SEC Form 4 · accession 0001437749-17-000473
BioCardia, Inc. · BCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon H Stertzer
Director
Period of report
Jan 9, 2017
Accepted (ET)
Jan 10, 2017 · 5:56 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 | Jan 9, 2017 | P | 10,000 | $0.8228 | A | 31,039,310 | I | See footnote |
| Common StockF3 | holding | — | — | — | 1,258,925 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 5,386,743 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 4,816,171 | 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 $0.818 to $0.83 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 the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
- F3These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.
- F4These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.
- F5These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are sole members and managers.