SEC Form 4 · accession 0001437749-18-021033
BioCardia, Inc. · BCDA
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Simon H Stertzer
Director
Period of report
Nov 14, 2018
Accepted (ET)
Nov 16, 2018 · 8:22 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 Stock | Nov 14, 2018 | P | 1,000 | $2.1405 | A | 5,000 | D | |
| Common StockF1 | holding | — | — | — | 2,616,609 | I | See footnote | |
| Common StockF2 | holding | — | — | — | 409,680 | I | See footnote | |
| Common StockF3 | holding | — | — | — | 104,910 | I | See footnote | |
| Common StockF4 | holding | — | — | — | 448,895 | I | See footnote |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
- F2These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.
- 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.