SEC Form 4 · accession 0001209191-16-136884
BioCardia, Inc. · BCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Stephen H Liu
Director
Period of report
Aug 11, 2016
Accepted (ET)
Aug 12, 2016 · 6:55 pm EDT
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 StockF1 | Aug 11, 2016 | A | 75,000 | $0.00 | A | 75,000 | D | |
| Common StockF2 | holding | — | — | — | 200,000 | I | By spouse and mother-in-law as joint tenants | |
| Common StockF2,F3 | holding | — | — | — | 2,600,000 | I | By Marin Blue, Inc. |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Pursuant to a Stock Award Agreement effective August 11, 2016 between Tiger X Medical, Inc. (the "Company") and the reporting person (the "Agreement"), this grant of restricted stock of the Company vests in full on August 11, 2017 (the "Vesting Date"), subject to the reporting person's continued service with the Company; provided, however, to the extent the reporting person's service with the Company is terminated for any reason within thirty (30) days prior to or upon a Change in Control (as defined in the Agreement) prior to the Vesting Date, this grant of restricted stock will immediately and automatically vest in full.
- F2The reporting person disclaims beneficial ownership of these securities, except to the extent of any pecuniary interest in such securities, and this report shall not be deemed an admission that the reporting person is the beneficial owner of such securities for purposes of Section 16 or for any other purpose.
- F3The reporting person owns 35%, and serves as a director, of Marin Blue, Inc.