BioCardia, Inc. — Director's Dealing 2016

Dec 27, 2016

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BioCardia, Inc. (BCDA)
CIK: 0000925741
Period of Report: 2016-11-01

Reporting Person: STERTZER SIMON H (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2016-11-01	Common Stock	P	100000	$0.1641	Acquired	4816171	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	30956710	Indirect
Common Stock	1258925	Indirect
Common Stock	5386743	Indirect

Footnotes

F1: This transaction was executed in multiple trades at prices ranging from $0.1620 to $0.1650 per share. The price reported above reflects the weighted average per share purchase price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or a security holder of the issuer full information regarding the number of shares purchased at each separate price.

F2: These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are sole members and managers.

F3: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

F4: These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.

F5: These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.