Filing Details
- Accession Number:
- 0001437749-18-005521
- Form Type:
- 4
- Zero Holdings:
- No
- Publication Time:
- 2018-03-26 21:55:31
- Reporting Period:
- 2018-03-23
- Accepted Time:
- 2018-03-26 21:55:31
- 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 | 2018-03-23 | 10,000 | $1.90 | 2,603,609 | No | 4 | P | Indirect | See footnote |
| Common Stock | Acquisiton | 2018-03-26 | 8,000 | $1.87 | 2,611,609 | 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 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
- This transaction was executed in multiple trades at prices ranging from $1.88 to $1.91 for the March 23, 2018 purchases and $1.85 to $1.90 for the March 26, 2018 purchases; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant.
- 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 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 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.
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