SEC Form 4 · accession 0001209191-15-084046
BioCardia, Inc. · BCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Dec 4, 2015
Accepted (ET)
Dec 8, 2015 · 5:24 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0000925741
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock, $0.001 par valueF1 | Dec 4, 2015 | P | 70,000 | $0.06 | A | 34,248,877 | I | Frost Gamma Investments Trust |
| Common Stock, $0.001 par valueF1 | Dec 4, 2015 | P | 30,000 | $0.062 | A | 34,278,877 | I | Frost Gamma Investments Trust |
| Common Stock, $0.001 par valueF1 | Dec 7, 2015 | P | 60,000 | $0.07 | A | 34,338,877 | I | Frost Gamma Investments Trust |
| Common Stock, $0.001 par valueF1 | Dec 7, 2015 | P | 20,000 | $0.072 | A | 34,358,877 | I | Frost Gamma Investments Trust |
| Common Stock, $0.001 par valueF1 | Dec 7, 2015 | P | 145,000 | $0.0735 | A | 34,503,877 | I | Frost Gamma Investments Trust |
| Common Stock, $0.001 par valueF1 | Dec 7, 2015 | P | 175,000 | $0.075 | A | 34,678,877 | I | Frost Gamma Investments Trust |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder.