SEC Form 4/A · accession 0001437749-19-000286

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

Simon H Stertzer

Director · 10% Owner

Period of report

Dec 24, 2018

Accepted (ET)

Jan 3, 2019 · 9:52 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	4,278,274	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^F4	holding	—	—		—	12,000	D
Common Stock^F5	holding	—	—		—	104,910	I	See footnote
Common Stock^F6	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. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares
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 securities are owned jointly by Dr. Simon H. Stertzer and his spouse, Kimberly Stertzer. In the Form 4 and Form 4/A filed by the Reporting Person on December 27, 2018, the number of shares of Common Stock owned directly was incorrectly stated as 6,000. Dr. Stertzer purchased an additional 6,000 shares of Common Stock that were previously disclosed as having been purchased by the Stertzer Family Trust. See reports filed by the Reporting Person on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares.
F5These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.
F6These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.