CARDICA INC 4
4 · CARDICA INC · Filed Nov 12, 2014
Insider Transaction Report
Form 4
CARDICA INCCRDC
YOUNGER WILLIAM H JR
Director10% Owner
Transactions
- Purchase
Common Stock
2014-11-10$0.91/sh+9,726$8,851→ 264,125 total(indirect: By Trust) - Purchase
Common Stock
2014-11-10$0.91/sh+24,628$22,411→ 254,399 total(indirect: By Trust)
Holdings
- 3,412,793(indirect: By Partnership)
Common Stock
- 444,157(indirect: By Partnership)
Common Stock
- 172,869(indirect: By Trust)
Common Stock
- 2,333
Common Stock
Footnotes (6)
- [F1]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.
- [F2]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.
- [F3]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.
- [F4]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.
- [F5]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.
- [F6]Shares held by SHV Profit Sharing Plan, a retirement trust, for the benefit of the reporting person.