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