BioCardia (BCDA) Form 3 BioCardia / Kimberly Stertzer ownership change

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940

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1. Name and Address of Reporting Person^*

Stertzer Kimberly

(Last) (First) (Middle)

C/O BIOCARDIA, INC.

125 SHOREWAY ROAD, SUITE B

(Street)

SAN CARLOS CA 94070

(City) (State) (Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
12/24/2018

3. Issuer Name and Ticker or Trading Symbol
BioCardia, Inc. [ BCDA ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

Director	X	10% Owner
Officer (give title below)		Other (specify below)

5. If Amendment, Date of Original Filed (Month/Day/Year)

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	4,278,274	I	By Stertzer Family Trust(1)
Common Stock	2,076,346	I	By Windrock Enterprises L.L.C.(2)
Common Stock	12,000	D(3)
Common Stock	104,910	I	By Stertzer Gamma Trust(4)
Common Stock	448,895	I	By Stertzer Holdings LLC(5)

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
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: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
	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)

Explanation of Responses:

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

	/s/ David McClung, attorney-in-fact	01/03/2019
	** Signature of Reporting Person	Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* 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).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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 Number.