Filing Details

BioCardia, Inc.

(Name of Issuer)

Common Stock, $0.001 par value

(Title of Class of Securities)

09060U507

(CUSIP Number)

August 6, 2019

(Date of Event which Requires Filing of this Statement)

☐

Rule 13d-1(b)

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Rule 13d-1(c)

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Rule 13d-1(d)

CUSIP No.   09060U507

1.

Names of Reporting Persons.

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

(a)  ☐

(b)  ☐

3.

SEC Use Only

4.

Citizenship or Place of Organization  United States of America

Number of

Shares

5.

Sole Voting Power  531,788

Beneficially

Owned by

6.

Shared Voting Power  60,685

Each

Reporting

7.

Sole Dispositive Power  531,788

Person

With:

8.

Shared Dispositive Power  60,685

9.

Aggregate Amount Beneficially Owned by Each Reporting Person  592,473

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)

11.

Percent of Class Represented by Amount in Row (9)  8.6%

12.

Type of Reporting Person (See Instructions)

IN

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

Item 4.

Ownership

(a)

Amount beneficially owned: 592,473 shares

(b)

Percent of class: 8.6%⁽³⁾

(c)

Number of shares as to which the person has:

(i)

Sole power to vote or to direct the vote: 531,788 shares⁽¹⁾

(ii)

Shared power to vote or to direct the vote: 60,685 shares⁽²⁾

(iii)

Sole power to dispose or to direct the disposition of: 531,788 shares⁽¹⁾

(iv)

Shared power to dispose or to direct the disposition of: 60,685 shares⁽²⁾

⁽¹⁾

Consists of (i) 166,086 shares of common stock held by Gerald P. Peters, (ii) 89,487 shares of common stock held by The Peters Corporation, (iii) 33,456 shares of common stock held by the The Peters Family Art Foundation, (iv) 76,759 shares of common stock held in an account for the benefit of Mr. Peters, and (v) 166,000 shares of common stock issuable upon exercise of warrants held by Mr. Peters.

⁽²⁾

Consists of (i) 53,500 shares of common stock held in the Kathleen K. Peters & Gerald P. Peters III Revovable Trust UTA dtd. Sept. 29, 2008, and (ii) 7,185 shares of common stock held in an account for the benefit of the spouse of Mr. Peters.

⁽³⁾

Percentage calculation based on (i) 4,847,471 shares of common stock, par value $0.001 per share, outstanding on August 5, 2019, which number is taken from disclosures made by BioCardia, Inc. in its Form 10-Q, as filed with the Securities and Exchange Commission on August 14, 2019, plus (ii) 1,666,667 shares of common stock sold in BioCardia’s follow-on offering, which number of shares is taken from disclosures made by BioCardia, Inc. in its Form 8-K, as filed with the Securities and Exchange Commission on August 6, 2019, plus (iii) 210,887 shares of common stock issued upon the closing of the follow-on offering, which number is also taken from disclosures made by BioCardia, Inc. in its Form 8-K, as filed with the Securities and Exchange Commission on August 6, 2019, and assumes (iv) the exercise of warrants held by Mr. Peters for 166,000 shares of common stock of the issuer.

Item 5.

Ownership of Five Percent or Less of a Class

Item 6.

Ownership of More than Five Percent on Behalf of Another Person

Item 7.

Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person

Item 8.

Identification and Classification of Members of the Group

Item 9.

Notice of Dissolution of Group

Item 10.

Certifications