CARDICA INC - 14141R101
Detailed investor-level table based on 13F positions.
Early Q2 2014 data: only 10 institutional holders reported so far. The full shareholder list will grow as more funds file with the SEC.
Methodology:
Market value and % of portfolio use SEC reported VALUE ($000).
For PUT/CALL positions this reflects reported underlying exposure, not premium cash paid/received.
Details.
Rows: 0
| Investor | History | Status | Shares held | Market value ($000) | % of portfolio | Previous % | Rank | Change in shares | % change in shares | Source | Date reported |
|---|---|---|---|---|---|---|---|---|---|---|---|
| PRIMECAP MANAGEMENT CO/CA/ | History | No change | 2,599,600 | 2,574 | 0.0% | 0.0% | 1 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| WASATCH ADVISORS INC | History | No change | 2,079,971 | 2,101 | 0.02% | 0.02% | 2 | 0 | 0.0% | Q1 2014 | May 13, 2014 |
| PRESCOTT GROUP CAPITAL MANAGEMENT, L.L.C. | History | Reduced | 1,964,666 | 1,968 | 0.37% | 0.37% | 3 | -38,740 | -1.93% | Q1 2014 | Apr 30, 2014 |
| PERKINS CAPITAL MANAGEMENT INC | History | Added to | 1,527,781 | 1,530 | 1.07% | 0.7% | 4 | +457,650 | 42.77% | Q1 2014 | May 07, 2014 |
| UBS GLOBAL ASSET MANAGEMENT AMERICAS INC | History | New | 1,270,765 | 1,283 | 0.0% | — | 5 | +1,270,765 | New | Q1 2014 | May 23, 2014 |
| VANGUARD GROUP INC | History | Added to | 1,141,449 | 1,153 | 0.0% | 0.0% | 6 | +22,800 | 2.04% | Q1 2014 | May 13, 2014 |
| Grandeur Peak Global Advisors, LLC | History | Added to | 1,104,900 | 1,107 | 0.26% | 0.24% | 7 | +181,200 | 19.62% | Q1 2014 | May 15, 2014 |
| DAFNA Capital Management LLC | History | Reduced | 1,053,704 | 1,055 | 0.91% | 1.07% | 8 | -9,765 | -0.92% | Q1 2014 | May 15, 2014 |
| Broadfin Capital, LLC | History | Reduced | 640,346 | 641 | 0.06% | 0.61% | 9 | -4,132,326 | -86.58% | Q1 2014 | May 15, 2014 |
| ALLEN HOLDING INC /NY | History | No change | 417,938 | 419 | 0.09% | 0.09% | 10 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| ROYCE & ASSOCIATES LLC | History | New | 169,600 | 171 | 0.0% | — | 11 | +169,600 | New | Q1 2014 | May 12, 2014 |
| BlackRock Fund Advisors | History | Added to | 133,401 | 134 | 0.0% | 0.0% | 12 | +67,754 | 103.21% | Q1 2014 | May 02, 2014 |
| GEODE CAPITAL MANAGEMENT, LLC | History | Added to | 114,127 | 115 | 0.0% | 0.0% | 14 | +46,159 | 67.91% | Q1 2014 | May 14, 2014 |
| KEYBANK NATIONAL ASSOCIATION/OH | History | No change | 114,344 | 115 | 0.0% | 0.0% | 13 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| KCG Holdings, Inc. | History | Added to | 82,491 | 82 | 0.0% | 0.0% | 15 | +28,760 | 53.53% | Q1 2014 | May 15, 2014 |
| CALIFORNIA PUBLIC EMPLOYEES RETIREMENT SYSTEM | History | No change | 84,300 | 81 | 0.0% | 0.0% | 16 | 0 | 0.0% | Q1 2014 | Apr 18, 2014 |
| NORTHERN TRUST CORP | History | Added to | 59,240 | 60 | 0.0% | 0.0% | 17 | +17,303 | 41.26% | Q1 2014 | May 14, 2014 |
| PATHSTONE FAMILY OFFICE, LLC | History | No change | 56,465 | 57 | 0.15% | 0.12% | 18 | 0 | 0.0% | Q1 2014 | May 07, 2014 |
| UBS AG | History | Reduced | 45,720 | 46 | 0.0% | 0.0% | 19 | -12,964 | -22.09% | Q1 2014 | May 16, 2014 |
| Rotella Capital Management, Inc. | History | New | 35,925 | 36 | 0.04% | — | 20 | +35,925 | New | Q1 2014 | May 21, 2014 |
