UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934, Section 17(a) of the Public Utility Holding Company Act of 1935 or Section 30(h) of the Investment Company Act of 1940 |
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Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly. | SEC 1473 (7-02) | ||
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number. |
1. Title of Derivative Security (Instr. 4) |
2. Date Exercisable and Expiration Date (Month/Day/Year) |
3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) |
4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) |
6. Nature of Indirect Beneficial Ownership (Instr. 5) |
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Date Exercisable | Expiration Date | Title | Amount or Number of Shares | ||||
Warrant (Right to Buy) | 12/24/2018 | 12/24/2023 | Common Stock | 833,333 | $ 0.75 | I | By Stertzer Family Trust (1) |
Warrant (Right to Buy) | 12/24/2018 | 12/24/2023 | Common Stock | 833,333 | $ 0.75 | I | By Windrock Enterprises L.L.C. (2) |
Reporting Owner Name / Address | Relationships | |||
Director | 10% Owner | Officer | Other | |
Stertzer Kimberly C/O BIOCARDIA, INC. 125 SHOREWAY ROAD, SUITE B SAN CARLOS, CA 94070 |
 |  X |  |  |
/s/ David McClung, attorney-in-fact | 01/03/2019 | |
**Signature of Reporting Person | Date |
* | If the form is filed by more than one reporting person, see Instruction 5(b)(v). |
** | Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a). |
(1) | The Reporting Person and her spouse are co-trustees of the Stertzer Family Trust, and share voting and dispositive control over the securities held by the Stertzer Family Trust |
(2) | The Reporting Person and her spouse are the sole members and managers of Windrock Enterprises L.L.C., and share voting and dispositive control over the securities held by Windrock Enterprises L.L.C. |
(3) | Owned jointly with Simon H. Stertzer |
(4) | These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor. |
(5) | These shares are held by Stertzer Holdings LLC. The Reporting Person is a manager of Stertzer Holdings LLC and has voting and dispositive control of such shares. |
 Remarks: Exhibit List: Exhibit 24 - Power of Attorney |