0001437749-19-017337.txt : 20190823
0001437749-19-017337.hdr.sgml : 20190823
20190823063656
ACCESSION NUMBER: 0001437749-19-017337
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190726
FILED AS OF DATE: 20190823
DATE AS OF CHANGE: 20190823
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: 191047082
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
2019-07-26
0000925741
BioCardia, Inc.
BCDA;BCDAW
0001031689
STERTZER SIMON H
C/O BIOCARDIA, INC.
125 SHOREWAY ROAD, SUITE B
SAN CARLOS
CA
94070
1
1
Common Stock
2019-07-26
4
M
0
3594
0
A
3594
D
Common Stock
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
Restricted Stock Units
0
2019-07-26
4
M
0
3594
0
D
Common Stock
3594
0
D
Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.
The converted RSU corresponds to a 1:1 common stock issuance.
Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.
On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.
These securities are held the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
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
2019-08-22