SEC Form 4 · accession 0001437749-16-043818
BioCardia, Inc. · BCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon H Stertzer
Director
Period of report
Nov 1, 2016
Accepted (ET)
Dec 27, 2016 · 9:07 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 StockF1,F2 | Nov 1, 2016 | P | 100,000 | $0.1641 | A | 4,816,171 | I | See footnote |
| Common StockF3 | holding | — | — | — | 30,956,710 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 1,258,925 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 5,386,743 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1This transaction was executed in multiple trades at prices ranging from $0.1620 to $0.1650 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price.
- F2These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are sole members and managers.
- F3These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
- F4These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.
- F5These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.