0001104659-22-128780.txt : 20221220
0001104659-22-128780.hdr.sgml : 20221220
20221220201507
ACCESSION NUMBER: 0001104659-22-128780
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20221216
FILED AS OF DATE: 20221220
DATE AS OF CHANGE: 20221220
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: FROST PHILLIP MD ET AL
CENTRAL INDEX KEY: 0000898860
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38999
FILM NUMBER: 221476327
MAIL ADDRESS:
STREET 1: 4400 BISCAYNE BLVD
CITY: MIAMI
STATE: FL
ZIP: 33137-3227
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: Frost Gamma Investments Trust
CENTRAL INDEX KEY: 0001380896
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38999
FILM NUMBER: 221476326
BUSINESS ADDRESS:
STREET 1: 4400 BISCAYNE BLVD
CITY: MIAMI
STATE: FL
ZIP: 33137
BUSINESS PHONE: 305-575-6511
MAIL ADDRESS:
STREET 1: 4400 BISCAYNE BLVD
CITY: MIAMI
STATE: FL
ZIP: 33137
FORMER NAME:
FORMER CONFORMED NAME: Frost Gamma Investment Trust
DATE OF NAME CHANGE: 20061113
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BioCardia, Inc.
CENTRAL INDEX KEY: 0000925741
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 232753988
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 125 SHOREWAY ROAD
STREET 2: SUITE B
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: 650-226-0123
MAIL ADDRESS:
STREET 1: 125 SHOREWAY ROAD
STREET 2: SUITE B
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
FORMER COMPANY:
FORMER CONFORMED NAME: Tiger X Medical, Inc.
DATE OF NAME CHANGE: 20110616
FORMER COMPANY:
FORMER CONFORMED NAME: Cardo Medical, Inc.
DATE OF NAME CHANGE: 20081027
FORMER COMPANY:
FORMER CONFORMED NAME: CLICKNSETTLE COM INC
DATE OF NAME CHANGE: 20000823
4
1
tm2233138-1_4seq1.xml
OWNERSHIP DOCUMENT
X0306
4
2022-12-16
0
0000925741
BioCardia, Inc.
BCDA
0000898860
FROST PHILLIP MD ET AL
4400 BISCAYNE BLVD.
MIAMI
FL
33137
0
0
1
0
0001380896
Frost Gamma Investments Trust
4400 BISCAYNE BLVD.
MIAMI
FL
33137
0
0
1
0
Common Stock
2022-12-16
4
P
0
595238
1.68
A
2025827
I
See footnote
Represents shares of the Issuer's common stock acquired by the Reporting Person from the Issuer in a private placement transaction pursuant to that certain Securities Purchase and Registration Rights Agreement by and among the Issuer and Frost Gamma Investments Trust, dated December 14, 2022.
On June 6, 2019, the Issuer effected a 1-9 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.
These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder.
/s/ Phillip Frost, MD, Individually and as trustee
2022-12-20