AI assistant
BioCardia, Inc. — Director's Dealing 2019
Jan 3, 2019
35081_dirs_2019-01-03_02be17d2-6797-4ce1-8259-540c62392641.zip
Director's Dealing
Open in viewerOpens in your device viewer
SEC Form 3 — Initial Statement of Beneficial Ownership
Issuer: BioCardia, Inc. (BCDA)
CIK: 0000925741
Period of Report: 2018-12-24
Reporting Person: Stertzer Kimberly (10% Owner)
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 4278274 | Indirect |
| Common Stock | 2076346 | Indirect |
| Common Stock | 12000 | Direct |
| Common Stock | 104910 | Indirect |
| Common Stock | 448895 | Indirect |
Holdings (Derivative)
| Security | Exercise Price | Expiration | Underlying | Shares | Ownership |
|---|---|---|---|---|---|
| Warrant (Right to Buy) | $0.7500 | 2023-12-24 | Common Stock (833333) | Indirect | |
| Warrant (Right to Buy) | $0.7500 | 2023-12-24 | Common Stock (833333) | Indirect |
Footnotes
F1: The Reporting Person and her spouse are co-trustees of the Stertzer Family Trust, and share voting and dispositive control over the securities held by the Stertzer Family Trust
F2: The Reporting Person and her spouse are the sole members and managers of Windrock Enterprises L.L.C., and share voting and dispositive control over the securities held by Windrock Enterprises L.L.C.
F3: Owned jointly with Simon H. Stertzer
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. The Reporting Person is a manager of Stertzer Holdings LLC and has voting and dispositive control of such shares.