BioCardia, Inc. — Director's Dealing 2020

Oct 9, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BioCardia, Inc. (BCDA;BCDAW)
CIK: 0000925741
Period of Report: 2020-09-30

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-09-30	Common Stock	A	2968	—	Acquired	195482	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	709513	Indirect
Common Stock	230704	Indirect
Common Stock	11656	Indirect
Common Stock	91544	Indirect

Footnotes

F1: The award relates to vested restricted stock units ("RSUs") granted September 30, 2020, each of which represents a contingent right to receive one share of the Issuer's common stock, but for which delivery of common stock will occur the earliest of (i) two years from the date of grant, (ii) the date the director ceases to be a service provider, or (iii) such other date as the administrator determines under the Issuer's 2016 Equity Incentive Plan.

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 the 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.