0001437749-19-015681.txt : 20190806
0001437749-19-015681.hdr.sgml : 20190806
20190806214634
ACCESSION NUMBER: 0001437749-19-015681
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190705
FILED AS OF DATE: 20190806
DATE AS OF CHANGE: 20190806
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
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38999
FILM NUMBER: 191003688
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
1
rdgdoc.xml
FORM 4
X0306
4
2019-07-05
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
2019-08-02
4
P
0
166666
6
A
642029
I
See footnote
Common Stock
2019-08-06
4
C
0
67484
3
A
709513
I
See footnote
Common Stock
230704
I
See footnote
Common Stock
1333
D
Common Stock
11656
I
See footnote
Common Stock
49877
I
See footnote
Convertible promissory note
8
2019-07-05
4
P
0
200000
200000
A
2019-07-05
2020-06-05
Common Stock
25000
200000
I
See footnote
Warrant (right to buy)
6.30
2019-08-02
4
P
0
166666
A
2019-08-06
2024-08-06
Common Stock
166666
166666
I
See footnote
Convertible promissory note
3
2019-08-06
4
C
0
200000
0
D
2019-07-05
2020-06-05
Common Stock
67484
0
I
See footnote
Warrant (right to buy)
6.30
2019-08-06
4
P
0
67484
A
2019-08-06
2024-08-06
Common Stock
67484
234150
I
See footnote
These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offering in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consists of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.
These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
The reported securities were included within 166,666 units purchased by the Stertzer Family Trust for $6.00 per unit. Each unit consists of one share of common stock and one warrant to purchase one share of common stock.
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.
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
2019-08-06