BioCardia, Inc. — Director's Dealing 2019

Jan 3, 2019

SEC Form 4/A — Form 4/A

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

Reporting Person: STERTZER SIMON H (Director, 10% Owner)

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2018-12-24	Common Stock	P	1666666	$0.75	Acquired	4278274	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	12000	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. The aggregate amount of shares reported as beneficially owned by the Stertzer Family Trust was incorrect in Form 4s previously reported due to mathematical errors and the erroneous attributions of purchases made by Dr. Stertzer directly as reported on the Reporting Person's Form 4s filed on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares

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 securities are owned jointly by Dr. Simon H. Stertzer and his spouse, Kimberly Stertzer. In the Form 4 and Form 4/A filed by the Reporting Person on December 27, 2018, the number of shares of Common Stock owned directly was incorrectly stated as 6,000. Dr. Stertzer purchased an additional 6,000 shares of Common Stock that were previously disclosed as having been purchased by the Stertzer Family Trust. See reports filed by the Reporting Person on September 20, 2018 for the purchase of 5,000 shares and on September 24, 2018 for the purchase of 1,000 shares.

F5: These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.

F6: These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.