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Filing Details

Accession Number:: 0001225208-14-023212
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2014-11-12 18:51:19
Reporting Period:: 2014-11-10

Filing Date:: 2014-11-12
Accepted Time:: 2014-11-12 18:51:19
SEC Url:: Form 4 Filing

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
1178104	Cardica Inc	CRDC	Surgical & Medical Instruments & Apparatus (3841)	943287832

Insiders

Cik	Name	Reported Address	Insider Title	Director	Officer	Large Shareholder	Other
1201717	Jr H William Younger	755 Page Mill Road, Suite A-200 Palo Alto CA 94304-1005		Yes	No	No	No

Reported Non-Derivative Transactions

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2014-11-10	24,628	$0.91	254,399	No	4	P	Indirect	By Trust (Trustee)
Common Stock	Acquisiton	2014-11-10	9,726	$0.91	264,125	No	4	P	Indirect	By Trust (Trustee)

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	By Trust (Trustee)
No	4	P	Indirect	By Trust (Trustee)

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	2,333	Direct
Common Stock	3,412,793	Indirect	By Ltd Partnership (SHV)
Common Stock	444,157	Indirect	By Ltd Partnership (YVST)
Common Stock	172,869	Indirect	By Profit Sharing Plan Trust

Footnotes

These shares were purchased from Sutter Hill Entrepreneurs Fund (QP), L.P. ("SHQP") The reporting person is a Managing Director of the General Partner of SHQP. The reporting person previously reported beneficial ownership of such shares indirectly through SHQP, disclaiming beneficial ownership of these shares except as to the reporting person's pecuniary interest in the partnership. For purposes of Section 16, the purchase of these shares by the trust constituted (i) a change in the form of ownership of the shares previously beneficially owned by the reporting person from one form of indirect ownership to another; and (ii) with respect to the remaining shares shares held by SHQP, a purchase by the reporting person. Following this transaction, SHQP no longer holds any securities of the Issuer.
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.
These shares were purchased from Sutter Hill Entrepreneurs Fund (AI), L.P. ("SHAI") The reporting person is a Managing Director of the General Partner of SHAI. The reporting person previously reported beneficial ownership of such shares indirectly through SHAI, disclaiming beneficial ownership of these shares except as to the reporting person's pecuniary interest in the partnership. For purposes of Section 16, the purchase of these shares held by the trust constituted (i) a change in the form of ownership of the shares previously beneficially owned by the reporting person from one form of indirect ownership to another; and (ii) with respect to the remaining shares held by SHAI, a purchase by the reporting person. Following this transaction, SHAI no longer holds any securities of the Issuer.
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 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.