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, 2010
Cardica, Inc.
(Exact name of registrant as specified in its charter)
Delaware | 000-51772 | 94-3287832 | ||
(State or other Jurisdiction of Incorporation) | (Commission File Number) | (IRS Employer Identification No.) |
900 Saginaw Drive, Redwood City, CA | 94063 | |
(Address of Principal Executive Offices) | (Zip Code) |
Registrant’s telephone number, including area code:(650) 364-9975
(Former name or former address if changed since last report.) |
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:
o Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
o Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
o Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
o Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
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Votes | Votes | Broker | ||||||||||
Nominee | For | Withheld | Non-Votes | |||||||||
Bernard A. Hausen, M.D., Ph.D. | 12,516,157 | 165,292 | 7,497,799 | |||||||||
Kevin T. Larkin | 12,441,868 | 239,581 | 7,497,799 | |||||||||
Richard P. Powers | 12,513,773 | 167,676 | 7,497,799 | |||||||||
Jeffrey L. Purvin | 12,438,781 | 242,668 | 7,497,799 | |||||||||
John Simon, Ph.D. | 12,517,367 | 164,082 | 7,497,799 | |||||||||
William H. Younger, Jr. | 12,442,875 | 238,574 | 7,497,799 |
Votes | Votes | Broker | ||||
For | Against | Abstentions | Non-Votes | |||
12,026,893 | 601,164 | 53,392 | 7,497,799 |
Votes | Votes | |||
For | Against | Abstentions | ||
19,158,672 | 942,278 | 78,298 |
Votes | Votes | |||
For | Against | Abstentions | ||
19,928,667 | 176,378 | 74,203 |
Exhibit No. | Description | |
3.1(1) | Certificate of Amendment of Amended and Restated Certificate of Incorporation, filed with the Secretary of State of the State of Delaware on November 9, 2010. | |
3.2 | Certificate of Correction of Certificate of Amendment of Amended and Restated Certificate of Incorporation, filed with the Secretary of State of the State of Delaware on November 15, 2010. | |
10.2 | Cardica, Inc. 2005 Equity Incentive Plan, as amended effective November 9, 2010. | |
10.30 | Fourth Amendment to Lease dated November 11, 2010. |
(1) | Filed as an exhibit to the Company’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 15, 2010 and incorporated herein by reference. |
Cardica, Inc. (Registrant) | ||||
Date: November 15, 2010 | /s/ Robert Y. Newell | |||
Robert Y. Newell, Chief Financial Officer | ||||
Exhibit No. | Description | |
3.1(1) | Certificate of Amendment of Amended and Restated Certificate of Incorporation, filed with the Secretary of State of the State of Delaware on November 9, 2010. | |
3.2 | Certificate of Correction of Certificate of Amendment of Amended and Restated Certificate of Incorporation, filed with the Secretary of State of the State of Delaware on November 15, 2010. | |
10.2 | Cardica, Inc. 2005 Equity Incentive Plan, as amended effective November 9, 2010. | |
10.30 | Fourth Amendment to Lease dated November 11, 2010. |
(1) | Filed as an exhibit to the Company’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 15, 2010 and incorporated herein by reference. |