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

Institutional Holders (2014Q3)
Portfolio Summary: 43 Institutional holders with a total value of $42,247,147.
#
Manager Name
Shares
Value ($)
%
Options
Notes
1 Broadfin Capital, LLC 8,873,992 9,496,000 22.48%
2 FEDERATED HERMES, INC. 8,194,710 8,768,000 20.75%
3 PRIMECAP MANAGEMENT CO/CA/ 5,864,500 6,275,000 14.85%
4 WASATCH ADVISORS LP 3,966,744 4,244,000 10.05%
5 PRESCOTT GROUP CAPITAL MANAGEMENT, L.L.C. 1,927,480 2,062,000 4.88%
6 PERKINS CAPITAL MANAGEMENT INC 1,877,781 2,009,000 4.76%
7 UBS AM, a distinct business unit of UBS ASSET MANAGEMENT AMERICAS LLC 1,668,149 1,785,000 4.23%
8 DAFNA Capital Management LLC 1,486,004 1,590,000 3.76% SH
9 VANGUARD GROUP INC 1,438,816 1,540,000 3.65%
10 SABBY MANAGEMENT, LLC 1,019,137 1,090,000 2.58%
11 Grandeur Peak Global Advisors, LLC 613,297 656,000 1.55%
12 Coe Capital Management, LLC 490,792 525,147 1.24%
13 ALLEN HOLDING INC /NY 417,938 447,000 1.06%
14 GEODE CAPITAL MANAGEMENT, LLC 306,648 328,000 0.78%
15 KEYBANK NATIONAL ASSOCIATION/OH 254,187 272,000 0.64%
16 LOCKHEED MARTIN INVESTMENT MANAGEMENT CO 210,000 225,000 0.53%
17 MILLENNIUM MANAGEMENT LLC 200,000 214,000 0.51%
18 Virtu KCG Holdings LLC 92,846 98,000 0.23%
19 CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM 84,300 90,000 0.21%
20 Bank of New York Mellon Corp 67,566 73,000 0.17%
21 Rotella Capital Management, Inc. 62,492 67,000 0.16%
22 NORTHERN TRUST CORP 60,866 65,000 0.15%
23 ROYCE & ASSOCIATES LP 54,486 58,000 0.14%
24 JANE STREET GROUP, LLC 40,270 43,000 0.10%
25 BRIDGEWAY CAPITAL MANAGEMENT, LLC 33,400 36,000 0.09%
26 BLACKROCK ADVISORS LLC 26,645 29,000 0.07%
27 Teton Advisors, Inc. 24,000 26,000 0.06%
28 KMS FINANCIAL SERVICES, INC 19,990 21,000 0.05%
29 KING LUTHER CAPITAL MANAGEMENT CORP 15,000 16,000 0.04%
30 Private Wealth Partners, LLC 15,000 16,000 0.04%
31 CITADEL ADVISORS LLC 15,125 16,000 0.04%
32 WEDBUSH SECURITIES INC 11,800 13,000 0.03%
33 STATE STREET CORP 10,200 11,000 0.03%
34 AMERIPRISE FINANCIAL INC 8,310 9,000 0.02%
35 UBS AG 7,220 8,000 0.02%
36 WELLS FARGO & COMPANY/MN 7,303 8,000 0.02%
37 PNC FINANCIAL SERVICES GROUP, INC. 7,000 7,000 0.02%
38 US BANCORP \DE\ 4,000 4,000 0.01%
39 MORGAN STANLEY 2,814 3,000 0.01%
40 Tower Research Capital LLC (TRC) 2,129 2,000 0.00%
41 MANUFACTURERS LIFE INSURANCE COMPANY, THE 513 1,000 0.00%
42 GROUP ONE TRADING LLC 1,086 1,000 0.00%
43 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.