Mga Batayang Estadistika
| CIK | 1178104 |
SEC Filings
All companies that sell securities in the United States must register with the Securities and Exchange Commission (SEC) and file reports on a regular basis.
These reports include company annual reports (10K, 10Q), news updates (8K), investor presentations (found in 8Ks), insider trades (form 4), ownership reports (13D, and 13G), and reports related to the specific securities sold, such as registration statements and prospectus. This page shows recent SEC filings related to Cardica, Inc.
SEC Filings (Chronological Order)
Halaman ini menyediakan daftar lengkap dan kronologis dari Pengajuan SEC, tidak termasuk pengajuan kepemilikan yang kami sediakan di tempat lain.
| November 28, 2018 |
DXTR / Dextera Surgical Inc. FORM 15-12G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 15 CERTIFICATION AND NOTICE OF TERMINATION OF REGISTRATION UNDER SECTION 12(g) OF THE SECURITIES EXCHANGE ACT OF 1934 OR SUSPENSION OF DUTY TO FILE REPORTS UNDER SECTIONS 13 AND 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934. Commission File Number 000-51772 Dex Liquidating Co. (Exact name of registrant as specified in its |
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| November 28, 2018 |
8-K 1 crdc201811278k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 28, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) |
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| November 19, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 19, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) |
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| November 19, 2018 |
Financial Statements and Exhibits, Other Events 8-K 1 crdc201811198k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 19, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) |
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| November 19, 2018 |
Monthly Operating Report for the Month of October 2018. EX-99.1 2 ex130329.htm EXHIBIT 99.1 Exhibit 99.1 |
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| November 14, 2018 |
DXTR / Dextera Surgical Inc. FORM NT 10-Q NT 10-Q 1 crdc20181113nt10q.htm FORM NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number: 000-51772 CUSIP Number: 252366109 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: September 30, 2018 ☐ Transition Report on Form 10-K ☐ Transition Repor |
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| November 13, 2018 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 8, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) |
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| November 13, 2018 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE Exhibit 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: Dex Liquidating Co. (f/k/a Dextera Surgical Inc.), 1 Debtor ) ) ) ) ) ) ) ) ) Chapter 11 Case No. 17-12913 (KJC) Re: Docket Nos. 421, 422, 464 ORDER CONFIRMING DEBTOR’S FIRST AMENDED CHAPTER 11 PLAN OF LIQUIDATION This matter comes before this Court on the request of the above-captioned debtor and debtor-in-poss |
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| October 19, 2018 |
Monthly Operating Report for the Month of September 2018. Exhibit 99.1 |
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| October 19, 2018 |
Financial Statements and Exhibits, Other Events UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 19, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) |
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| September 28, 2018 |
DXTR / Dextera Surgical Inc. FORM NT 10-K NT 10-K 1 crdc20180926nt10k.htm FORM NT 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number: 000-51772 CUSIP Number: 252366109 NOTIFICATION OF LATE FILING (Check One): ☒ Form 10-K ☐ Form 20-F ☐ Form 11-K ☐ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: June 30, 2018 ☐ Transition Report on Form 10-K ☐ Transition Report on |
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| September 20, 2018 |
Financial Statements and Exhibits 8-K 1 crdc201809198k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 20, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) |
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| September 20, 2018 |
Monthly Operating Report for the Month of August 2018. Exhibit 99.1 |
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| August 27, 2018 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF Delaware EX-99.2 3 ex122766.htm EXHIBIT 99.2 Exhibit 99.2 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF Delaware In re: Dex Liquidating Co. (f/k/a Dextera Surgical Inc.),1 Debtor. Chapter 11 Case No. 17-12913 (KJC) STIPULATION BY AND AMONG THE DEBTOR AND SABBY HEALTHCARE MASTER FUND, LTD. AND SABBY VOLATILITY WARRANT MASTER FUND, LTD. RESOLVING, INTER ALIA, OBJECTIONS TO CLAIM NOS. 13 AND 14 De |
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| August 27, 2018 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF Delaware Exhibit 99.1 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF Delaware In re: Dex Liquidating Co. (f/k/a Dextera Surgical Inc.),1 Debtor. Chapter 11 Case No. 17-12913 (KJC) STIPULATION BY AND BETWEEN THE DEBTOR AND ALPHA CAPITAL ANSTALT RESOLVING, INTER ALIA, OBJECTIONS TO CLAIM NO. 101 Dex Liquidating Co. (f/k/a Dextera Surgical Inc.), debtor and debtor-in-possession (the “Debtor”) in th |
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| August 27, 2018 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 24, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) 9 |
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| August 27, 2018 |
IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE EX-99.3 4 ex122764.htm EXHIBIT 99.3 Exhibit 99.3 IN THE UNITED STATES BANKRUPTCY COURT FOR THE DISTRICT OF DELAWARE In re: Dex Liquidating Co. (f/k/a Dextera Surgical Inc.),’’1 Debtor. Chapter 11 Case No. 17-12913 (KJC) DISCLOSURE STATEMENT RELATING TO DEBTOR’S FIRST AMENDED CHAPTER 11 PLAN OF LIQUIDATION SAUL EWING ARNSTEIN & LEHR LLP Mark Minuti (DE No. 2659) Teresa K.D. Currier (DE No. 3080) Mo |
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| August 20, 2018 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 20, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) 9 |
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| August 20, 2018 |
Monthly Operating Report for the Month of July 2018. Exhibit 99.1 |
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| July 13, 2018 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 13, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) 94- |
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| July 13, 2018 |
Monthly Operating Report for the Month of June 2018. Exhibit 99.1 |
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| June 20, 2018 |
Monthly Operating Report for the Month of May 2018. EX-99.1 2 ex116697.htm EXHIBIT 99.1 Exhibit 99.1 |
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| June 20, 2018 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 20, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) 94- |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM POS AM As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM POS AM POS AM 1 crdc20180606eposam.htm FORM POS AM As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. 333-211122 Registration No. 333-171197 Registration No. 333-171195 Registration No. 333-162780 Registration No. 333-146708 Registration No. 333-144443 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 POST-EFFECTIVE AMENDMENT NO. 1 TO FORM S-3 REGI |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM POS AM As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM POS AM As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM POS AM As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM POS AM As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS S-8 POS 1 crdc20180606js8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. 333-214959 Registration No. 333-209465 Registration No. 333-198944 Registration No. 333-187764 Registration No. 333-180378 Registration No. 333-163291 Registration No. 333-157387 Registration No. 333-148196 Registration No. 333-139134 Registration No. 333-132155 UNITE |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS S-8 POS 1 crdc20180606is8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. 333-214959 Registration No. 333-209465 Registration No. 333-198944 Registration No. 333-187764 Registration No. 333-180378 Registration No. 333-163291 Registration No. 333-157387 Registration No. 333-148196 Registration No. 333-139134 Registration No. 333-132155 UNITE |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS S-8 POS 1 crdc20180606hs8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. 333-214959 Registration No. 333-209465 Registration No. 333-198944 Registration No. 333-187764 Registration No. 333-180378 Registration No. 333-163291 Registration No. 333-157387 Registration No. 333-148196 Registration No. 333-139134 Registration No. 333-132155 UNITE |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS S-8 POS 1 crdc20180606gs8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. 333-214959 Registration No. 333-209465 Registration No. 333-198944 Registration No. 333-187764 Registration No. 333-180378 Registration No. 333-163291 Registration No. 333-157387 Registration No. 333-148196 Registration No. 333-139134 Registration No. 333-132155 UNITE |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS S-8 POS 1 crdc20180606es8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. 333-214959 Registration No. 333-209465 Registration No. 333-198944 Registration No. 333-187764 Registration No. 333-180378 Registration No. 333-163291 Registration No. 333-157387 Registration No. 333-148196 Registration No. 333-139134 Registration No. 333-132155 UNITE |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS S-8 POS 1 crdc20180606cs8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. 333-214959 Registration No. 333-209465 Registration No. 333-198944 Registration No. 333-187764 Registration No. 333-180378 Registration No. 333-163291 Registration No. 333-157387 Registration No. 333-148196 Registration No. 333-139134 Registration No. 333-132155 UNITE |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. |
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| June 7, 2018 |
