SIMON H. STERTZER - 30 Jun 2025 Form 4 Insider Report for BioCardia, Inc. (BCDA)

Role
Director
Signature
/s/ David McClung, by power of attorney
Issuer symbol
BCDA
Transactions as of
30 Jun 2025
Net transactions value
+$150,000
Form type
4
Filing time
02 Jul 2025, 21:02:01 UTC
Previous filing
25 Apr 2025
Next filing
23 Sep 2025
SEC
View on sec.gov

Reporting Owners (1)

Name Relationship Address Signature Signature date CIK
STERTZER SIMON H Director C/O BIOCARDIA, INC., 320 SOQUEL WAY, SUNNYVALE /s/ David McClung, by power of attorney 02 Jul 2025 0001031689

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BCDA Common Stock Purchase $150,000 +72,289 +60% $2.08 192,654 30 Jun 2025 See Footnote F1, F3
holding BCDA Common Stock 57,138 30 Jun 2025 Direct
holding BCDA Common Stock 59,204 30 Jun 2025 See Footnote F2
holding BCDA Common Stock 777 30 Jun 2025 See Footnote F4
holding BCDA Common Stock 6,102 30 Jun 2025 See Footnote F5

Derivative Securities (e.g., puts, calls, warrants, options, convertible securities)

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Underlying Class Amount Exercise Price Ownership Footnotes
transaction BCDA Warrant (right to buy) Purchase +72,289 +69% 177,275 30 Jun 2025 Common Stock 72,289 $1.95 See Footnote F1, F2
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On June 30, 2025, the Registrant closed a private placement with certain qualified institutional buyers and institutional accredited investors, as well as the Reporting Person, wherein the Reporting Person received one share of common stock together with one warrant to purchase a share of common stock for each share of common stock purchased.
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.

Remarks:

104,986(1)