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