0001437749-19-016064.txt : 20190808
0001437749-19-016064.hdr.sgml : 20190808
20190808164109
ACCESSION NUMBER: 0001437749-19-016064
CONFORMED SUBMISSION TYPE: 4
PUBLIC DOCUMENT COUNT: 1
CONFORMED PERIOD OF REPORT: 20190705
FILED AS OF DATE: 20190808
DATE AS OF CHANGE: 20190808
REPORTING-OWNER:
OWNER DATA:
COMPANY CONFORMED NAME: TESSLER ALLAN R
CENTRAL INDEX KEY: 0000905084
STATE OF INCORPORATION: NY
FISCAL YEAR END: 1231
FILING VALUES:
FORM TYPE: 4
SEC ACT: 1934 Act
SEC FILE NUMBER: 001-38999
FILM NUMBER: 191010150
MAIL ADDRESS:
STREET 1: C/O EPOCH HOLDING CORPORATION
STREET 2: 640 FIFTH AVENUE
CITY: NEW YORK,
STATE: NY
ZIP: 10019
ISSUER:
COMPANY DATA:
COMPANY CONFORMED NAME: BioCardia, Inc.
CENTRAL INDEX KEY: 0000925741
STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836]
IRS NUMBER: 232753988
STATE OF INCORPORATION: DE
FISCAL YEAR END: 1231
BUSINESS ADDRESS:
STREET 1: 125 SHOREWAY ROAD
STREET 2: SUITE B
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
BUSINESS PHONE: 650-226-0123
MAIL ADDRESS:
STREET 1: 125 SHOREWAY ROAD
STREET 2: SUITE B
CITY: SAN CARLOS
STATE: CA
ZIP: 94070
FORMER COMPANY:
FORMER CONFORMED NAME: Tiger X Medical, Inc.
DATE OF NAME CHANGE: 20110616
FORMER COMPANY:
FORMER CONFORMED NAME: Cardo Medical, Inc.
DATE OF NAME CHANGE: 20081027
FORMER COMPANY:
FORMER CONFORMED NAME: CLICKNSETTLE COM INC
DATE OF NAME CHANGE: 20000823
4
1
rdgdoc.xml
FORM 4
X0306
4
2019-07-05
0000925741
BioCardia, Inc.
BCDA;BCDAW
0000905084
TESSLER ALLAN R
C/O BIOCARDIA, INC.
125 SHOREWAY ROAD, SUITE B
SAN CARLOS
CA
94070
1
Common Stock
2019-08-06
4
C
0
16871
3
A
19025
D
Common Stock
64491
I
See footnote
Common Stock
13009
I
See footnote
Common Stock
13009
I
See footnote
Convertible promissory note
8
2019-07-05
4
P
0
50000
50000
A
2019-07-05
2020-01-05
Common Stock
6250
50000
D
Convertible promissory note
3
2019-08-06
4
C
0
50000
0
D
2019-07-05
2020-01-05
Common Stock
16871
0
D
Warrant (right to buy)
6.30
2019-08-06
4
P
0
16871
A
2019-08-06
2024-08-06
Common Stock
16871
16871
D
These securities were issued upon automatic conversion of a Convertible Promissory Note (the "Note") purchased pursuant to a Note Purchase Agreement dated July 5, 2019, by and between the Issuer and certain investors. The principal and accrued and unpaid interest on the Note was immediately convertible into shares of common stock at $8.00 per share or, if the Note remained outstanding at the time of the closing of a public offering of the Registrant, was subject to conversion into the securities offered in the public offering at 50% of the price to the public for such securities in such offering. The Registrant closed a public offering of units, each unit consisting of one share of common stock and one warrant to purchase one share of common stock on August 6, 2019 at a price of $6.00 per unit and the Note converted in accordance with its terms into units at a price of $3.00 per unit.
These shares are held by ART/FGT Family Limited Partnership, of which the Reporting Person and his spouse are limited partners.
These shares are held by International Financial Group, and the Reporting Person may be deemed to have beneficial ownership of such shares.
These shares are held by Tessler Family Limited Partnership, and the Reporting Person may be deemed to have beneficial ownership of such shares.
/s/ David McClung, by power of attorney
2019-08-08