BioCardia, Inc. — Director's Dealing 2020

Jun 23, 2020

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: BioCardia, Inc. (BCDA;BCDAW)
CIK: 0000925741
Period of Report: 2020-06-19

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

Non-Derivative Transactions

Date	Security	Code	Shares	Price	A/D	Holdings After	Ownership
2020-06-19	Common Stock	P	142850	$2.10	Acquired	187983	Direct

Holdings (Non-Derivative)

Security	Shares	Ownership
Common Stock	705913	Indirect
Common Stock	230704	Indirect
Common Stock	11656	Indirect
Common Stock	91544	Indirect

Footnotes

F1: These shares were purchased from the underwriters in a firm-commitment underwritten public offering of shares of the Issuer's common stock that closed on June 19, 2020.

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.