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Filing Details

Accession Number:: 0001437749-19-015681
Form Type:: 4
Zero Holdings:: No
Publication Time:: 2019-08-06 21:46:34
Reporting Period:: 2019-07-05

Accepted Time:: 2019-08-06 21:46:34
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

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Sec. Name	Acquisiton - Disposition	Date	Amount	Price	Remaning Holdings	Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
Common Stock	Acquisiton	2019-08-02	166,666	$6.00	642,029	No	4	P	Indirect	See footnote
Common Stock	Acquisiton	2019-08-06	67,484	$3.00	709,513	No	4	C	Indirect	See footnote

Equity Swap Involved	Form Type	Code	Nature of Ownership	Explanation
No	4	P	Indirect	See footnote
No	4	C	Indirect	See footnote

Reported Derivative Transactions

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Sec. Name	Sec. Type	Acquisiton - Disposition	Date	Amount	Price	Amount - 2	Price - 2
Common Stock	Convertible promissory note	Acquisiton	2019-07-05	0	$200,000.00	25,000	$8.00
Common Stock	Warrant (right to buy)	Acquisiton	2019-08-02	166,666	$0.00	166,666	$6.30
Common Stock	Convertible promissory note	Disposition	2019-08-06	0	$0.00	67,484	$3.00
Common Stock	Warrant (right to buy)	Acquisiton	2019-08-06	67,484	$0.00	67,484	$6.30

Remaning Holdings	Exercise Date	Expiration Date	Equity Swap Involved	Transaction Form Type	Transaction Code	Nature of Ownership
0	2019-07-05	2020-06-05	No	4	P	Indirect
166,666	2019-08-06	2024-08-06	No	4	P	Indirect
0	2019-07-05	2020-06-05	No	4	C	Indirect
234,150	2019-08-06	2024-08-06	No	4	P	Indirect

Reported Non-Derivative Holdings

Sec. Name	Remaning Holdings	Nature of Ownership	Explanation
Common Stock	230,704	Indirect	See footnote
Common Stock	1,333	Direct
Common Stock	11,656	Indirect	See footnote
Common Stock	49,877	Indirect	See footnote

Footnotes

These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.
These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
The reported securities were included within 166,666 units purchased by the Stertzer Family Trust for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock.
These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.
These securities are owned jointly by Dr. Simon H. Stertzer and his spouse, Kimberly Stertzer.
These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.
These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.