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CARDICA INC
CARDICA INC. Institutional holdings reported to the SEC.

Institutional Holders (2014Q2)
Portfolio Summary: 41 Institutional holders with a total value of $44,885,182.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Broadfin Capital, LLC 8,874,992 10,117,000 22.54%
2 FEDERATED HERMES, INC. 8,194,710 9,342,000 20.81%
3 PRIMECAP MANAGEMENT CO/CA/ 5,842,700 6,661,000 14.84%
4 WASATCH ADVISORS LP 4,042,544 4,609,000 10.27%
5 PRESCOTT GROUP CAPITAL MANAGEMENT, L.L.C. 1,927,480 2,197,000 4.89%
6 PERKINS CAPITAL MANAGEMENT INC 1,902,781 2,169,000 4.83%
7 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 1,592,888 1,816,000 4.05%
8 Grandeur Peak Global Advisors, LLC 1,504,900 1,716,000 3.82%
9 DAFNA Capital Management LLC 1,486,004 1,694,000 3.77%
10 VANGUARD GROUP INC 1,406,982 1,604,000 3.57%
11 MILLENNIUM MANAGEMENT LLC 775,000 884,000 1.97%
12 ALLEN HOLDING INC /NY 417,938 476,000 1.06%
13 KEYBANK NATIONAL ASSOCIATION/OH 358,287 408,000 0.91%
14 LOCKHEED MARTIN INVESTMENT MANAGEMENT CO 210,000 239,000 0.53%
15 ROYCE & ASSOCIATES LP 114,486 131,000 0.29%
16 GEODE CAPITAL MANAGEMENT, LLC 113,916 129,000 0.29%
17 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 84,300 96,000 0.21%
18 JANE STREET GROUP, LLC 69,374 79,000 0.18%
19 Bank of New York Mellon Corp 67,566 77,000 0.17%
20 NORTHERN TRUST CORP 60,319 69,000 0.15%
21 UBS AG 52,639 61,000 0.14%
22 Rotella Capital Management, Inc. 45,704 52,000 0.12%
23 BRIDGEWAY CAPITAL MANAGEMENT, LLC 33,400 38,000 0.08%
24 Virtu KCG Holdings LLC 32,284 37,000 0.08%
25 Teton Advisors, Inc. 22,000 25,000 0.06%
26 KMS FINANCIAL SERVICES, INC 19,990 23,000 0.05%
27 DIMENSIONAL FUND ADVISORS LP 19,631 22,000 0.05%
28 BLACKROCK ADVISORS LLC 18,033 21,000 0.05%
29 GUGGENHEIM CAPITAL LLC 16,900 19,000 0.04%
30 Private Wealth Partners, LLC 15,000 17,000 0.04%
31 KING LUTHER CAPITAL MANAGEMENT CORP 15,000 17,000 0.04%
32 STATE STREET CORP 10,200 12,000 0.03%
33 WELLS FARGO & COMPANY/MN 8,703 10,000 0.02%
34 MORGAN STANLEY 7,014 8,000 0.02%
35 US BANCORP \DE\ 4,000 5,000 0.01%
36 Tower Research Capital LLC (TRC) 1,882 2,000 0.00%
37 MANUFACTURERS LIFE INSURANCE COMPANY, THE 513 1,000 0.00%
38 GROUP ONE TRADING LLC 1,086 1,000 0.00%
39 THOMPSON DAVIS & CO., INC. 1,000 1,000 0.00%
40 BNP PARIBAS FINANCIAL MARKETS 160 182 0.00%
41 Creative Planning 10 0 0.00%

From 2023-01-03 onward, the SEC requires values to be reported in nearest dollars. Earlier filings reported values in thousands; therefore, positions shown as $0 in older filings may represent actual values between $0–$999.