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Ownership Document
|
| Schema Version: X0306 |
| Document Type: 4 |
| Period of Report: 1/13/20 |
| Issuer: |
| Issuer CIK: 925741 |
| Issuer Name: BioCardia, Inc. |
| Issuer Trading Symbol: BCDA;BCDAW |
| Reporting Owner: |
| Reporting Owner ID: |
| | Owner CIK: 1200796 |
| | Owner Name: PFENNIGER RICHARD C JR |
| Reporting Owner Address: |
| | Owner Street 1: C/O BIOCARDIA, INC. |
| | Owner Street 2: 125 SHOREWAY ROAD, SUITE B |
| | Owner City: SAN CARLOS |
| | Owner State: CA |
| | Owner ZIP Code: 94070 |
| | Owner State Description: |
| Reporting Owner Relationship: |
| | Is Director? Yes |
| Non-Derivative Table: |
| Non-Derivative Transaction: |
| | Security Title: |
| | | Value: Common Stock |
| | Transaction Date: |
| | | Value: 1/13/20 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: M |
| | | Equity Swap Involved? No |
| | | Footnote ID: F1 |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 567 |
| | | Transaction Price Per Share: |
| Footnote ID: F2 |
| | | Transaction Acquired-Disposed Code: |
| Value: A |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 11,870 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Derivative Table: |
| Derivative Transaction: |
| | Security Title: |
| | | Value: Restricted Stock Units |
| | Conversion or Exercise Price: |
| | | Footnote ID: F3 |
| | Transaction Date: |
| | | Value: 1/13/20 |
| | Transaction Coding: |
| | | Transaction Form Type: 4 |
| | | Transaction Code: M |
| | | Equity Swap Involved? No |
| | Transaction Amounts: |
| | | Transaction Shares: |
| Value: 567 |
| | | Transaction Price Per Share: |
| Value: 0 |
| | | Transaction Acquired-Disposed Code: |
| Value: D |
| | Exercise Date: |
| | | Footnote ID: F4 |
| | Expiration Date: |
| | | Footnote ID: F4 |
| | Underlying Security: |
| | | Underlying Security Title: |
| Value: Common Stock |
| | | Underlying Security Shares: |
| Value: 567 |
| | Post-Transaction Amounts: |
| | | Shares Owned Following Transaction: |
| Value: 0 |
| | Ownership Nature: |
| | | Direct or Indirect Ownership: |
| Value: D |
| Footnotes: |
| Footnote - F1: Represents the conversion upon vesting of restricted stock units ("RSUs") into common stock. On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017) that were previously reported on Table II of Form 4, which form was filed with the Securities and Exchange Commission (the "SEC") on January 18, 2017. |
| Footnote - F2: The converted RSU corresponds to a 1:1 common stock issuance. |
| Footnote - F3: Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. |
| Footnote - F4: On January 13, 2017, the reporting person was granted 184,000 RSUs (1,703 after the 1-for-9 reverse stock split effective May 7, 2019 and the 1-for-12 reverse split effective November 2, 2017), of which the final 567 remaining under the grant vested on January 13, 2020. The common stock into which such vested RSUs converted on January 13, 2020 is reported on Table I of this Form 4. |
| Owner Signature: |
| Signature Name: /s/ David McClung, by power of attorney |
| Signature Date: 2/10/20 |
