed by Broadfin Capital and may be deemed to be beneficially owned by Kevin Kotler, managing member of Broadfin Capital. The Reporting Persons are members of a reporting group that owns in the aggregate more than 10% of the Issuer's outstanding shares of Common Stock. As such, the Reporting Persons may be deemed to beneficially own more than 10% of the Issuer's outstanding shares of Common Stock. The Reporting Persons disclaim beneficial ownership of the shares of Common Stock except to the extent of his or its pecuniary interest therein, and this report shall not be deemed to be an admission that any Reporting Person is the beneficial owner of such shares of Common Stock for purposes of Section 16 or for any other purpose. Broadfin Capital shall not have the right to convert any portion of the Series A Convertible Preferred Stock to purchase shares of Common Stock, to the extent that, after giving effect to the conversion, Broadfin Capital (indirectly or directly) would beneficially own in excess of 9.98% of the number of shares of the Common Stock outstanding immediately after giving effect to the issuance of shares of Common Stock issuable upon conversion of the Series A Convertible Preferred Stock held by Broadfin Capital. None. Broadfin Capital, LLC By: /s/ Kevin Kotler, Managing Member 2015-09-14 Broadfin Healthcare Master Fund, Ltd. By: /s/ Kevin Kotler, Director 2015-09-14 Broadfin Healthcare Fund, L.P. By: /s/ Kevin Kotler, Managing Member 2015-09-14 Broadfin Healthcare Offshore Fund, Ltd. By: /s/ Kevin Kotler, Director 2015-09-14 Broadfin Advisors, LLC By: /s/ Kevin Kotler, General Partner 2015-09-14 /s/ Kevin Kotler 2015-09-14