SIMON H. STERTZER - 23 Jun 2023 Form 4 Insider Report for BioCardia, Inc. (BCDA)

Role
Director
Signature
/s/ David McClung, by power of attorney
Issuer symbol
BCDA
Transactions as of
23 Jun 2023
Net transactions value
+$149,999
Form type
4
Filing time
26 Jun 2023, 20:25:37 UTC
Previous filing
19 Dec 2022
Next filing
19 Oct 2023
SEC
View on sec.gov

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BCDA Common Stock Award $149,999 +64,212 +32% $2.34 267,766 23 Jun 2023 Direct F1
holding BCDA Common Stock 888,084 23 Jun 2023 See Footnote F2
holding BCDA Common Stock 230,704 23 Jun 2023 See Footnote F3
holding BCDA Common Stock 11,656 23 Jun 2023 See Footnote F4
holding BCDA Common Stock 91,544 23 Jun 2023 See Footnote F5
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 These shares were purchased from the Issuer in a registered direct offering that closed on June 23, 2023.
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.