DXTR / Dextera Surgical Inc. FORM S-8 POS S-8 POS 1 crdc20180606s8pos.htm FORM S-8 POS As filed with the Securities and Exchange Commission on June 7, 2018 Registration No. 333-214959 Registration No. 333-209465 Registration No. 333-198944 Registration No. 333-187764 Registration No. 333-180378 Registration No. 333-163291 Registration No. 333-157387 Registration No. 333-148196 Registration No. 333-139134 Registration No. 333-132155 UNITED |
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| May 18, 2018 |
Financial Statements and Exhibits 8-K 1 crdc201805188k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 18, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-5 |
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| May 18, 2018 |
Monthly Operating Report for the Month of April 2018. EX-99.1 2 ex114906.htm EXHIBIT 99.1 Exhibit 99.1 |
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| May 15, 2018 |
DXTR / Dextera Surgical Inc. FORM NT 10-Q UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number: 000-51772 CUSIP Number: 252366109 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: March 31, 2018 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transition Report on Form 11-K ☐ Transition Report on Form 10-Q ☐ Transition Report on Form N-SAR ☐ For the Transition Period Ended: Read Instruction (on back page) Before Preparing Form. |
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| May 4, 2018 |
Monthly Operating Report for the Month of January 2018. EX-99.2 3 ex112649.htm EXHIBIT 99.2 Exhibit 99.2 |
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| May 4, 2018 |
Monthly Operating Report for the Month of February 2018. EX-99.3 4 ex112650.htm EXHIBIT 99.3 Exhibit 99.3 |
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| May 4, 2018 |
Monthly Operating Report for the Month of December 2017. EX-99.1 2 ex112648.htm EXHIBIT 99.1 Exhibit 99.1 |
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| May 4, 2018 |
Monthly Operating Report for the Month of March 2018. Exhibit 99.4 |
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| May 4, 2018 |
Financial Statements and Exhibits UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 22, 2018 Dex Liquidating Co. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) |
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| April 25, 2018 |
8-K 1 crdc201804248k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 24, 2018 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 0 |
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| April 25, 2018 |
Certificate of Amendment to Amended and Restated Certificate of Incorporation. EX-3.1 2 ex111075.htm EXHIBIT 3.1 Exhibit 3.1 CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF DEXTERA SURGICAL INC. Matthew English hereby certifies that: ONE: He is the duly appointed and acting Chief Restructuring Officer of Dextera Surgical Inc., a Delaware corporation. TWO: The name of this Corporation is Dextera Surgical Inc. and the date of filing the origina |
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| April 6, 2018 |
8-K 1 crdc201804048k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 6, 2018 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 00 |
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| February 27, 2018 |
crdc201802268k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 23, 2018 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Co |
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| February 21, 2018 |
Second Amendment to Asset Purchase Agreement, dated February 15, 2018. EX-2.3 3 ex105693.htm EXHIBIT 2.3 Exhibit 2.3 SECOND AMENDMENT TO ASSET PURCHASE AGREEMENT This SECOND AMENDMENT TO ASSET PURCHASE AGREEMENT (this “Second Amendment”) is made and entered into as of February 15, 2018, by and between (i) DEXTERA SURGICAL, INC., a Delaware corporation formerly known as “Cardica, Inc.” (“Seller”) and (ii) AESCULAP, INC., a California corporation (“Buyer”). Seller and |
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| February 21, 2018 |
8-K 1 crdc201802218k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 20, 2018 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation |
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| February 21, 2018 |
First Amendment to Asset Purchase Agreement, dated January __, 2018. EX-2.2 2 ex105692.htm EXHIBIT 2.2 Exhibit 2.2 FIRST AMENDMENT TO ASSET PURCHASE AGREEMENT This FIRST AMENDMENT TO ASSET PURCHASE AGREEMENT (this “Amendment”) is made and entered into as of January , 2018, by and between (i) DEXTERA SURIGCAL, INC., a Delaware corporation formerly known as “Cardica, Inc.” (“Seller”) and (ii) AESCULAP, INC., a California corporation (“Buyer”). Seller and Buyer are so |
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| February 15, 2018 |
DXTR / Dextera Surgical Inc. FORM NT 10-Q crdc20180214nt10q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number: 000-51772 CUSIP Number: 252366109 NOTIFICATION OF LATE FILING (Check One): ☐ Form 10-K ☐ Form 20-F ☐ Form 11-K ☒ Form 10-Q ☐ Form 10-D ☐ Form N-SAR ☐ Form N-CSR For Period Ended: December 31, 2017 ☐ Transition Report on Form 10-K ☐ Transition Report on Form 20-F ☐ Transit |
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| February 14, 2018 |
EXHIBIT 1 JOINT FILING AGREEMENT This Joint Filing Agreement dated February 14, 2018 is by and between Camber Capital Management LLC, a Massachusetts limited liability company, and Stephen DuBois, an individual (the foregoing are collectively referred to herein as the "Filers"). |
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| February 14, 2018 |
CRDC / Cardica, Inc. / Camber Capital Management LLC - PRIMARY DOCUMENT Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 1) Dextera Surgical, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 252366109 (CUSIP Number) December 31, 2017 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the r |
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| February 14, 2018 |
CRDC / Cardica, Inc. / Broadfin Capital, LLC Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| February 13, 2018 |
CRDC / Cardica, Inc. / Aristar Ventures I-b, Llc - 3G/A (Passive Investment) UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. |
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| January 26, 2018 |
8-K 1 crdc201801258k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 24, 2018 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) |
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| December 15, 2017 |
EX-10.1 3 ex102180.htm EXHIBIT 10.1 Exhibit 10.1 POST-PETITION LOAN AND SECURITY AGREEMENT DATED AS OF December 15, 2017 By and Between DEXTERA SURGICAL INC., As Borrower, And AESCULAP, INC., or its designee as Lender TABLE OF CONTENTS Page SECTION 1. DEFINITIONS 1 1.1 General Provisions 1 1.2 Defined Terms 2 SECTION 2. AMOUNT AND TERMS OF LOAN 10 2.1 Line of Credit 10 2.2 Line of Credit Note 11 2 |
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| December 15, 2017 |
Line of Credit Note, dated December 15, 2017, issued by Dextera Surgical Inc. to Aesculap, Inc. ex102189.htm Exhibit 10.2 LINE OF CREDIT NOTE $1,500,000.00 Date: December 15, 2017 FOR VALUE RECEIVED, DEXTERA SURGICAL, INC., a Delaware corporation formerly known as ?Cardica, Inc.? (the ?Maker?), promises to pay to the order of AESCULAP, INC., a California corporation, or its designee (the ?Payee?), at its address at 3773 Corporate Parkway, Center Valley, PA 18034 or at such other place as Pay |
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| December 15, 2017 |
Entry into a Material Definitive Agreement, Bankruptcy or Receivership 8-K 1 crdc201712158k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 11, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation |
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| December 15, 2017 |
Asset Purchase Agreement, dated December 11, 2017, between Dextera Surgical Inc. and Aesculap, Inc. ex102150.htm Exhibit 2.1 EXECUTION COPY ASSET PURCHASE AGREEMENT dated as of December 11, 2017 by and between DEXTERA SURGICAL INC., as Seller, and AESCULAP, INC. as Buyer TABLE OF CONTENTS TABLE OF CONTENTS I ARTICLE I DEFINITIONS 1 Section 1.1. Defined Terms 1 Section 1.2. Interpretation and Construction 11 ARTICLE II AGREEMENTS TO SELL AND PURCHASE; RELATED MATTERS 12 Section 2.1. Sale of Purch |
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| December 11, 2017 |
crdc201712118k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 11, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Co |
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| November 29, 2017 |
crdc201711298k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 29, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Co |
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| November 9, 2017 |
8-K 1 crdc201711098k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 9, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) |
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| November 9, 2017 |
DEXTERA SURGICAL REPORTS FISCAL 2018 FIRST QUARTER FINANCIAL RESULTS ex99960.htm Exhibit 99.1 DEXTERA SURGICAL REPORTS FISCAL 2018 FIRST QUARTER FINANCIAL RESULTS REDWOOD CITY, Calif. ? November 9, 2017 ? Dextera Surgical Inc. (Nasdaq: DXTR), a company developing and commercializing the MicroCutter 5/80? Stapler, today announced financial results for its fiscal first quarter ended September 30, 2017. ?We are making progress toward resolving our component and raw ma |
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| November 9, 2017 |
Amendment to Secured Note Purchase Agreement, dated September 14, 2017 Exhibit 10.1 September 14, 2017 Mr. Takahiko Motani President & Chief Executive Officer Century Medical, Inc. 1-11-2, Osaki, Shinagawa-ku Tokyo 141-8588, Japan Re: Amendment to Secured Note Purchase Agreement Effective Date: September 14 2017 Dear Mr. Motani: Reference is made to the Secured Note Purchase Agreement (“Note Purchase Agreement”) of September 2, 2011 between Dextera Surgical Inc. (the |
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| November 9, 2017 |
DXTR / Dextera Surgical Inc. FORM 10-Q (Quarterly Report) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2017 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-51772 Dextera Surgical Inc. |
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| October 27, 2017 |
DXTR / Dextera Surgical Inc. FORM 10-K/A (Annual Report) 10-K/A 1 crdc2017063010ka.htm FORM 10-K/A UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K/A (Amendment No. 1) ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-51772 D |
