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  4. [Form 4] BioCardia, Inc. Insider Trading Activity

Director Stertzer (BCDA) adds 109,200 BioCardia shares in open-market buys

Filing Impact
(Moderate)
Filing Sentiment
(Positive)
Form Type
4

Rhea-AI Filing Summary

BioCardia, Inc. director Simon H. Stertzer reported open‑market purchases of the company’s common stock. On June 22, he bought 70,200 shares at a reported weighted average price of $0.92 per share, in multiple trades ranging from $0.90 to $0.97 per share.

On June 23, he bought an additional 39,000 shares at a reported weighted average price of $1.00 per share, in trades ranging from $1.00 to $1.01 per share. After these transactions, his direct holdings rose to 166,338 shares, and the filing also lists several indirect holdings through family trusts and LLCs, including positions such as 591,054 shares held by Stertzer Holdings LLC.

Positive

  • None.

Negative

  • None.
Insider STERTZER SIMON H
Role null
Bought 109,200 shs ($104K)
Type Security Shares Price Value
Purchase Common Stock 39,000 $1.00 $39K
Purchase Common Stock 70,200 $0.92 $65K
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
holding Common Stock -- -- --
Holdings After Transaction: Common Stock — 166,338 shares (Direct, null); Common Stock — 59,204 shares (Indirect, See Footnote)
Footnotes (1)
  1. This transaction was executed in multiple trades ranging from $0.90 to $0.97 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price. This transaction was executed in multiple trades ranging from $1.00 to $1.01 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price. These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees. These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers. These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor. These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.
Open-market buy 1 70,200 shares at $0.92/share Common Stock purchase on June 22, 2026 (weighted average price)
Open-market buy 2 39,000 shares at $1.00/share Common Stock purchase on June 23, 2026 (weighted average price)
Total shares bought 109,200 shares Net buy shares across reported open-market purchases
Direct holdings after trades 166,338 shares Common Stock directly owned after June 23, 2026
Stertzer Holdings LLC position 591,054 shares Indirect Common Stock holdings via Stertzer Holdings LLC
Stertzer Family Trust position 59,204 shares Indirect Common Stock holdings via Stertzer Family Trust
Windrock Enterprises position 6,102 shares Indirect Common Stock holdings via Windrock Enterprises L.L.C.
Stertzer Gamma Trust position 777 shares Indirect Common Stock holdings via Stertzer Gamma Trust
open-market purchase financial
"transaction_action: open-market purchase"
An open-market purchase is when an investor or a company buys shares on a public stock exchange at the going market price, rather than through a private deal. It matters to investors because these purchases change how many shares are available, can push the stock price up or signal confidence from large buyers, and often affect per-share metrics like earnings—think of it like someone buying lots of apples off a grocery shelf, reducing supply and potentially raising the price.
weighted average per share sales price financial
"The price reported above reflects the weighted average per share sales price."
beneficial ownership financial
"the Reporting Person may be deemed to have beneficial ownership of such shares."
Beneficial ownership means the person or entity that actually enjoys the benefits of owning shares or other assets — such as receiving dividends, voting rights, or price gains — even if the legal title is held in another name. For investors it matters because knowing who truly controls and profits from a company reveals who can influence decisions, exposes potential conflicts of interest or hidden concentration of power, and affects transparency and risk in the stock.
co-trustees financial
"These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees."
grantor financial
"These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor."
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Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number:3235-0287
Estimated average burden
hours per response:0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
STERTZER SIMON H
(Last)(First)(Middle)
C/O BIOCARDIA, INC.
320 SOQUEL WAY
(Street)
SUNNYVALE CALIFORNIA 94085
(City)(State)(Zip)
UNITED STATES
(Country)		2. Issuer Name and Ticker or Trading Symbol
BioCardia, Inc. [ BCDA ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
XDirector10% Owner
Officer (give title below)Other (specify below)
2a. Foreign Trading Symbol
3. Date of Earliest Transaction (Month/Day/Year)
06/22/2026		6. Individual or Joint/Group Filing (Check Applicable Line)
XForm filed by One Reporting Person
Form filed by More than One Reporting Person
4. If Amendment, Date of Original Filed (Month/Day/Year)

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year)2A. Deemed Execution Date, if any (Month/Day/Year)3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned Following Reported Transaction(s) (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeVAmount(A) or (D)Price
Common Stock06/22/2026P70,200(1)A$0.92(1)127,338D
Common Stock06/23/2026P39,000(2)A$1(2)166,338D
Common Stock59,204ISee Footnote(3)
Common Stock591,054ISee Footnote(4)
Common Stock777ISee Footnote(5)
Common Stock6,102ISee Footnote(6)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year)3A. Deemed Execution Date, if any (Month/Day/Year)4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year)7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Explanation of Responses:
1. This transaction was executed in multiple trades ranging from $0.90 to $0.97 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price.
2. This transaction was executed in multiple trades ranging from $1.00 to $1.01 per share. The price reported above reflects the weighted average per share sales price. The Reporting Person hereby undertakes to provide upon request to the SEC staff, the issuer or security holder of the issuer, full information regarding the number shares purchased at each separate price.
3. These shares are held by the Stertzer Family Trust, of which the Reporting Person and his spouse are co-trustees.
4. These shares are held by Windrock Enterprises L.L.C., of which the Reporting Person and his spouse are the sole members and managers.
5. These shares are held by the Stertzer Gamma Trust, of which the Reporting Person is the grantor.
6. These shares are held by Stertzer Holdings LLC, and the Reporting Person may be deemed to have beneficial ownership of such shares.
/s/ David McClung, by power of attorney06/24/2026
** Signature of Reporting PersonDate
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 4 (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.
* Form 4: SEC 1474 (03-26)

Source: View Original Filing on SEC EDGAR

FAQ

What did BioCardia (BCDA) director Simon H. Stertzer do in this Form 4?

Simon H. Stertzer reported open-market purchases of BioCardia common stock. He bought shares on June 22 and June 23, increasing his direct ownership and disclosing additional indirect holdings through family trusts and LLCs associated with him.

How many BioCardia (BCDA) shares did Simon H. Stertzer buy and at what prices?

He bought 70,200 BioCardia shares on June 22 at a weighted average price of $0.92, and 39,000 shares on June 23 at a weighted average price of $1.00, both executed in multiple trades within stated price ranges.

What are Simon H. Stertzer’s direct BioCardia (BCDA) holdings after these transactions?

Following the reported open-market purchases, Simon H. Stertzer’s direct holdings of BioCardia common stock total 166,338 shares. This figure reflects the position reported as directly owned by him after the June 22 and June 23 transactions.

What indirect BioCardia (BCDA) holdings are reported for Simon H. Stertzer?

The filing lists several indirect holdings, including shares held by the Stertzer Family Trust, Windrock Enterprises L.L.C., the Stertzer Gamma Trust, and Stertzer Holdings LLC, with individual positions such as 591,054 shares reported for Stertzer Holdings LLC.

Were Simon H. Stertzer’s BioCardia (BCDA) share purchases open-market transactions?

Yes. The transactions are coded as open-market purchases, with footnotes stating they were executed in multiple trades and that the prices reported represent weighted average per share prices across the executed trades within specified ranges.

Does this BioCardia (BCDA) Form 4 show any derivative or option exercises?

No derivative or option exercises are reported. The filing shows common stock transactions only, with two open-market purchases and several entries that reflect indirect holdings without derivative securities listed in the derivative transaction summary.