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Pfenniger Richard C Jr. – ‘4’ for 1/13/20 re: BioCardia, Inc.

On:  Monday, 2/10/20, at 9:19pm ET   ·   For:  1/13/20   ·   Accession #:  1437749-20-2227   ·   File #:  1-38999

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  As Of               Filer                 Filing    For·On·As Docs:Size             Issuer                      Filing Agent

 2/10/20  Pfenniger Richard C Jr.           4                      1:6K   BioCardia, Inc.                   RDG Filings/FA

Statement of Changes in Beneficial Ownership of Securities by an Insider   —   Form 4   —   SEA’34
Filing Table of Contents

Document/Exhibit                   Description                      Pages   Size 

 1: 4           Statement of Changes in Beneficial Ownership of     HTML      3K 
                Securities by an Insider -- rdgdoc.xml/3.6


        

This ‘4’ Document is an XML Data File that may be rendered in various formats:

  Form 4    –   Plain Text   –  SEC Website  –  EDGAR System  –    XML Data    –  <?xml?> File
 
 
XML Data rendering:  Statement of Changes in Beneficial Ownership of Securities by an Insider
 
                                                                                                                                                                                
<?xml version="1.0" encoding="windows-1252"?>
<ownershipDocument>
<schemaVersion> X0306 </schemaVersion>
<documentType> 4 </documentType>
<periodOfReport> 2020-01-13 </periodOfReport>
<issuer>
<issuerCik> 0000925741 </issuerCik>
<issuerName> BioCardia, Inc. </issuerName>
<issuerTradingSymbol> BCDA;BCDAW </issuerTradingSymbol>
</issuer>
<reportingOwner>
<reportingOwnerId>
<rptOwnerCik> 0001200796 </rptOwnerCik>
<rptOwnerName> PFENNIGER RICHARD C JR </rptOwnerName>
</reportingOwnerId>
<reportingOwnerAddress>
<rptOwnerStreet1> C/O BIOCARDIA, INC. </rptOwnerStreet1>
<rptOwnerStreet2> 125 SHOREWAY ROAD, SUITE B </rptOwnerStreet2>
<rptOwnerCity> SAN CARLOS </rptOwnerCity>
<rptOwnerState> CA </rptOwnerState>
<rptOwnerZipCode> 94070 </rptOwnerZipCode>
<rptOwnerStateDescription></rptOwnerStateDescription>
</reportingOwnerAddress>
<reportingOwnerRelationship>
<isDirector> 1 </isDirector>
</reportingOwnerRelationship>
</reportingOwner>
<nonDerivativeTable>
<nonDerivativeTransaction>
<securityTitle>
<value> Common Stock </value>
</securityTitle>
<transactionDate>
<value> 2020-01-13 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
<footnoteId id="F1"/>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 567 </value>
</transactionShares>
<transactionPricePerShare>
<footnoteId id="F2"/>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> A </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 11870 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</nonDerivativeTransaction>
</nonDerivativeTable>
<derivativeTable>
<derivativeTransaction>
<securityTitle>
<value> Restricted Stock Units </value>
</securityTitle>
<conversionOrExercisePrice>
<footnoteId id="F3"/>
</conversionOrExercisePrice>
<transactionDate>
<value> 2020-01-13 </value>
</transactionDate>
<transactionCoding>
<transactionFormType> 4 </transactionFormType>
<transactionCode> M </transactionCode>
<equitySwapInvolved> 0 </equitySwapInvolved>
</transactionCoding>
<transactionAmounts>
<transactionShares>
<value> 567 </value>
</transactionShares>
<transactionPricePerShare>
<value> 0 </value>
</transactionPricePerShare>
<transactionAcquiredDisposedCode>
<value> D </value>
</transactionAcquiredDisposedCode>
</transactionAmounts>
<exerciseDate>
<footnoteId id="F4"/>
</exerciseDate>
<expirationDate>
<footnoteId id="F4"/>
</expirationDate>
<underlyingSecurity>
<underlyingSecurityTitle>
<value> Common Stock </value>
</underlyingSecurityTitle>
<underlyingSecurityShares>
<value> 567 </value>
</underlyingSecurityShares>
</underlyingSecurity>
<postTransactionAmounts>
<sharesOwnedFollowingTransaction>
<value> 0 </value>
</sharesOwnedFollowingTransaction>
</postTransactionAmounts>
<ownershipNature>
<directOrIndirectOwnership>
<value> D </value>
</directOrIndirectOwnership>
</ownershipNature>
</derivativeTransaction>
</derivativeTable>
<footnotes>
<footnote id="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>
<footnote id="F2"> The converted RSU corresponds to a 1:1 common stock issuance. </footnote>
<footnote id="F3"> Each restricted stock unit represents a contingent right to receive one share of the Issuer's common stock. </footnote>
<footnote id="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. </footnote>
</footnotes>
<ownerSignature>
<signatureName> /s/ David McClung, by power of attorney </signatureName>
<signatureDate> 2020-02-10 </signatureDate>
</ownerSignature>
</ownershipDocument>


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Filing Submission 0001437749-20-002227   –   Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)
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