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| October 24, 2017 |
crdc201710238ka.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A (Amendment No. 1) CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorpor |
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| October 18, 2017 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing crdc201710188k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 17, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Com |
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| October 13, 2017 |
DXTR / Dextera Surgical Inc. FORM 10-K (Annual Report) 10-K 1 crdc2017063010k.htm FORM 10-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ☑ ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2017 OR ☐ TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-51772 DEXTERA SURGICAL INC. (Exa |
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| October 5, 2017 |
Financial Statements and Exhibits, Results of Operations and Financial Condition dxtr201710048k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 5, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Comm |
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| October 5, 2017 |
EX-99.1 2 ex96317.htm EXHIBIT 99.1 Exhibit 99.1 DEXTERA SURGICAL PROVIDES CORPORATE UPDATE - Preliminary Fiscal 2018 First Quarter Revenue – - Update on Strategic Partnership - - Conference Call at 8:30 a.m. ET Today - REDWOOD CITY, Calif. – October 5, 2017 – Dextera Surgical Inc. (Nasdaq: DXTR), a company developing and commercializing the MicroCutter 5/80™ Stapler, today announced that revenue f |
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| September 29, 2017 |
dxtr20170928nt10k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number: 000-51772 CUSIP Number: 252366109 NOTIFICATION OF LATE FILING (Check One): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: June 30, 2016 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition |
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| September 21, 2017 |
dxtr201709218k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 21, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (C |
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| September 8, 2017 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201709088k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 7, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (C |
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| September 6, 2017 |
Certificate of Elimination of Series A Convertible Preferred Stock EX-3.1 2 ex3-1.htm EXHIBIT 3.1 Exhibit 3.1 CERTIFICATE OF ELIMINATION OF SERIES A CONVERTIBLE PREFERRED STOCK (Pursuant to Section 151 of the Delaware General Corporation Law) Dextera Surgical Inc., a corporation organized and existing under the General Corporation Law of the State of Delaware (hereinafter called the “Company”), hereby certifies that the following resolution was adopted by the Boa |
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| September 6, 2017 |
crdc201709058a12b.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 5, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 |
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| August 8, 2017 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201708078k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 8, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commi |
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| August 8, 2017 |
ex99-1.htm Exhibit 99.1 DEXTERA SURGICAL REPORTS FISCAL 2017 FOURTH QUARTER FINANCIAL RESULTS - Shipping Resumes for MicroCutter 5/80? Stapler and Reloads - REDWOOD CITY, Calif. ? August 8, 2017 ? Dextera Surgical Inc. (Nasdaq: DXTR), a company developing and commercializing the MicroCutter 5/80? Stapler, today announced financial results for its fiscal fourth quarter and full year ended June 30, |
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| July 19, 2017 |
crdc201707198k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 18, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commi |
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| June 23, 2017 |
Dextera Surgical 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 23, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) |
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| June 8, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 7, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) 9 |
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| June 6, 2017 |
CRDC / Cardica, Inc. / PRIMECAP MANAGEMENT CO/CA/ - SC 13G/A Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 OMB APPROVAL OMB Number: 3235-0145 Expires: February 28, 2009 Estimated average burden hours per response. . . . . . . . 10.4 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 7)* Dextera Surgical Inc. (Name of Issuer) Common (Title of Class of Securities) 252366109 (CUSIP Number) May 31, 2017 (Date of Even |
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| June 2, 2017 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 v4682928k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 1, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-517 |
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| May 31, 2017 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 24, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) 9 |
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| May 19, 2017 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K/A Amendment No. 1 CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commiss |
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| May 19, 2017 |
Dextera Surgical 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) 9 |
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| May 18, 2017 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 15, 2017 Dextera Surgical, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File Number) 9 |
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| May 18, 2017 |
EX-3.1 2 v467336ex3-1.htm EXHIBIT 3.1 Exhibit 3.1 dextera surgical inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES b CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE delaware GENERAL CORPORATION LAW MAY 12, 2017 The undersigned, Julian Nikolchev and Robert Newell, do hereby certify that: 1. They are the President and Secretary, respectively, of Dextera Su |
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| May 15, 2017 |
424B4 1 v466958424b4.htm 424B4 Filed Pursuant to Rule 424(b)(4) Registration No. 333-216625 PROSPECTUS Dextera Surgical Inc. 8,000 Shares of Series B Convertible Preferred Stock (and 29,632,000 Shares of Common Stock Underlying the Series B Convertible Preferred Stock) Warrants to Purchase up to 44,448,000 Shares of Common Stock (and 44,448,000 Shares of Common Stock Issuable Upon Exercise of Warr |
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| May 11, 2017 |
S-1/A 1 v466780s1a.htm S-1/A As filed with the Securities and Exchange Commission on May 11, 2017 Registration No. 333-216625 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 Amendment No. 4 to FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Dextera Surgical Inc. (Exact name of registrant as specified in its charter) Delaware 3841 94-3287832 (State or other |
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| May 11, 2017 |
As filed with the Securities and Exchange Commission on May 11, 2017 Registration No. |
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| May 11, 2017 |
Exhibit 1.1 SHARES OF SERIES B CONVERTIBLE PREFERRED STOCK (CONVERTIBLE INTO SHARES OF COMMON STOCK), SERIES 1 WARRANTS TO PURCHASE SHARES OF COMMON STOCK AND SERIES 2 WARRANTS TO PURCHASE SHARES OF COMMON STOCK OF DEXTERA SURGICAL INC. UNDERWRITING AGREEMENT , 2017 Ladenburg Thalmann & Co. Inc. As the Representative of the Several underwriters, if any, named in Schedule I hereto 4400 Biscayne Blv |
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| May 11, 2017 |
Exhibit 4.2 dextera surgical inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES b CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE delaware GENERAL CORPORATION LAW , 2017 The undersigned, Julian Nikolchev and Robert Newell, do hereby certify that: 1. They are the President and Secretary, respectively, of Dextera Surgical Inc., a Delaware corporation (the ?Co |
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| May 10, 2017 |
Dextera Surgical FORM 10-Q (Quarterly Report) crdc2017033110q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2017 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-5177 |
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| May 9, 2017 |
Ladenburg Thalmann & Co. Inc. 4400 Biscayne Boulevard, 14th Floor Miami, Florida 33137 May 9, 2017 VIA FACSIMILE AND EDGAR U.S. Securities and Exchange Commission Division of Corporate Finance Washington, DC 20549 Re: DEXTERA SURGICAL INC. Registration Statement on Form S-1 (Registration No. 333-216625) Concurrence in Acceleration Request Ladies and Gentlemen: Ladenburg Thalmann & Co. Inc. (?Laden |
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| May 9, 2017 |
Dextera Surgical Inc. 900 Saginaw Drive Redwood City, CA 94063 May 9, 2017 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attn: Mr. Tom Jones Re: Dextera Surgical Inc. Form S-1 Registration Statement Registration File No. 333-216625 Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of 1933, as amended, the undersi |
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| May 8, 2017 |
As filed with the Securities and Exchange Commission on May 8, 2017 Registration No. |
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| May 8, 2017 |
Exhibit 4.2 dextera surgical inc. CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES b CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE delaware GENERAL CORPORATION LAW , 2017 The undersigned, Julian Nikolchev and Robert Newell, do hereby certify that: 1. They are the President and Secretary, respectively, of Dextera Surgical Inc., a Delaware corporation (the ?Co |
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| May 8, 2017 |
[SERIES 1] [SERIES 2] COMMON STOCK PURCHASE WARRANT DEXTERA SURGICAL INC. EX-4.3 3 v466211ex4-3.htm EX-4.3 Exhibit 4.3 [SERIES 1] [SERIES 2] COMMON STOCK PURCHASE WARRANT DEXTERA SURGICAL INC. Warrant Shares: Initial Exercise Date: , 2017 THIS [SERIES 1] [SERIES 2] COMMON STOCK PURCHASE WARRANT (the “Warrant”) certifies that, for value received, or its assigns (the “Holder”) is entitled, upon the terms and subject to the limitations on exercise and the conditions herein |
