SEC Form 4 · accession 0001437749-18-005273
BioCardia, Inc. · BCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon H Stertzer
Director
Period of report
Mar 21, 2018
Accepted (ET)
Mar 22, 2018 · 9:48 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,F2 | Mar 21, 2018 | P | 4,000 | $1.91 | A | 2,590,608 | I | See Footnote |
| Common StockF1,F2 | Mar 22, 2018 | P | 3,000 | $1.87 | A | 2,593,608 | I | See footnote |
| Common StockF3 | holding | — | — | — | 409,680 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 104,910 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 448,895 | 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 $1.90 to $1.94 for the March 21, 2018 purchases and $1.85 to $1.90 for the March 22, 2018 purchases; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant.
- 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 Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are sole members and managers.
- 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.