SEC Form 4 · accession 0001437749-18-022644
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
Simon H Stertzer
Director
Period of report
Dec 24, 2018
Accepted (ET)
Dec 27, 2018 · 2:34 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 | Dec 24, 2018 | P | 1,666,666 | $0.75 | A | 4,283,275 | I | See footnote |
| Common stockF1,F3 | Dec 24, 2018 | P | 1,666,666 | $0.75 | A | 2,076,346 | I | See footnote |
| Common Stock | holding | — | — | — | 6,000 | D | ||
| Common StockF4 | holding | — | — | — | 104,910 | I | See footnote | |
| Common StockF5 | holding | — | — | — | 448,895 | I | See footnote |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Warrant (right to buy)F1,F2 | $0.75 | Dec 24, 2018 | P | 833,333 | A | Dec 24, 2018 | Dec 24, 2023 | Common Stock | 833,333 | 833,333 | I |
| Warrant (right to buy)F1,F3 | $0.75 | Dec 24, 2018 | P | 833,333 | A | Dec 24, 2018 | Dec 24, 2023 | Common Stock | 833,333 | 833,333 | I |
Explanation of responses
- F1On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.
- F2These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
- F3These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the 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.