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| May 4, 2017 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201705048k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 4, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commissi |
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| May 4, 2017 |
ex99-1.htm Exhibit 99.1 DEXTERA SURGICAL REPORTS FISCAL 2017 THIRD QUARTER FINANCIAL RESULTS - Updates Fiscal 2017 Fourth Quarter Guidance - REDWOOD CITY, Calif. ? May 4, 2017 ? Dextera Surgical Inc. (Nasdaq: DXTR), a company developing and commercializing the MicroCutter 5/80? stapler based on its proprietary ??staple-on-a-strip?? technology intended for use by thoracic, pediatric, colorectal and |
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| May 4, 2017 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated May 4, 2017 Relating to Preliminary Prospectus dated April 21, 2017 Registration Statement No. |
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| April 24, 2017 |
FWP 1 v464899fwp.htm FWP Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated April 24, 2017 Relating to Preliminary Prospectus dated April 21, 2017 Registration Statement No. 333-216625 DEXTERA SURGICAL ANNOUNCES PRELIMINARY FISCAL 2017 THIRD QUARTER FINANCIAL HIGHLIGHTS - Full Financial Results to be Announced May 4, 2017 - REDWOOD CITY, Calif. – April 24, 2017 – Dextera Surgical Inc. |
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| April 21, 2017 |
Filed Pursuant to Rule 433 Issuer Free Writing Prospectus dated April 21, 2017 Relating to Preliminary Prospectus dated April 21, 2017 Registration Statement No. |
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| April 21, 2017 |
FORM OF COMMON STOCK PURCHASE WARRANT DEXTERA SURGICAL INC. Exhibit 4.3 FORM OF COMMON STOCK PURCHASE WARRANT DEXTERA SURGICAL INC. Warrant Shares: Initial Exercise Date: , 2017 THIS COMMON STOCK PURCHASE WARRANT (the ?Warrant?) certifies that, for value received, or its assigns (the ?Holder?) is entitled, upon the terms and subject to the limitations on exercise and the conditions hereinafter set forth, at any time on or after , 2017 (the ?Initial Exercis |
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| April 21, 2017 |
EX-4.2 2 v464505ex4-2.htm EXHIBIT 4.2 Exhibit 4.2 dextera surgical inc. FORM OF CERTIFICATE OF DESIGNATION OF PREFERENCES, RIGHTS AND LIMITATIONS OF SERIES b CONVERTIBLE PREFERRED STOCK PURSUANT TO SECTION 151 OF THE delaware GENERAL CORPORATION LAW , 2017 The undersigned, Julian Nikolchev and Robert Newell, do hereby certify that: 1. They are the President and Secretary, respectively, of Dextera |
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| April 21, 2017 |
As filed with the Securities and Exchange Commission on April 21, 2017 Registration No. |
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| March 10, 2017 |
Dextera Surgical REGISTRATION STATEMENT S-1 1 v461618s1.htm REGISTRATION STATEMENT As filed with the Securities and Exchange Commission on March 10, 2017 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM S-1 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Dextera Surgical Inc. (Exact name of registrant as specified in its charter) Delaware 3841 94-3287832 (State or other jurisdict |
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| February 17, 2017 |
Notice of Delisting or Failure to Satisfy a Continued Listing Rule or Standard; Transfer of Listing 8-K 1 crdc201702168k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation |
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| February 10, 2017 |
Dextera Surgical FORM 10-Q (Quarterly Report) crdc2016123110q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2016 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-5 |
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| February 10, 2017 |
Form of Option Grant Notice and Option Agreement for use under the 2016 Equity Incentive Plan+ ex10-1.htm Exhibit 10.1 DEXTERA SURGICAL INC. 2016 EQUITY INCENTIVE PLAN OPTION GRANT NOTICE Dextera Surgical Inc. (the ?Company?), pursuant to its 2016 Equity Incentive Plan (the ?Plan?), hereby grants to Optionholder an option to purchase the number of shares of the Company?s Common Stock (the ?Shares?) set forth below at the exercise price set forth below. This Option is subject to all of the t |
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| February 10, 2017 |
ex10-2.htm Exhibit 10.2 DEXTERA SURGICAL INC. RESTRICTED STOCK UNIT AWARD GRANT NOTICE 2016 EQUITY INCENTIVE PLAN Dextera Surgical Inc. (the “Company”) hereby awards to Participant the number of Restricted Stock Units specified and on the terms set forth below (the “Award”). The Award is subject to all of the terms and conditions as set forth in this Restricted Stock Unit Grant Notice (the “Grant |
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| February 10, 2017 |
CRDC / Cardica, Inc. / Broadfin Capital, LLC Passive Investment SC 13G 1 d7406441sc13g.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* Dextera Surgical, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 252366109 (CUSIP Number) December 31, 2016 (Date of Event Which Requires Filing of this Statement) Check the appropria |
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| February 9, 2017 |
CRDC / Cardica, Inc. / PRIMECAP MANAGEMENT CO/CA/ - SC 13G/A Passive Investment UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0145 Washington, D. |
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| February 7, 2017 |
DEXTERA SURGICAL REPORTS FISCAL 2017 SECOND QUARTER FINANCIAL RESULTS ex99-1.htm Exhibit 99.1 DEXTERA SURGICAL REPORTS FISCAL 2017 SECOND QUARTER FINANCIAL RESULTS REDWOOD CITY, Calif. ? February 7, 2017 ? Dextera Surgical Inc. (Nasdaq: DXTR) today announced financial results for its fiscal second quarter and six months ended December 31, 2016. Management will hold a conference call at 4:30 p.m. Eastern Time to discuss financial results and provide an update on the |
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| February 7, 2017 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201702068k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 7, 2017 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Com |
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| December 7, 2016 |
S-8 1 crdc20161206s8.htm FORM S-8 As filed with the Securities and Exchange Commission on December 7, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 DEXTERA SURGICAL INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or |
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| November 28, 2016 |
Dextera Surgical Inc. 2016 Employee Stock Purchase Plan+ ex10-2.htm Exhibit 10.2 DEXTERA SURGICAL INC. 2016 EMPLOYEE STOCK PURCHASE PLAN ADOPTED BY THE BOARD OF DIRECTORS: SEPTEMBER 21, 2016 APPROVED BY THE STOCKHOLDERS: NOVEMBER 22, 2016 1. GENERAL; PURPOSE. (a) The Plan provides a means by which Eligible Employees of the Company and certain designated Related Corporations may be given an opportunity to purchase shares of Common Stock. The Plan permits |
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| November 28, 2016 |
Cardica, Inc. 2016 Equity Incentive Plan + EX-10.1 2 ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 DEXTERA SURGICAL INC. 2016 EQUITY INCENTIVE PLAN ADOPTED BY THE BOARD OF DIRECTORS: NOVEMBER 30, 2015 APPROVED BY THE STOCKHOLDERS: JANUARY 29, 2016 AMENDED BY THE BOARD OF DIRECTORS: AUGUST 24, 2016 APPROVED BY THE STOCKHOLDERS: NOVEMBER 22, 2016 1. GENERAL. (a) Successor to Prior Plan. This Dextera Surgical Inc. 2016 Equity Incentive Plan (the “Plan |
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| November 28, 2016 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201611238k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 22, 2016 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Co |
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| November 10, 2016 |
Dextera Surgical FORM 10-Q (Quarterly Report) crdc2016102410q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended September 30, 2016 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000- |
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| November 7, 2016 |
DEXTERA SURGICAL REPORTS FISCAL 2017 FIRST QUARTER FINANCIAL RESULTS crdc201611058k.htm Exhibit 99.1 DEXTERA SURGICAL REPORTS FISCAL 2017 FIRST QUARTER FINANCIAL RESULTS REDWOOD CITY, Calif. ? November 7, 2016 ? Dextera Surgical Inc. (Nasdaq: DXTR) today announced financial results for its fiscal first quarter ended September 30, 2016. Management will hold a conference call at 4:30 p.m. Eastern Time to discuss financial results and provide an update on the company? |
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| November 7, 2016 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201611058k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 7, 2016 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Com |
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| October 18, 2016 |
crdc20161014def14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Add |
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| October 12, 2016 |
Dextera Surgical FORM 10-K (Annual Report) crdc2016063010k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 10-K ? ANNUAL REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended June 30, 2016 OR ? TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 Commission file number: 000-51772 DEXTERA SURGICAL INC. (Exact name of regist |
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| September 29, 2016 |
crdc20160929nt10k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, DC 20549 FORM 12b-25 Commission File Number: 000-51772 CUSIP Number: 252366109 NOTIFICATION OF LATE FILING (Check One): ? Form 10-K ? Form 20-F ? Form 11-K ? Form 10-Q ? Form 10-D ? Form N-SAR ? Form N-CSR For Period Ended: June 30, 2016 ? Transition Report on Form 10-K ? Transition Report on Form 20-F ? Transition |
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| September 22, 2016 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201609208k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 19, 2016 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (C |
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| August 9, 2016 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201608088k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 9, 2016 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commi |
