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: FROST PHILLIP MD ET AL (10% Owner)
Reporting Person: Frost Gamma Investments Trust (10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-12-24	Common Stock	P	2000000	$0.75	Acquired	12875318	Indirect

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2018-12-24	Warrant (right to buy)	$0.75	P	1000000	Acquired	2023-12-24	Common Stock (1000000)	Indirect

Footnotes

F1: On December 24, 2018, the Issuer entered into a Securities Purchase Agreement with certain investors whereby Frost Gamma Investments Trust, of which the Reporting Person is trustee, purchased 2,000,000 shares of Common Stock of the Issuer and a warrant to purchase 1,000,000 shares of Common Stock of the Issuer with an exercise price of $0.75 per share.

F2: On November 2, 2017, the Issuer effected a 1-12 reverse stock split of its common stock (the "Reverse Stock Split"). The amount of securities reported on this Form 4 have been adjusted to reflect the Reverse Stock Split.

F3: These securities are held by Frost Gamma Investments Trust, of which the Reporting Person is the trustee. Frost Gamma Limited Partnership is the sole and exclusive beneficiary of Frost Gamma Investments Trust. The Reporting Person is one of two limited partners of Frost Gamma Limited Partnership. The general partner of Frost Gamma Limited Partnership is Frost Gamma, Inc., and the sole shareholder of Frost Gamma, Inc. is Frost-Nevada Corporation, of which the Reporting Person is the sole shareholder.