Filing Details

Accession Number:
0001437749-18-017267
Form Type:
4
Zero Holdings:
No
Publication Time:
2018-09-20 19:44:20
Reporting Period:
2018-09-18
Accepted Time:
2018-09-20 19:44:20
SEC Url:
Form 4 Filing
Issuer
Cik Name Symbol Sector (SIC) IRS No
925741 Biocardia Inc. BCDA Biological Products, (No Disgnostic Substances) (2836) 232753988
Insiders
Cik Name Reported Address Insider Title Director Officer Large Shareholder Other
1031689 H Simon Stertzer C/O Biocardia, Inc.
125 Shoreway Road, Suite B
San Carlos CA 94070
Yes No No No
Reported Non-Derivative Transactions
Sec. Name Acquisiton - Disposition Date Amount Price Remaning Holdings Equity Swap Involved Form Type Code Nature of Ownership Explanation
Common Stock Acquisiton 2018-09-18 5,000 $1.50 2,608,609 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 409,680 Indirect See footnote
Common Stock 104,910 Indirect See footnote
Common Stock 448,895 Indirect See footnote
Footnotes
  1. These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
  2. These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.
  3. These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.
  4. These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.