Filing Details

Accession Number:
0001437749-19-000286
Form Type:
4/A
Zero Holdings:
No
Publication Time:
2019-01-03 21:52:45
Reporting Period:
2018-12-24
Accepted Time:
2019-01-03 21:52:45
Original Submission Date:
2018-12-27
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 Yes 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 2018-12-24 1,666,666 $0.75 4,278,274 No 4 P Indirect See footnote
Common Stock Acquisiton 2018-12-24 1,666,666 $0.75 2,076,346 No 4 P Indirect See footnote
Equity Swap Involved Form Type Code Nature of Ownership Explanation
No 4 P Indirect See footnote
No 4 P Indirect See footnote
Reported Derivative Transactions
Sec. Name Sec. Type Acquisiton - Disposition Date Amount Price Amount - 2 Price - 2
Common Stock Warrant (right to buy) Acquisiton 2018-12-24 833,333 $0.00 833,333 $0.75
Common Stock Warrant (right to buy) Acquisiton 2018-12-24 833,333 $0.00 833,333 $0.75
Remaning Holdings Exercise Date Expiration Date Equity Swap Involved Transaction Form Type Transaction Code Nature of Ownership
833,333 2018-12-24 2023-12-24 No 4 P Indirect
833,333 2018-12-24 2023-12-24 No 4 P Indirect
Reported Non-Derivative Holdings
Sec. Name Remaning Holdings Nature of Ownership Explanation
Common Stock 12,000 Direct
Common Stock 104,910 Indirect See footnote
Common Stock 448,895 Indirect See footnote
Footnotes
  1. On 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.
  2. These 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
  3. These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.
  4. These 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.
  5. These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.
  6. These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.