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| August 9, 2016 |
ex99-1.htm Exhibit 99.1 DEXTERA SURGICAL REPORTS FY 2016 FOURTH QUARTER FINANCIAL RESULTS Conference Call at 4:30 p.m. ET Features Noted Cardiothoracic Surgeon Commenting on Clinical Impact of MicroCutter REDWOOD CITY, Calif. ? August 9, 2016 ? Dextera Surgical Inc. (Nasdaq: DXTR) today announced financial results for its fiscal fourth quarter and full year ended June 30, 2016. The Company?s confe |
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| June 21, 2016 |
Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant. ex3-1.htm Exhibit 3.1 CERTIFICATE OF AMENDMENT TO AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF CARDICA, INC. Julian Nikolchev hereby certifies that: ONE: He is the duly elected and acting Chief Executive Officer of Cardica, Inc., a Delaware corporation. TWO: The name of this Corporation is Cardica, Inc. and the date of filing the original Certificate of Incorporation of this company with t |
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| June 21, 2016 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201606208k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2016 Dextera Surgical Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commis |
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| June 1, 2016 |
Common Stock Preferred Stock Debt Securities crdc20160527424b3.htm Prospectus Filed Pursuant to Rule 424(b)(3) Registration No. 333-211122 $100,000,000 Common Stock Preferred Stock Debt Securities Warrants From time to time, we may offer and sell up to an aggregate amount of $100,000,000 any combination of the securities described in this prospectus, either individually or in combination. We may also offer common stock or preferred stock upo |
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| May 27, 2016 |
crdc20160527corresp.htm May 27, 2016 Securities and Exchange Commission Division of Corporation Finance 100 F Street, N.E. Washington, DC 20549 Attn: Mr. Brian Soares Re: Cardica, Inc. Form S-3 Registration Statement Registration File No. 333-211122 Ladies and Gentlemen: In accordance with Rule 461 under the Securities Act of 1933, as amended, the undersigned registrant (the ?Registrant?) hereby r |
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| May 12, 2016 |
Cardica FORM 10-Q (Quarterly Report) crdc2016033110q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended March 31, 2016 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-5177 |
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| May 5, 2016 |
CARDICA REPORTS FISCAL 2016 THIRD QUARTER FINANCIAL RESULTS ex99-1.htm Exhibit 99.1 Contact: Bob Newell Vice President, Finance and Chief Financial Officer (650) 331-7133 [email protected] CARDICA REPORTS FISCAL 2016 THIRD QUARTER FINANCIAL RESULTS REDWOOD CITY, Calif. ? May 5, 2016 - Cardica, Inc. (Nasdaq: CRDC) today announced financial results for its fiscal third quarter ended March 31, 2016. Cardica?s management will hold a conference call at 4:30 |
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| May 5, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition crdc201605058k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 5, 2016 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File |
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| May 4, 2016 |
S-3 1 crdc20160426s3.htm FORM S-3 As filed with the Securities and Exchange Commission on May 4, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-3 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 Cardica, Inc. (Exact name of registrant as specified in its charter) Delaware 93-3287832 (State or other jurisdiction of incorporation or o |
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| May 4, 2016 |
EX-4.4 2 ex4-4.htm EXHIBIT 4.4 Exhibit 4.4 CARDICA, INC., Issuer AND [TRUSTEE], Trustee INDENTURE Dated as of [●], 20 Debt Securities TABLE OF CONTENTS PAGE article 1 DEFINITIONS 1 Section 1.01 Definitions of Terms 1 article 2 ISSUE, DESCRIPTION, TERMS, EXECUTION, REGISTRATION AND EXCHANGE OF SECURITIES 5 Section 2.01 Designation and Terms of Securities 5 Section 2.02 Form of Securities and Truste |
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| May 4, 2016 |
ex4-6.htm Exhibit 4.6 Cardica, Inc. and , As Warrant Agent Form Of Common Stock Warrant Agreement Dated As Of CARDICA, INC. FORM OF COMMON STOCK WARRANT AGREEMENT This Common Stock Warrant Agreement (this ?Agreement?), dated as of [?], between Cardica, Inc., a Delaware corporation (the ?Company?) and [?], a [corporation] [national banking association] organized and existing under the laws of [?] a |
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| March 1, 2016 |
CRDC / Cardica, Inc. / SUTTER HILL VENTURES - SCHEDULE 13D/A CARDICA 3-1-16 Activist Investment SC 13D/A 1 schedule13da.htm SCHEDULE 13D/A CARDICA 3-1-16 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. 1 )* Cardica, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 14141R309 (CUSIP Number) Robert Yin Sutter Hill Ventures 755 Page Mill Rd., Suite A-200 Palo Alto, CA 94304 650-493-5600 |
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| February 26, 2016 |
Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated on the date hereof with respect to the Common Stock, $0.001 par value per share, of Cardica, Inc., and any amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) un |
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| February 26, 2016 |
CRDC / Cardica, Inc. / Broadfin Capital, LLC - SCHEDULE 13G Passive Investment SC 13G 1 sc13g1004200202262016.htm SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Cardica, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of |
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| February 17, 2016 |
Certificate of Amendment of Amended and Restated Certificate of Incorporation of the Registrant ex3-1.htm Exhibit 3.1 CERTIFICATE OF AMENDMENT OF AMENDED AND RESTATED CERTIFICATE OF INCORPORATION OF Cardica, Inc. Cardica, Inc., a corporation organized and existing under and by virtue of the General Corporation Law of the State of Delaware, hereby certifies that: First: The name of the Corporation is Cardica, Inc. (the ?Corporation?). Second: The Corporation was originally incorporated under |
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| February 17, 2016 |
crdc201602168k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 16, 2016 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| February 12, 2016 |
DXTR / Dextera Surgical Inc. / PRIMECAP MANAGEMENT CO/CA/ - SC 13G/A Passive Investment SC 13G/A 1 a16-405814sc13ga.htm SC 13G/A UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0145 Washington, D.C. 20549 Expires: February 28, 2009 Estimated average burden hours per response. . . . . . . .10.4 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 5)* Cardica Inc. (Name of Issuer) Common (Title of Class of Securities) 14141R101 (CUSIP Num |
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| February 10, 2016 |
ex10-6.htm Exhibit 10.6 [*] = Certain confidential information contained in this document, marked by brackets, has been omitted and filed separately with the Securities and Exchange Commission pursuant to Rule 24b-2 of the Securities Exchange Act of 1934, as amended. AMENDMENT TO LICENSE AGREEMENT AND POTENTIAL Development Agreement This AMENDMENT TO LICENSE AGREEMENT AND POTENTIAL Development Agr |
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| February 10, 2016 |
Employment Agreement, dated October 28, 2015, with Thomas J. Palermo + ex10-5.htm Exhibit 10.5 October 28, 2015 Thomas J. Palermo 327 Ascente Commons San Jose, CA 95125 Re: Offer Letter and Employment Terms Dear Tom: We are excited that you are considering joining the Cardica team. We know your abilities and are confident that you will continue to flourish at and contribute to Cardica, Inc (the “Company”). On behalf of the Company, I am pleased to offer you the posit |
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| February 10, 2016 |
EX-99.2 5 ex99-2.htm EXHIBIT 99.2 Exhibit 99.2 Cardica, Inc. 2016 Equity Incentive Plan Adopted by the Board of Directors: November 30, 2015 Approved by the Stockholders: January 29, 2016 1. General. (a) Successor to Prior Plan. This Cardica, Inc. 2016 Equity Incentive Plan (the “Plan”) is intended as the successor to the Cardica, Inc. 2005 Equity Incentive Plan (the “Prior Plan”) which expired on |
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| February 10, 2016 |
DXTR / Dextera Surgical Inc. 10-Q - Quarterly Report - FORM 10-Q crdc2015123110q.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 FORM 10-Q [x] QUARTERLY REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the quarterly period ended December 31, 2015 OR [ ] TRANSITION REPORT PURSUANT TO SECTION 13 OR 15(d) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission File Number: 000-5 |
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| February 10, 2016 |
S-8 1 crdc20160210s8.htm FORM S-8 As filed with the Securities and Exchange Commission on February 10, 2016 Registration No. 333- UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 FORM S-8 REGISTRATION STATEMENT UNDER THE SECURITIES ACT OF 1933 CARDICA, INC. (Exact name of registrant as specified in its charter) Delaware (State or other jurisdiction of incorporation or organi |
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| February 10, 2016 |
Cardica, Inc. Non-Employee Director Compensation. + ex10-2.htm Exhibit 10.2 NON-EMPLOYEE DIRECTOR COMPENSATION Cash compensation for non-employee directors is as follows: Position Annual Retainer All Members (Base) $ 25,000 Additional Retainers Board Chairman (1) $ 20,000 Audit Committee Chairman $ 15,000 Compensation Committee Chairman $ 10,000 Audit Committee Member (other than Chairman) $ 5,000 Compensation Committee Member (other than Chairman) |
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| February 10, 2016 |
ex99-1.htm Exhibit 99.1 Cardica, Inc. Inducement Plan Adopted by the Board of Directors: May 20, 2015 Amended by the Board of Directors: October 3, 2015 1. General. (a) Eligible Stock Award Recipients. The only persons eligible to receive grants of Stock Awards under this Plan are individuals who satisfy the standards for inducement grants under Nasdaq Marketplace Rule 5635(c)(4) and the related g |
