Simon H. Stertzer - Apr 23, 2025 Form 4 Insider Report for BioCardia, Inc. (BCDA)

Role
Director
Signature
/s/ David McClung, by power of attorney
Stock symbol
BCDA
Transactions as of
Apr 23, 2025
Transactions value $
$199,998
Form type
4
Date filed
4/25/2025, 09:35 PM
Previous filing
Mar 7, 2025

Transactions Table

Type Sym Class Transaction Value $ Shares Change % * Price $ Shares After Date Ownership Footnotes
transaction BCDA Common Stock Purchase $200K +105K +682.66% $1.91 120K Apr 23, 2025 See Footnote F1, F3
holding BCDA Common Stock 57.1K Apr 23, 2025 Direct
holding BCDA Common Stock 59.2K Apr 23, 2025 See Footnote F2
holding BCDA Common Stock 777 Apr 23, 2025 See Footnote F4
holding BCDA Common Stock 6.1K Apr 23, 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 +105K 105K Apr 23, 2025 Common Stock 105K $1.91 See note F1
* An asterisk sign (*) next to the price indicates that the price is likely invalid.

Explanation of Responses:

Id Content
F1 On April 23, 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)