SEC Info - BioCardia, Inc. - ‘8-K’ for 12/6/22

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BioCardia, Inc. – ‘8-K’ for 12/6/22

On: Tuesday, 12/6/22, at 7:01am ET · For: 12/6/22 · Accession #: 1437749-22-28496 · File #: 1-38999

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

12/06/22  BioCardia, Inc.                   8-K:8,9    12/06/22   12:182K                                   RDG Filings/FA

Current Report — Form 8-K

Filing Table of Contents

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 2: EX-99.1     Miscellaneous Exhibit                               HTML     13K 
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‘8-K’ — Current Report

This is an HTML Document rendered as filed. [ Alternative Formats ]

iX: C:

i false i 0000925741 0000925741 2022-12-06 2022-12-06 0000925741 bcda:CommonStockParValue0001CustomMember 2022-12-06 2022-12-06 0000925741 bcda:WarrantToPurchaseCommonStockCustomMember 2022-12-06 2022-12-06

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

FORM i 8-K

CURRENT REPORT

Pursuant to Section 13 OR 15(d) of the Securities Exchange Act of 1934

Date of Report (Date of earliest event reported): i December 6, 2022

i BIOCARDIA, INC.

(Exact name of registrant as specified in its charter)

i Delaware		i 0-21419		i 23-2753988
(State or other jurisdiction of incorporation)		(Commission File Number)		(IRS Employer Identification No.)

i 320 Soquel Way i Sunnyvale, i California i 94085
(Address of principal executive offices and zip code)

Registrant’s telephone number, including area code: ( i 650) i 226-0120

Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions:

i ☐	Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

i ☐	Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

i ☐	Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

i ☐	Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))

Securities registered pursuant to Section 12(b) of the Act:

Title of each class	Trading Symbol(s)	Name of each exchange on which registered
i Common Stock, par value $0.001	i BCDA	The i Nasdaq Capital Market
i Warrant to Purchase Common Stock	i BCDAW	The i Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (17 CFR §230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (17 CFR §240.12b-2 of this chapter) i ☐

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act. ☐

Item 8.01 Other Events.

On December 6, 2022, BioCardia, Inc. (the “Company”) issued a press release announcing that the U.S. Food and Drug Administration has approved the Company’s Investigational New Drug (IND) application to initiate a first-in-human phase I/II clinical trial of its Neurokinin-1 receptor positive (NK1R+) allogeneic human mesenchymal stem cell therapy for the treatment of patients with ischemic heart failure. A copy of the press release is attached hereto as Exhibit 99.1 to this current report on Form 8-K and is incorporated herein by reference.

Item 9.01 Financial Statements and Exhibits.

(d) Exhibits

Exhibit No.		Description
99.1		BioCardia, Inc. press release dated December 6, 2022
104		Cover Page Interactive Data File (embedded within the Inline XBRL document)

SIGNATURES

Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.

BIOCARDIA, INC.

/s/ *Peter Altman, Ph.D.*
Peter Altman, Ph.D.
President and Chief Executive Officer

Date: December 6, 2022

Dates Referenced Herein and Documents Incorporated by Reference

This ‘8-K’ Filing	Date	Other Filings

Filed on / For Period end:	12/6/22	None on these Dates
		List all Filings

1 Subsequent Filing that References this Filing

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

12/19/22  BioCardia, Inc.                   S-3        12/16/22    4:247K                                   RDG Filings/FA

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Filing Submission 0001437749-22-028496 – Alternative Formats (Word / Rich Text, HTML, Plain Text, et al.)