0001437749-19-017334.txt : 20190823 0001437749-19-017334.hdr.sgml : 20190823 20190823063211 ACCESSION NUMBER: 0001437749-19-017334 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20190113 FILED AS OF DATE: 20190823 DATE AS OF CHANGE: 20190823 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: TESSLER ALLAN R CENTRAL INDEX KEY: 0000905084 STATE OF INCORPORATION: NY FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: 4 SEC ACT: 1934 Act SEC FILE NUMBER: 001-38999 FILM NUMBER: 191047080 MAIL ADDRESS: STREET 1: C/O EPOCH HOLDING CORPORATION STREET 2: 640 FIFTH AVENUE CITY: NEW YORK, STATE: NY ZIP: 10019 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 rdgdoc.xml FORM 4 X0306 4 2019-01-13 0000925741 BioCardia, Inc. BCDA;BCDAW 0000905084 TESSLER ALLAN R C/O BIOCARDIA, INC. 125 SHOREWAY ROAD, SUITE B SAN CARLOS CA 94070 1 Common Stock 2019-01-13 4 M 0 567 0 A 19592 D Common Stock 2019-07-26 4 M 0 3594 0 A 23186 D Common Stock 64491 I See footnote Common Stock 13009 I See footnote Common Stock 13009 I See footnote Restricted Stock Units 0 2019-01-13 4 M 0 567 0 D Common Stock 567 4161 D Restricted Stock Units 0 2019-07-26 4 M 0 3594 0 D Common Stock 3594 567 D Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018. The converted RSU corresponds to a 1:1 common stock issuance. Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4. These shares are held by ART/FGT Family Limited Partnership, of which the Reporting Person and his spouse are limited partners. These shares are held by International Financial Group, and the Reporting Person may be deemed to have beneficial ownership of such shares. These shares are held by Tessler Family Limited Partnership, and the Reporting Person may be deemed to have beneficial ownership of such shares. /s/ David McClung, by power of attorney 2019-08-22