BioCardia, Inc. — Director's Dealing 2018

Dec 27, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BioCardia, Inc. (BCDA)
CIK: 0000925741
Period of Report: 2018-12-24

Reporting Person: STERTZER SIMON H (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-12-24	Common Stock	P	1666666	$0.75	Acquired	4283275	Indirect
2018-12-24	Common stock	P	1666666	$0.75	Acquired	2076346	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-12-24	Warrant (right to buy)	$0.75	P	833333	Acquired	2023-12-24	Common Stock (833333)	Indirect
2018-12-24	Warrant (right to buy)	$0.75	P	833333	Acquired	2023-12-24	Common Stock (833333)	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	6000	Direct
Common Stock	104910	Indirect
Common Stock	448895	Indirect

Footnotes

F1: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby the Stertzer Family Trust and Windrock Enterprises L.L.C. each purchased 1,666,666 shares of Common Stock of the Issuer and a warrant to purchase 833,333 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2: These securities are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.

F3: These securities are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.

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.