SC 13G/A: BioCardia, Inc.

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SC 13G/A filing by BioCardia, Inc..

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Risk Level: low

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Filing Documents

• d742671dsc13ga.htm (SC 13G/A) — 40KB
• 0001193125-24-036561.txt ( ) — 42KB

From the Filing

SC 13G/A 1 d742671dsc13ga.htm SC 13G/A SC 13G/A SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b), (c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2 (Amendment No. 1)* BioCardia, Inc. (Name of Issuer) Common Stock (Title of Class of Securities) 09060U507 (CUSIP Number) December 31, 2023 (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: Rule 13d-1(b) Rule 13d-1(c) Rule 13d-1(d) * The remainder of this cover page shall be filled out for a reporting persons initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page. The information required in the remainder of this cover page shall not be deemed to be filed for the purpose of Section 18 of the Securities Exchange Act of 1934 (Act) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes). CUSIP No. 09060U507 13G Page 1 of 5 Pages 1. NAMES OF REPORTING PERSONS Thomas A. Satterfield, Jr. 2. CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a)(b) 3. SEC USE ONLY 4. CITIZENSHIP OR PLACE OF ORGANIZATION United States of America NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH 5. SOLE VOTING POWER 265,000 6. SHARED VOTING POWER 1,436,000 7. SOLE DISPOSITIVE POWER 265,000 8. SHARED DISPOSITIVE POWER 1,436,000 9. AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,701,000 10. CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES 11. PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 7.87%* 12. TYPE OF REPORTING PERSON IN * Based on 21,619,432 shares of common stock of the issuer outstanding as of October 31, 2023, as reported by the issuer in its Quarterly Report on Form 10-Q for the fiscal quarter ended September 30, 2023. CUSIP No. 09060U507 13G Page 2 of 5 Pages SCHEDULE 13G Item1. (a) Name of Issuer: BioCardia, Inc. (b) Address of Issuers Principal Executive Offices: 320 Soquel Way Sunnyvale, CA 94085 Item2. (a) Name of Person Filing: Thomas A. Satterfield, Jr. (b) Address of Principal Business Office or, if none, Residence: Thomas A. Satterfield, Jr. 15 Colley Cove Drive Gulf Breeze, Florida 32561 (c) Citizenship: Incorporated by reference from Item 4 of the Cover Pages. (d) Title of Class of Securities: Incorporated by reference from the Cover Pages. (e) CUSIP Number: Incorporated by reference from the Cover Pages. Item3. If this statement is filed pursuant to 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a: Not Applicable. Item4. (a) Amount beneficially owned: Incorporated by reference from Item 9 of the Cover Pages. (b) Percent of class: Incorporated by reference from Item 11 of the Cover Pages. CUSIP No. 09060U507 13G Page 3 of 5 Pages (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote Incorporated by reference from Item 5 of the Cover Pages. (ii) Shared power to vote or to direct the vote Incorporated by reference from Item 6 of the Cover Pages. (iii) Sole power to dispose or to direct the disposition of Incorporated by reference from Item 7 of the Cover Pages. (iv) Shared power to dispose or to direct the disposition of Incorporated by reference from Item 8 of the Cover Pages. Item5. If this statement is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more than 5 percent of the class of securities, check the following. Item6. With respect to the beneficial ownership reported for Thomas A. Satterfield, Jr., 300,000 shares are held by Tomsat Investment & Trading Co., Inc., a corporation controlled by Mr. Satterfield and of which he serves as President; 700,000 shares are held by Caldwell Mill Opportunity Fund, LLC which fund is managed by an entity of which Mr. Satterfield owns a 50% interest and serves as Chief Investment Manager; and 426,000 shares are held by A.G. Family L.P., a partnership managed by a general partner controlled by Mr. Satterfield. Additionally, Mr. Satterfield has a limited power of attorney for voting and disposition purposes with respect to the following shares: Rebecca A. Satterfield (10,000 shares). Ms. Satterfield has the right to receive or the power to direct the receipt of the proceeds from the sale of her shares. Item7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person. Not Applicable. Item8. Ide

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