SEC Form 3 · accession 0001437749-19-000285

BioCardia, Inc. · BCDA

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

Reporting owner

10% Owner

Period of report

Dec 24, 2018

Accepted (ET)

Jan 3, 2019 · 9:51 pm EST

Rule 10b5-1 plan

unknown — predates the checkbox

Issuer CIK

0000925741

Table I — non-derivative securities

Security	Date	Code	Shares	A/D	Owned after	D/I	Nature of ownership
Common Stock^F1	holding	—	—	—	4,278,274	I	By Stertzer Family Trust
Common Stock^F2	holding	—	—	—	2,076,346	I	By Windrock Enterprises L.L.C.
Common Stock^F3	holding	—	—	—	12,000	D
Common Stock^F4	holding	—	—	—	104,910	I	By Stertzer Gamma Trust
Common Stock^F5	holding	—	—	—	448,895	I	By Stertzer Holdings LLC

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Warrant (Right to Buy)^F1	$0.75	holding	—	—	—	Dec 24, 2018	Dec 24, 2023	Common Stock	833,333	—	I
Warrant (Right to Buy)^F2	$0.75	holding	—	—	—	Dec 24, 2018	Dec 24, 2023	Common Stock	833,333	—	I

F1The Reporting Person and her spouse are co-trustees of the Stertzer Family Trust, and share voting and dispositive control over the securities held by the Stertzer Family Trust
F2The Reporting Person and her spouse are the sole members and managers of Windrock Enterprises L.L.C., and share voting and dispositive control over the securities held by Windrock Enterprises L.L.C.
F3Owned jointly with Simon H. Stertzer
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. The Reporting Person is a manager of Stertzer Holdings LLC and has voting and dispositive control of such shares.

Exhibit List: Exhibit 24 - Power of Attorney