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| February 4, 2016 |
CARDICA REPORTS FISCAL 2016 SECOND QUARTER FINANCIAL RESULTS AND BUSINESS PROGRESS EX-99.1 2 ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Contact: Bob Newell Vice President, Finance and Chief Financial Officer (650) 331-7133 [email protected] CARDICA REPORTS FISCAL 2016 SECOND QUARTER FINANCIAL RESULTS AND BUSINESS PROGRESS REDWOOD CITY, Calif. – February 4, 2016 - Cardica, Inc. (Nasdaq: CRDC) today announced financial results for its fiscal second quarter ended December 31, 2015. C |
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| February 4, 2016 |
Financial Statements and Exhibits, Results of Operations and Financial Condition crdc201602038k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 4, 2016 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| February 2, 2016 |
crdc201602018k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2016 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| February 2, 2016 |
crdc20151228def14a.htm Exhibit 10.1 Cardica, Inc. 2016 Equity Incentive Plan Adopted by the Board of Directors: November 30, 2015 Approved by the Stockholders: January 29, 2016 1. GENERAL. (a) Successor to Prior Plan. This Cardica, Inc. 2016 Equity Incentive Plan (the ?Plan?) is intended as the successor to the Cardica, Inc. 2005 Equity Incentive Plan (the ?Prior Plan?) which expired on October 12 |
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| January 29, 2016 |
Regulation FD Disclosure, Financial Statements and Exhibits crdc201601288k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 29, 2016 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| January 29, 2016 |
Exhibit 99.1 |
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| January 7, 2016 |
Entry into a Material Definitive Agreement crdc201601078k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 31, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| December 29, 2015 |
crdc20151228def14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Add |
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| December 28, 2015 |
crdc20151228corresp.htm December 28, 2015 VIA EDGAR Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Cardica, Inc. SEC File No. 000-51772 Ladies and Gentlemen: Submitted for filing pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended, are the following materials: 1. A definitive Notice of Annual Meeting of Stockholders, Proxy Statement and form o |
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| December 22, 2015 |
crdc20151222prer14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.1) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive A |
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| December 22, 2015 |
batespoa.htm Exhibit 24 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Robert Y. Newell, IV, Nancy Wojtas, and Brett White signing individually, the undersigned?s true and lawful attorneys-in fact and agents to: (1) execute for and on behalf of the undersigned, an officer, director or holder of 10% or more of a registered class of securit |
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| December 15, 2015 |
crdc20151211pre14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Add |
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| December 11, 2015 |
crdc201512118k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 8, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| December 3, 2015 |
crdc201512038k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 27, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| December 3, 2015 |
crdc20151203defa14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Ad |
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| November 25, 2015 |
Ex24.htm Exhibit 24 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Robert Y. Newell, IV, Nancy Wojtas, and Brett White signing individually, the undersigned?s true and lawful attorneys-in fact and agents to: (1) execute for and on behalf of the undersigned, an officer, director or holder of 10% or more of a registered class of securities |
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| November 19, 2015 |
crdc20151119defa14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ? Filed by a Party other than the Registrant ? Check the appropriate box: ? Preliminary Proxy Statement ? Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ? Definitive Proxy Statement ? Definitive Ad |
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| November 6, 2015 |
crdc201511068k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| November 5, 2015 |
CARDICA ANNOUNCES FISCAL 2016 FIRST QUARTER FINANCIAL RESULTS AND BUSINESS PROGRESS ex99-1.htm Exhibit 99.1 Contact: Bob Newell Vice President, Finance and Chief Financial Officer (650) 331-7133 [email protected] CARDICA ANNOUNCES FISCAL 2016 FIRST QUARTER FINANCIAL RESULTS AND BUSINESS PROGRESS REDWOOD CITY, Calif. ? November 5, 2015 - Cardica, Inc. (Nasdaq: CRDC) today announced financial results for its fiscal first quarter ended September 30, 2015. Cardica?s management wi |
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| November 5, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition 8-K 1 crdc201511058k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 5, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-517 |
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| October 20, 2015 |
nikolchevpoa.htm Schedule 24 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints each of Robert Y. Newell, IV, Nancy Wojtas, and Brett White signing individually, the undersigned?s true and lawful attorneys-in fact and agents to: (1) execute for and on behalf of the undersigned, an officer, director or holder of 10% or more of a registered class of se |
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| October 7, 2015 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201510068k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 2, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission F |
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| September 21, 2015 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201509198k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 16, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commissio |
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| September 11, 2015 |
Exhibit 99.1 BROADFIN ISSUES OPEN LETTER TO CARDICA’S SHAREHOLDERS Sets Forth Various Concerns with the Company’s Poor Performance and Ineffective Leadership Describes Failed Attempts to Work Constructively with the Board and its Reasons for Seeking Change in Majority of the Cardica Board Gravely Concerned Over Attempts by Legacy Board Members to Disenfranchise Shareholders NEW YORK, Sept. 11, 201 |
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| September 11, 2015 |
SC 13D/A 1 sc13da11004200209112015.htm AMENDMENT NO. 1 TO THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 1)1 Cardica, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Tit |
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| September 4, 2015 |
DXTR / Dextera Surgical Inc. / Broadfin Capital, LLC - THE SCHEDULE 13D Activist Investment SC 13D 1 sc13d1004200209022015.htm THE SCHEDULE 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. )1 Cardica, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securitie |
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| September 4, 2015 |
Exhibit 99.4 POWER OF ATTORNEY Know all by these presents, that the undersigned hereby constitutes and appoints Kevin Kotler the undersigned’s true and lawful attorney-in-fact to take any and all action in connection with (i) the undersigned’s beneficial ownership of, or participation in a group with respect to, securities of Cardica, Inc., a Delaware corporation (the “Company”) directly or indire |
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| September 4, 2015 |
Exhibit 99.3 BROADFIN HEALTHCARE MASTER FUND, LTD. c/o Broadfin Capital, LLC 300 Park Avenue, 25th Floor New York, New York 10022 September , 2015 Dear : This letter sets forth our mutual agreement with respect to compensation to be paid to you for your agreement to be named and serve as a nominee of a group of investors (the “Broadfin Group”), including Broadfin Healthcare Master Fund, Ltd., an a |
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| September 4, 2015 |
EX-99.2 3 ex992to13d1004200209022015.htm FORM OF INDEMNIFICATION AGREEMENT Exhibit 99.2 BROADFIN HEALTHCARE MASTER FUND, LTD. c/o Broadfin Capital, LLC 300 Park Avenue, 25th Floor New York, New York 10022 September , 2015 Re: Cardica, Inc. Dear : Thank you for agreeing to serve as a nominee for election to the Board of Directors of Cardica, Inc. (the “Company”) in connection with the proxy solicit |
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| September 4, 2015 |
JOINT FILING AND SOLICITATION AGREEMENT EX-99.1 2 ex991to13d1004200209022015.htm JOINT FILING AND SOLICITATION AGREEMENT, DATED SEPTEMBER 4, 2015 Exhibit 99.1 JOINT FILING AND SOLICITATION AGREEMENT WHEREAS, certain of the undersigned are stockholders, direct or beneficial, of Cardica, Inc., a Delaware corporation (the “Company”); WHEREAS, Broadfin Healthcare Master Fund, Ltd., a Cayman Islands exempted company, Broadfin Healthcare Fund |
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| August 26, 2015 |
crdc201508248k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 26, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission F |
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| August 6, 2015 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201508058k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): August 3, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware 000-51772 94-3287832 (State or Other Jurisdiction of Incorporation) (Co |
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| August 6, 2015 |
CARDICA ANNOUNCES FISCAL 2015 FOURTH QUARTER AND FULL YEAR FINANCIAL RESULTS crdc201508058k.htm Exhibit 99.1 Contact: Bob Newell Vice President, Finance and Chief Financial Officer (650) 331-7133 [email protected] CARDICA ANNOUNCES FISCAL 2015 FOURTH QUARTER AND FULL YEAR FINANCIAL RESULTS REDWOOD CITY, Calif. – August 6, 2015 - Cardica, Inc. (Nasdaq: CRDC) today announced financial results for its fiscal fourth quarter and year ended June 30, 2015. Cardica’s managemen |
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| July 24, 2015 |
