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