BioCardia, Inc. — Director's Dealing 2018

Mar 22, 2018

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BioCardia, Inc. (BCDA)
CIK: 0000925741
Period of Report: 2018-03-21

Reporting Person: STERTZER SIMON H (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-03-21	Common Stock	P	4000	$1.91	Acquired	2590608	Indirect
2018-03-22	Common Stock	P	3000	$1.87	Acquired	2593608	Indirect

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	409680	Indirect
Common Stock	104910	Indirect
Common Stock	448895	Indirect

Footnotes

F1: This transaction was executed in multiple trades at prices ranging from $1.90 to $1.94 for the March 21, 2018 purchases and $1.85 to $1.90 for the March 22, 2018 purchases; the price reported above reflects the weighted average sale price. The reporting person hereby undertakes to provide full information regarding the number of shares and prices at which the transactions were effected upon request to the SEC staff, the Registrant, or a security holder of the Registrant.

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

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