| BRIDGEWAY CAPITAL MANAGEMENT INC | History | No change | 33,400 | 33 | 0.0% | 0.0% | 21 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| DIMENSIONAL FUND ADVISORS LP | History | Reduced | 31,881 | 32 | 0.0% | 0.0% | 22 | -40,600 | -56.01% | Q1 2014 | May 14, 2014 |
| Teton Advisors, Inc. | History | No change | 21,000 | 21 | 0.0% | 0.0% | 23 | 0 | 0.0% | Q1 2014 | May 02, 2014 |
| GUGGENHEIM CAPITAL LLC | History | Added to | 18,590 | 19 | 0.0% | 0.0% | 24 | +4,227 | 29.43% | Q1 2014 | May 16, 2014 |
| Bank of New York Mellon Corp | History | No change | 17,566 | 18 | 0.0% | 0.0% | 25 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| RENAISSANCE TECHNOLOGIES LLC | History | Reduced | 15,700 | 16 | 0.0% | 0.0% | 26 | -33,800 | -68.28% | Q1 2014 | May 14, 2014 |
| KING LUTHER CAPITAL MANAGEMENT CORP | History | New | 15,000 | 15 | 0.0% | — | 27 | +15,000 | New | Q1 2014 | May 14, 2014 |
| Private Wealth Partners, LLC | History | No change | 15,000 | 15 | 0.0% | 0.0% | 28 | 0 | 0.0% | Q1 2014 | Apr 30, 2014 |
| JANE STREET GROUP, LLC | History | New | 14,201 | 14 | 0.0% | — | 30 | +14,201 | New | Q1 2014 | May 15, 2014 |
| BLACKROCK ADVISORS LLC | History | Added to | 13,491 | 14 | 0.4% | 0.23% | 29 | +4,914 | 57.29% | Q1 2014 | Jun 05, 2014 |
| SUSQUEHANNA INTERNATIONAL GROUP, LLP | History | Added to | 11,496 | 12 | 0.0% | 0.0% | 31 | +600 | 5.51% | Q1 2014 | May 14, 2014 |
| Strategic Capital Group LLC | History | No change | 10,891 | 11 | 0.0% | 0.01% | 32 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| STATE STREET CORP | History | No change | 10,200 | 10 | 0.0% | 0.0% | 33 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| WELLS FARGO & COMPANY/MN | History | Reduced | 8,703 | 9 | 0.0% | 0.0% | 34 | -150 | -1.69% | Q1 2014 | May 15, 2014 |
| Edge Wealth Management LLC | History | New | 5,000 | 5 | 0.0% | — | 35 | +5,000 | New | Q1 2014 | Apr 08, 2014 |
| US BANCORP \DE\ | History | No change | 4,000 | 4 | 0.0% | 0.0% | 36 | 0 | 0.0% | Q1 2014 | May 14, 2014 |
| MORGAN STANLEY | History | Added to | 2,751 | 3 | 0.0% | 0.0% | 37 | +87 | 3.27% | Q1 2014 | May 13, 2014 |
| GROUP ONE TRADING, L.P. | History | New | 1,086 | 1 | 0.0% | — | 39 | +1,086 | New | Q1 2014 | May 07, 2014 |
| MANUFACTURERS LIFE INSURANCE COMPANY, THE | History | No change | 513 | 1 | 0.0% | 0.0% | 38 | 0 | 0.0% | Q1 2014 | May 15, 2014 |
| Verition Fund Management LLC | History | Closed out | 0 | 0 | — | 0.01% | — | -80,000 | -100.0% | Q4 2013 | Feb 14, 2014 |
| CITADEL ADVISORS LLC | History | Closed out | 0 | 0 | — | 0.02% | — | -10,000 | -100.0% | Q4 2013 | May 09, 2014 |
| Northeast Financial Consultants Inc | History | Closed out | 0 | 0 | — | 0.01% | — | -10,000 | -100.0% | Q4 2013 | Feb 13, 2014 |
| YCG, LLC | History | Closed out | 0 | 0 | — | 0.0% | — | -1,000 | -100.0% | Q4 2013 | Feb 18, 2014 |
| BANK OF AMERICA CORP /DE/ | History | Closed out | 0 | 0 | — | — | — | -380 | -100.0% | Q4 2013 | Feb 27, 2014 |
| BNP PARIBAS ARBITRAGE, SA | History | New | 160 | 0 | — | — | — | +160 | New | Q1 2014 | May 13, 2014 |
| Creative Planning | History | New | 10 | 0 | — | — | — | +10 | New | Q1 2014 | Apr 11, 2014 |