crdc201507238k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): July 21, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission Fil |
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| July 24, 2015 |
Cardica, Inc. Executive Performance Bonus Plan. + ex10-1.htm Exhibit 10.1 Cardica, Inc. EXECUTIVE PERFORMANCE BONUS PLAN Plan Summary The Cardica, Inc. Executive Performance Bonus Plan (the ?Plan?) is intended to motivate senior executives to achieve short-term and long-term corporate objectives by providing a competitive bonus for target performance and the appropriate upside opportunity to reward outstanding performance. The Executive Managemen |
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| June 18, 2015 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201506178k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 17, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission Fil |
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| June 12, 2015 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201506118k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): June 9, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File |
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| May 21, 2015 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201505218k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 20, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File |
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| May 21, 2015 |
Cardica, Inc. Inducement Plan Adopted by the Board of Directors: May 20, 2015 EX-10.1 2 ex10-1.htm EXHIBIT 10.1 Exhibit 10.1 Cardica, Inc. Inducement Plan Adopted by the Board of Directors: May 20, 2015 1. General. (a) Eligible Stock Award Recipients. The only persons eligible to receive grants of Stock Awards under this Plan are individuals who satisfy the standards for inducement grants under Nasdaq Marketplace Rule 5635(c)(4) and the related guidance under Nasdaq IM 5635 |
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| May 6, 2015 |
CARDICA ANNOUNCES FISCAL 2015 THIRD QUARTER FINANCIAL RESULTS EX-99.1 2 ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 Contact: Bob Newell Vice President, Finance and Chief Financial Officer (650) 331-7133 [email protected] CARDICA ANNOUNCES FISCAL 2015 THIRD QUARTER FINANCIAL RESULTS REDWOOD CITY, Calif. – May 6, 2015 - Cardica, Inc. (Nasdaq: CRDC) today announced financial results for its fiscal third quarter ended March 31, 2015. Cardica’s management will hold |
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| May 6, 2015 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201505058k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): May 6, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission File |
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| April 23, 2015 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201504228k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): April 22, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission Fi |
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| March 26, 2015 |
Dextera Surgical FORM 8-K (Current Report/Significant Event) crdc201503258k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): March 24, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission Fi |
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| March 25, 2015 |
DXTR / Dextera Surgical Inc. / Broadfin Capital, LLC - SCHEDULE 13G Passive Investment UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. )1 Cardica, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 14141R101 (CUSIP Number) March 24, 2 |
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| March 25, 2015 |
Exhibit 99.1 Joint Filing Agreement The undersigned hereby agree that the Statement on Schedule 13G dated March 25, 2015 with respect to the Common Stock, $0.001 par value per share, of Cardica, Inc., and any amendments thereto executed by each and any of the undersigned shall be filed on behalf of each of the undersigned pursuant to and in accordance with the provisions of Rule 13d-1(k)(1) under |
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| February 17, 2015 |
SC 13G/A SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A (Amendment No. |
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| February 13, 2015 |
DXTR / Dextera Surgical Inc. / PRIMECAP MANAGEMENT CO/CA/ - SC 13G/A Passive Investment SC 13G/A 1 a15-436913sc13ga.htm SC 13G/A UNITED STATES OMB APPROVAL SECURITIES AND EXCHANGE COMMISSION OMB Number: 3235-0145 Washington, D.C. 20549 Expires: February 28, 2009 Estimated average burden hours per response. . . . . . . .10.4 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. 4)* Cardica, Inc. (Name of Issuer) Common (Title of Class of Securities) 14141R101 (CUSIP Nu |
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| February 5, 2015 |
CARDICA ANNOUNCES FISCAL 2015 SECOND QUARTER FINANCIAL RESULTS crdc201502048k.htm Exhibit 99.1 Contact: Bob Newell Vice President, Finance and Chief Financial Officer (650) 331-7133 [email protected] CARDICA ANNOUNCES FISCAL 2015 SECOND QUARTER FINANCIAL RESULTS REDWOOD CITY, Calif. – February 5, 2015 - Cardica, Inc. (Nasdaq: CRDC) today announced financial results for its fiscal second quarter ended December 31, 2014. Cardica’s management will hold a con |
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| February 5, 2015 |
Financial Statements and Exhibits, Results of Operations and Financial Condition crdc201502048k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): February 5, 2015 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| February 2, 2015 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, DC 20549 SCHEDULE 13G/A (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO §240. |
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| January 8, 2015 |
crdc201501088k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): January 7, 2014 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission F |
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| December 15, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 3)1 Cardica, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 14141R101 (CUSIP Number) KEVIN KOTLER BROADFIN C |
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| December 15, 2014 |
Exhibit 99.1 JOINT FILING AGREEMENT In accordance with Rule 13d-1(k)(1)(iii) under the Securities Exchange Act of 1934, as amended, the persons named below agree to the joint filing on behalf of each of them of a Statement on Schedule 13D (including amendments thereto) with respect to the shares of Common Stock, $0.001 par value per share, of Cardica, Inc. This Joint Filing Agreement shall be file |
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| December 12, 2014 |
8-K 1 crdc201412128k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): December 9, 2014 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-517 |
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| December 12, 2014 |
ex10-1.htm Exhibit 10.1 Cardica, Inc. 2005 Equity Incentive Plan Adopted by the Board of Directors: October 13, 2005 Approved by the Stockholders: December 27, 2005 As Amended by the Board of Directors: September 29, 2006 Approved by the Stockholders: November 8, 2006 As Amended by the Board of Directors: October 10, 2007 Approved by the Stockholders: November 14, 2007 As Amended by the Board of D |
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| December 8, 2014 |
DXTR / Dextera Surgical Inc. DEFA14A - - FORM DEFA14A crdc20141205defa14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☑ Definitive Ad |
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| December 8, 2014 |
DXTR / Dextera Surgical Inc. CORRESP - - crdc20141208corresp.htm Brett D. White T: +1 650 843 5191 [email protected] Via EDGAR December 8, 2014 United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549-3628 Attn: Mellissa Campbell Duru Re: Cardica, Inc. Definitive Additional Soliciting Materials on Schedule 14A Filed December 8, 2014 File No. 000-51772 Dear Ms. Duru: On beha |
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| November 24, 2014 |
DXTR / Dextera Surgical Inc. DEFA14A - - FORM DEFA14A crdc20141124defa14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☑ Definitive Ad |
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| November 21, 2014 |
CRDC / Cardica, Inc. DFAN14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement ¨ Confide |
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| November 21, 2014 |
CRDC / Cardica, Inc. DFAN14A - - DFAN14A 1 dfan14a10042002b11212014.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: |
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| November 20, 2014 |
DXTR / Dextera Surgical Inc. DEFA14A - - FORM DEFA14A crdc20141120defa14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☑ Definitive Ad |
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| November 20, 2014 |
8-K 1 crdc201411208k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 19, 2014 Cardica, Inc. (Exact name of registrant as specified in its charter) Delaware 000-51772 94-3287832 (State or other jurisdiction of |
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| November 13, 2014 |
CRDC / Cardica, Inc. DFAN14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement ¨ Confide |
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| November 13, 2014 |
UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D (Rule 13d-101) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO § 240.13d-1(a) AND AMENDMENTS THERETO FILED PURSUANT TO § 240.13d-2(a) (Amendment No. 2)1 Cardica, Inc. (Name of Issuer) Common Stock, par value $0.001 per share (Title of Class of Securities) 14141R101 (CUSIP Number) KEVIN KOTLER BROADFIN C |
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| November 13, 2014 |
begin 644 ex991to13da210042002_111314.pdf M)5!$1BTQ+C,-)>+CS],-"C,S(#`@;V)J#3P\+TQI;F5A7!E+UA2968O5ULQ(#(@,5T^/G-T;..&0RM;S+2D*O>MZ&AA8.SHZ&!B4.D"44!J88K+HZ&@`$PP='2A& M`P$_`[.,')`6!F)QL(@O@P`C'[,)DRJ3"W,3LQ:S.;,I7!E+U!A9V4^/@UE;F1O8FH-,S8@,"!O8FH-/#PO1FEL=&5R+T9L871E1&5C M;V1E+T9I7!E+T]B:E-T;3X^QU8;\[B12A43+6)'63H)NW8;XD!:/1@*"2+J5 M?[\[$T/"1HNJ]8.5^'ROOGL>&P,\.70DZQN`#=I$N+UTV?2C!<,ZZ;F,DA66]63H |
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| November 12, 2014 |
CRDC / Cardica, Inc. DEFC14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement ¨ Confidential, for Use of |
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| November 10, 2014 |
