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