SEC Form 4 · accession 0001437749-17-016912
BioCardia, Inc. · BCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
A later amendment supersedes this filing — read the amendment. The figures below are kept as originally reported (version chain, not an overwrite).
Reporting owner
Richard T Allen
Officer — Vice President of Quality
Period of report
Oct 3, 2017
Accepted (ET)
Oct 5, 2017 · 6:03 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 Stock | Oct 3, 2017 | M | 585,875 | $0.15 | A | 585,875 | D | |
| Common Stock | Oct 3, 2017 | M | 237,250 | $0.15 | A | 823,125 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock Option (Right to Buy)F1 | $0.15 | Oct 3, 2017 | M | 585,875 | D | — | Aug 9, 2026 | Common Stock | 585,875 | 692,399 | D |
| Employee Stock Option (Right to Buy)F2 | $0.15 | Oct 3, 2017 | M | 237,250 | D | — | Aug 19, 2026 | Common Stock | 237,250 | 798,462 | D |
Explanation of responses
- F1One-fourth of the shares subject to the option vest on December 1, 2016 and one forty-eighth of the shares subject to the option vest each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.
- F2One-forty-eighth of the shares subject to the option vest on November 24, 2016 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.