DXTR / Dextera Surgical Inc. DEFC14A - - FORM DEFC14A DEFC14A 1 crdc20141106defc14a.htm FORM DEFC14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☑ Definitive Proxy S |
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| November 10, 2014 |
DXTR / Dextera Surgical Inc. CORRESP - - CORRESP 1 filename1.htm [Cardica letterhead] November 10, 2014 Via Edgar Securities and Exchange Commission 100 F Street, NE Washington, DC 20549 Re: Cardica, Inc. SEC File No. 000-51772 Ladies and Gentlemen: Submitted for filing pursuant to Rule 14a-6 under the Securities Exchange Act of 1934, as amended, are the following materials: 1. A definitive Notice of Annual Meeting of Stockholders, Proxy |
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| November 10, 2014 |
CRDC / Cardica, Inc. PRRN14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 2) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: x Preliminary Proxy Statement ¨ Confid |
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| November 10, 2014 |
DXTR / Dextera Surgical Inc. DEFA14A - - FORM DEFA14A DEFA14A 1 crdc20141110defa14a.htm FORM DEFA14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☑ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☐ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy St |
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| November 10, 2014 |
CRDC / Cardica, Inc. CORRESP - - O L S H A N PARK AVENUE TOWER ● 65 EAST 55TH STREET ● NEW YORK, NEW YORK 10022 TELEPHONE: 212. |
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| November 4, 2014 |
CRDC / Cardica, Inc. PRRN14A - - PRRN14A 1 prrn14a1004200212112014.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: |
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| November 4, 2014 |
CARDICA ANNOUNCES FISCAL 2015 FIRST QUARTER FINANCIAL RESULTS ex99-1.htm Exhibit 99.1 Contact: Bob Newell Vice President, Finance and Chief Financial Officer (650) 331-7133 [email protected] CARDICA ANNOUNCES FISCAL 2015 FIRST QUARTER FINANCIAL RESULTS REDWOOD CITY, Calif. – November 4, 2014 - Cardica, Inc. (Nasdaq: CRDC) today announced financial results for its fiscal first quarter ended September 30, 2014. Cardica’s management will hold a conference c |
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| November 4, 2014 |
Financial Statements and Exhibits, Results of Operations and Financial Condition crdc201411038k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): November 4, 2014 Cardica, Inc. (Exact Name of Registrant as Specified in its Charter) Delaware (State or Other Jurisdiction of Incorporation) 000-51772 (Commission |
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| October 31, 2014 |
DXTR / Dextera Surgical Inc. CORRESP - - begin 644 filename2.pdf M)5!$1BTQ+C4-"B6UM;6U#0HQ(#`@;V)J#0H\/"]4>7!E+T-A=&%L;V7!E+U!A9V4O4&%R96YT(#(@,"!2+U)E7!E+T=R;W5P+U,O5')A;G-P87)E;F-Y+T-3+T1E=FEC95)'0CX^+U1A M8G,O4R]3=')U8W1087)E;G1S(#`^/@T*96YD;V)J#0HT(#`@;V)J#0H\/"]& M:6QT97(O1FQA=&5$96-O9&4O3&5N9W1H(#0V,#4^/@T*< M:V\&;2W*7)[6-@]/=+CDS).?-(;LO7G1???7%LT=/'W?#UU]WWSY^U`W]Q*?N MM],3SE4C9WBO1AX1R3ME>PD93TAW>WV].3ZL].3[LFS1UT702$6RK>O3D^^ M |
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| October 31, 2014 |
DXTR / Dextera Surgical Inc. CORRESP - - CORRESP 1 filename1.htm Via EDGAR Brett D. White T: +1 650 843 5191 [email protected] October 31, 2014 United States Securities and Exchange Commission Division of Corporate Finance 100 F Street, N.E. Washington, D.C. 20549-3628 Attn: Mellissa Campbell Duru Re: Cardica, Inc. Preliminary Proxy Statement on Schedule 14A Filed October 16, 2014 File No. 000-51772 Dear Ms. Duru: On behalf of Cardica, |
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| October 31, 2014 |
DXTR / Dextera Surgical Inc. PRER14A - - FORM PRER14A crdc20141014pre14a.htm SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. 1) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy Statement ☐ Definitive A |
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| October 28, 2014 |
CRDC / Cardica, Inc. DFAN14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement ¨ Confide |
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| October 28, 2014 |
CRDC / Cardica, Inc. DFAN14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: o Preliminary Proxy Statement ¨ Confide |
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| October 23, 2014 |
Financial Statements and Exhibits, Other Events 8-K 1 crdc201410228k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 22, 2014 Cardica, Inc. (Exact name of registrant as specified in its charter) Delaware 000-51772 94-3287832 (State or other jurisdiction of i |
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| October 23, 2014 |
CARDICA ISSUES STATEMENT REGARDING BROADFIN EX-99 2 ex99-1.htm EXHIBIT 99.1 Exhibit 99.1 FOR IMMEDIATE RELEASE CARDICA ISSUES STATEMENT REGARDING BROADFIN REDWOOD CITY, California – October 22, 2014 – Cardica, Inc. (Nasdaq: CRDC) today confirmed that Broadfin Capital, LLC has filed its preliminary proxy statement with the Securities and Exchange Commission stating that it intends to solicit proxies to vote in favor of its three director nom |
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| October 23, 2014 |
CARDICA ISSUES STATEMENT REGARDING BROADFIN ex99-1.htm Exhibit 99.1 FOR IMMEDIATE RELEASE CARDICA ISSUES STATEMENT REGARDING BROADFIN REDWOOD CITY, California – October 22, 2014 – Cardica, Inc. (Nasdaq: CRDC) today confirmed that Broadfin Capital, LLC has filed its preliminary proxy statement with the Securities and Exchange Commission stating that it intends to solicit proxies to vote in favor of its three director nominees at the company’ |
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| October 23, 2014 |
DXTR / Dextera Surgical Inc. DEFA14A - - FORM 8-K crdc201410228k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 22, 2014 Cardica, Inc. (Exact name of registrant as specified in its charter) Delaware 000-51772 94-3287832 (State or other jurisdiction of incorporation) ( |
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| October 22, 2014 |
CRDC / Cardica, Inc. PREC14A - - UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 14A (Rule 14a-101) INFORMATION REQUIRED IN PROXY STATEMENT SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No. ) Filed by the Registrant o Filed by a Party other than the Registrant x Check the appropriate box: x Preliminary Proxy Statement ¨ Confide |
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| October 16, 2014 |
DXTR / Dextera Surgical Inc. PREC14A - - FORM PREC14A PREC14A 1 crdc20141016prec14a.htm FORM PREC14A SCHEDULE 14A INFORMATION Proxy Statement Pursuant to Section 14(a) of the Securities Exchange Act of 1934 (Amendment No.) Filed by the Registrant ☒ Filed by a Party other than the Registrant ☐ Check the appropriate box: ☑ Preliminary Proxy Statement ☐ Confidential, for Use of the Commission Only (as permitted by Rule 14a-6(e)(2)) ☐ Definitive Proxy St |
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| October 14, 2014 |
crdc201410138k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2014 Cardica, Inc. (Exact name of registrant as specified in its charter) Delaware 000-51772 94-3287832 (State or other jurisdiction of incorporation) ( |
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| October 14, 2014 |
DXTR / Dextera Surgical Inc. DEFA14A - - FORM 8-K DEFA14A 1 crdc201410138k.htm FORM 8-K UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): October 10, 2014 Cardica, Inc. (Exact name of registrant as specified in its charter) Delaware 000-51772 94-3287832 (State or other jurisdiction |
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| October 1, 2014 |
CONFIDENTIALITY AND NON-USE AGREEMENT crdc201409308k.htm Exhibit 99.1 September 30, 2014 Mr. Kevin Kotler Broadfin Healthcare Master Fund, Ltd. c/o Broadfin Capital LLC 237 Park Avenue, 9th Floor New York, New York 10017 Dear Mr. Kotler: The Board of Directors has had an opportunity to review your letter dated September 24, 2014, which is your response to our September 15th letter. We were obviously disappointed that your schedule did |
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| October 1, 2014 |
DXTR / Dextera Surgical Inc. DEFA14A - - FORM 8-K crdc201409308k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 24, 2014 Cardica, Inc. (Exact name of registrant as specified in its charter) Delaware 000-51772 94-3287832 (State or other jurisdiction of incorporation) |
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| October 1, 2014 |
CONFIDENTIALITY AND NON-USE AGREEMENT crdc201409308k.htm Exhibit 99.1 September 30, 2014 Mr. Kevin Kotler Broadfin Healthcare Master Fund, Ltd. c/o Broadfin Capital LLC 237 Park Avenue, 9th Floor New York, New York 10017 Dear Mr. Kotler: The Board of Directors has had an opportunity to review your letter dated September 24, 2014, which is your response to our September 15th letter. We were obviously disappointed that your schedule did |
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| October 1, 2014 |
CONFIDENTIALITY AND NON-USE AGREEMENT crdc201409308k.htm Exhibit 99.2 BROADFIN BROADFIN CAPITAL, LLC 237 Park Avenue, 9th floor New York, NY 10017 September 24, 2014 Board of Directors Cardica, Inc. 900 Saginaw Drive Redwood City, California 94063 To the Board of Directors of Cardica: Broadfin Capital, LLC (together with its affiliates, “Broadfin”) appreciates the opportunity to speak with the Chairman of the Board and the CEO of Card |
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| October 1, 2014 |
Financial Statements and Exhibits, Other Events crdc201409308k.htm UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 FORM 8-K CURRENT REPORT Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934 Date of Report (Date of earliest event reported): September 24, 2014 Cardica, Inc. (Exact name of registrant as specified in its charter) Delaware 000-51772 94-3287832 (State or other jurisdiction of incorporation) |
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| October 1, 2014 |
CONFIDENTIALITY AND NON-USE AGREEMENT crdc201409308k.htm Exhibit 99.2 BROADFIN BROADFIN CAPITAL, LLC 237 Park Avenue, 9th floor New York, NY 10017 September 24, 2014 Board of Directors Cardica, Inc. 900 Saginaw Drive Redwood City, California 94063 To the Board of Directors of Cardica: Broadfin Capital, LLC (together with its affiliates, “Broadfin”) appreciates the opportunity to speak with the Chairman of the Board and the CEO of Card |
