0001437749-18-005521.txt : 20180326
0001437749-18-005521.hdr.sgml : 20180326
20180326215531
ACCESSION NUMBER: 0001437749-18-005521
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180323
FILED AS OF DATE: 20180326
DATE AS OF CHANGE: 20180326
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: STERTZER SIMON H
CENTRAL INDEX KEY: 0001031689
STATE OF INCORPORATION: CA
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21419
FILM NUMBER: 18714003
MAIL ADDRESS:
STREET 1: C/O BIOCARDIA, INC.
STREET 2: 125 SHOREWAY DRIVE, SUITE B
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
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
2018-03-23
0000925741
BioCardia, Inc.
BCDA
0001031689
STERTZER SIMON H
C/O BIOCARDIA, INC.
125 SHOREWAY ROAD, SUITE B
SAN CARLOS
CA
94070
1
Common Stock
2018-03-23
4
P
0
10000
1.90
A
2603609
I
See footnote
Common Stock
2018-03-26
4
P
0
8000
1.87
A
2611609
I
See footnote
Common Stock
409680
I
See footnote
Common Stock
104910
I
See footnote
Common Stock
448895
I
See footnote
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.
/s/ David McClung, by power of attorney
2018-03-26