Home > Insider Trading > Filing (0001437749-16-043818)

Filing Details

Issuer

Cik	Name	Symbol	Sector (SIC)	IRS No
925741	Biocardia Inc.	BCDA	Orthopedic, Prosthetic & Surgical Appliances & Supplies (3842)	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	2016-11-01	100,000	$0.16	4,816,171	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	30,956,710	Indirect	See footnote
Common Stock	1,258,925	Indirect	See footnote
Common Stock	5,386,743	Indirect	See footnote

Footnotes

This transaction was executed in multiple trades at prices ranging from $0.1620 to $0.1650 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price.
These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are sole members and managers.
These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
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.