BioCardia, Inc. — Director's Dealing 2019

Aug 23, 2019

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BioCardia, Inc. (BCDA;BCDAW)
CIK: 0000925741
Period of Report: 2019-01-13

Reporting Person: PFENNIGER RICHARD C JR (Director)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2019-01-13	Common Stock	M	567	—	Acquired	7709	Direct
2019-07-26	Common Stock	M	3594	—	Acquired	11303	Direct

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2019-01-13	Restricted Stock Units	$0	M	567	Disposed		Common Stock (567)	Direct
2019-07-26	Restricted Stock Units	$0	M	3594	Disposed		Common Stock (3594)	Direct

Footnotes

F1: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017.

F2: Represents the conversion upon vesting of RSUs into common stock. On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019) that were previously reported on Table II of Form 4, which form was filed with the SEC on September 26, 2018.

F3: The converted RSU corresponds to a 1:1 common stock issuance.

F4: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock.

F5: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which 567 vested on January 13, 2019. The common stock into which such vested RSUs converted on January 13, 2019 is reported on Table I of this Form 4. The remaining RSUs will vest on the third one-year anniversary of the grant date, subject to the Reporting Person continuing as a service provider through such date.

F6: On July 26, 2018, the reporting person was granted 32,353 RSUs (3,594 after the 1-for-9 reverse split effective May 7, 2019), which vested on July 26, 2019. The common stock into which such vested RSUs converted on July 26, 2019 is reported on Table I of this Form 4.