0001437749-19-000286.txt : 20190103 0001437749-19-000286.hdr.sgml : 20190103 20190103215245 ACCESSION NUMBER: 0001437749-19-000286 CONFORMED SUBMISSION TYPE: 4/A PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20181224 FILED AS OF DATE: 20190103 DATE AS OF CHANGE: 20190103 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/A SEC ACT: 1934 Act SEC FILE NUMBER: 000-21419 FILM NUMBER: 19508321 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/A 1 rdgdoc.xml FORM 4/A X0306 4/A 2018-12-24 2018-12-27 0000925741 BioCardia, Inc. BCDA 0001031689 STERTZER SIMON H C/O BIOCARDIA, INC. 125 SHOREWAY ROAD, SUITE B SAN CARLOS CA 94070 1 1 Common Stock 2018-12-24 4 P 0 1666666 0.75 A 4278274 I See footnote Common Stock 2018-12-24 4 P 0 1666666 0.75 A 2076346 I See footnote Common Stock 12000 D Common Stock 104910 I See footnote Common Stock 448895 I See footnote Warrant (right to buy) 0.75 2018-12-24 4 P 0 833333 0 A 2018-12-24 2023-12-24 Common Stock 833333 833333 I See footnote Warrant (right to buy) 0.75 2018-12-24 4 P 0 833333 0 A 2018-12-24 2023-12-24 Common Stock 833333 833333 I See footnote On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share. These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers. These securities are owned jointly by Dr. Simon H. Stertzer and his spouse, Kimberly Stertzer. In the Form 4 and Form 4/A filed by the Reporting Person on December 27, 2018, the number of shares of Common Stock owned directly was incorrectly stated as 6,000. Dr. Stertzer purchased an additional 6,000 shares of Common Stock that were previously disclosed as having been purchased by the Stertzer Family Trust. See reports filed by the Reporting Person on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares. 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 2019-01-03