0001437749-19-000285.txt : 20190103 0001437749-19-000285.hdr.sgml : 20190103 20190103215128 ACCESSION NUMBER: 0001437749-19-000285 CONFORMED SUBMISSION TYPE: 3 PUBLIC DOCUMENT COUNT: 2 CONFORMED PERIOD OF REPORT: 20181224 FILED AS OF DATE: 20190103 DATE AS OF CHANGE: 20190103 REPORTING-OWNER: OWNER DATA: COMPANY CONFORMED NAME: Stertzer Kimberly CENTRAL INDEX KEY: 0001647808 FILING VALUES: FORM TYPE: 3 SEC ACT: 1934 Act SEC FILE NUMBER: 000-21419 FILM NUMBER: 19508318 MAIL ADDRESS: STREET 1: C/O BIOCARDIA INC STREET 2: 125 SHOREWAY ROAD 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 3 1 rdgdoc.xml FORM 3 X0206 3 2018-12-24 0 0000925741 BioCardia, Inc. BCDA 0001647808 Stertzer Kimberly C/O BIOCARDIA, INC. 125 SHOREWAY ROAD, SUITE B SAN CARLOS CA 94070 1 Common Stock 4278274 I By Stertzer Family Trust Common Stock 2076346 I By Windrock Enterprises L.L.C. Common Stock 12000 D Common Stock 104910 I By Stertzer Gamma Trust Common Stock 448895 I By Stertzer Holdings LLC Warrant (Right to Buy) 0.7500 2018-12-24 2023-12-24 Common Stock 833333 I By Stertzer Family Trust Warrant (Right to Buy) 0.7500 2018-12-24 2023-12-24 Common Stock 833333 I By Windrock Enterprises L.L.C. The Reporting Person and her spouse are co-trustees of the Stertzer Family Trust, and share voting and dispositive control over the securities held by the Stertzer Family Trust The Reporting Person and her spouse are the sole members and managers of Windrock Enterprises L.L.C., and share voting and dispositive control over the securities held by Windrock Enterprises L.L.C. Owned jointly with Simon H. Stertzer 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. The Reporting Person is a manager of Stertzer Holdings LLC and has voting and dispositive control of such shares. Exhibit List: Exhibit 24 - Power of Attorney /s/ David McClung, attorney-in-fact 2019-01-03 EX-24 2 kspoa.htm ex_132425.htm

Exhibit 24

 

POWER OF ATTORNEY

 

The undersigned, as a Section 16 reporting person of BioCardia, Inc. (the “Company”), hereby constitutes and appoints Peter Altman and David McClung the undersigned’s true and lawful attorneys-in-fact to:

 

 

1.

complete and execute Forms 3, 4 and 5 and other forms and all amendments thereto as such attorneys-in-fact shall in their discretion determine to be required or advisable pursuant to Section 16 of the Securities Exchange Act of 1934 (as amended) and the rules and regulations promulgated thereunder, or any successor laws and regulations, as a consequence of the undersigned’s ownership, acquisition or disposition of securities of the Company; and

 

 

2.

do all acts necessary in order to file such forms with the Securities and Exchange Commission, any securities exchange or national association, the Company and such other person or agency as the attorneys-in-fact shall deem appropriate.

 

The undersigned hereby ratifies and confirms all that said attorneys-in-fact and agent shall do or cause to be done by virtue hereof. The undersigned acknowledges that the foregoing attorneys-in-fact, in serving in such capacity at the request of the undersigned, is not assuming, nor is the Company assuming, any of the undersigned’s responsibilities to comply with Section 16 of the Securities Exchange Act of 1934 (as amended).

 

This Power of Attorney shall remain in full force and effect until the undersigned is no longer required to file Forms 3, 4 and 5 with respect to the undersigned’s holdings of and transactions in securities issued by the Company, unless earlier revoked by the undersigned in a signed writing delivered to the Company and the foregoing attorneys-in-fact.

 

IN WITNESS WHEREOF, the undersigned has caused this Power of Attorney to be executed as of this 22nd day of September, 2016.

 

 

  By: /s/ Kimberly Stertzer

 

  Print Name: Kimberly Stertzer