BioCardia, Inc. — Director's Dealing 2016

Oct 26, 2016

SEC Form 3 — Initial Statement of Beneficial Ownership

Issuer: BioCardia, Inc. (BCDA)
CIK: 0000925741
Period of Report: 2016-10-24

Reporting Person: STERTZER SIMON H (Director)

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	30956710	Indirect
Common Stock	1258925	Indirect
Common Stock	5386743	Indirect
Common Stock	4716171	Indirect

Holdings (Derivative)

Security	Exercise Price	Expiration	Underlying	Shares	Ownership
Director stock option (right to buy)	$0.1300	2020-11-11	Common Stock (162941)		Direct
Director stock option (right to buy)	$0.1300	2020-12-23	Common Stock (54307)		Direct
Director stock option (right to buy)	$0.1500	2023-07-09	Common Stock (678996)		Direct

Footnotes

F1: These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

F2: These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.

F3: These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.

F4: These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are sole members and managers.

F5: The shares subject to the option are fully vested and immediately exercisable.

F6: One-forty-eighth of the shares subject to the option vest on August 1, 2013 and each month thereafter, subject to the Reporting Person continuing as a service provider through each such date.