0001437749-18-017507.txt : 20180926
0001437749-18-017507.hdr.sgml : 20180926
20180926211703
ACCESSION NUMBER: 0001437749-18-017507
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20180113
FILED AS OF DATE: 20180926
DATE AS OF CHANGE: 20180926
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: PFENNIGER RICHARD C JR
CENTRAL INDEX KEY: 0001200796
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 000-21419
FILM NUMBER: 181089289
MAIL ADDRESS:
STREET 1: OPKO HEALTH, INC.
STREET 2: 4400 BISCAYNE BLVD.
CITY: MIAMI
STATE: FL
ZIP: 33137
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
2018-01-13
0000925741
BioCardia, Inc.
BCDA
0001200796
PFENNIGER RICHARD C JR
C/O BIOCARDIA, INC.
125 SHOREWAY ROAD, SUITE B
SAN CARLOS
CA
94070
1
Common Stock
2018-01-13
4
M
0
5111
0
A
55111
D
Common Stock
2018-06-15
4
M
0
9166
0
A
64277
D
Restricted Stock Units
0
2018-01-13
4
M
0
5111
0
D
Common Stock
10222
10222
D
Restricted Stock Units
0
2018-06-15
4
M
0
9166
0
D
Common Stock
0
0
D
Restricted Stock Units
0
2018-07-26
4
A
0
32353
0
A
Common Stock
32353
32353
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 (15,333 after the 12-to-1 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 June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the SEC on August 25, 2017.
Each RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on January 12, 2018 was $2.95 per share.
Each RSU is the economic equivalent of one share of BioCardia, Inc. common stock. The closing price of BCDA on June 15, 2018 was $1.40 per share.
Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
The converted RSU corresponds to a 1:1 common stock issuance.
The converted RSU corresponds to a 1:1 common stock issuance.
On January 13, 2017, the reporting person was granted 184,000 RSUs (15,333 after the 12-to-1 reverse split effective November 2, 2017), of which 5,111 vested on January 13, 2018. The common stock into which such vested RSUs converted on January 13, 2018 is reported on Table I of this Form 4. The remaining RSUs will continue to vest on the second and third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through each such date.
On June 15, 2017, the reporting person was granted 110,000 RSUs (9,166 after the 12-to-1 reverse split effective November 2, 2017), which vested on June 15, 2018. The common stock into which such vested RSUs converted on June 15, 2018 is reported on Table I of this Form 4.
The restricted stock units vest as to one hundred percent of the shares on July 26, 2019, subject to the Reporting Person continuing as a service provider through such date. Vested shares will be delivered to the Reporting Person on July 26, 2019.
/s/ David McClung, by power of attorney
2018-09-26