Filing Details
- Accession Number:
- 0001437749-18-022658
- Form Type:
- 4/A
- Zero Holdings:
- No
- Publication Time:
- 2018-12-27 15:51:14
- Reporting Period:
- 2018-12-24
- Accepted Time:
- 2018-12-27 15:51:14
- 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 | 4,283,275 | 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 | 6,000 | Direct | |
| Common Stock | 104,910 | Indirect | See footnote |
| Common Stock | 448,895 | Indirect | See footnote |
Footnotes
- 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.
- These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
- 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 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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