SEC Form 4/A · accession 0001437749-18-022658

BioCardia, Inc. · BCDA

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

This is an amendment (Form 4/A). It replaces an earlier filing for the same period.

Reporting owner

Director · 10% Owner

Period of report

Dec 24, 2018

Accepted (ET)

Dec 27, 2018 · 3:51 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^F1,F2	Dec 24, 2018	P	1,666,666	$0.75	A	4,283,275	I	See footnote
Common stock^F1,F3	Dec 24, 2018	P	1,666,666	$0.75	A	2,076,346	I	See footnote
Common Stock	holding	—	—		—	6,000	D
Common Stock^F4	holding	—	—		—	104,910	I	See footnote
Common Stock^F5	holding	—	—		—	448,895	I	See footnote

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

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.