0001437749-21-008503.txt : 20210407 0001437749-21-008503.hdr.sgml : 20210407 20210407202152 ACCESSION NUMBER: 0001437749-21-008503 CONFORMED SUBMISSION TYPE: 4 PUBLIC DOCUMENT COUNT: 1 CONFORMED PERIOD OF REPORT: 20210331 FILED AS OF DATE: 20210407 DATE AS OF CHANGE: 20210407 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: 21813527 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 2021-03-31 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 2021-03-31 4 A 0 2304 0 A 203554 D Common Stock 709513 I See footnote Common Stock 230704 I See footnote Common Stock 11656 I See footnote Common Stock 91544 I See footnote The award relates to vested restricted stock units ("RSUs") granted March 31, 2021, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan. These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers. 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 2021-04-07