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Filing Details

Accession Number:: 0001437749-19-000286
Form Type:: 4/A
Zero Holdings:: No
Publication Time:: 2019-01-03 21:52:45
Reporting Period:: 2018-12-24

Accepted Time:: 2019-01-03 21:52:45
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

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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	2018-12-24	1,666,666	$0.75	4,278,274	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

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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	12,000	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. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares
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. In the Form 4 and Form 4/A filed by the Reporting Person on December 27, 2018, the number of shares of Common Stock owned directly was incorrectly stated as 6,000. Dr. Stertzer purchased an additional 6,000 shares of Common Stock that were previously disclosed as having been purchased by the Stertzer Family Trust. See reports filed by the Reporting Person on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares.
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.