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