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<p style="font-family:Times New Roman, Times, serif;font-size:12pt;margin:0pt;text-align:center;"><b>UNITED STATES<br>
<font style="font-family:Times New Roman, Times, serif;font-size:12pt;">SECURITIES AND EXCHANGE COMMISSION</font></b></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Washington, D.C. 20549</b></p>

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<p style="font-family: Times New Roman,Times,serif; font-size: 12pt; margin: 0pt; text-indent: 0pt; text-align: center;"><b>FORM 8-K</b></p>

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<p style="margin: 0pt; text-align: left; text-indent: 0pt;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>CURRENT REPORT</b></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Pursuant to Section<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;13 or 15(d) of the<br>
Securities Exchange Act of 1934</font></b></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Date of Report (Date of earliest event reported): </b><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"><b> </b><b>November </b><b>1</b><b>, 2017</b><b> </b></font></p>

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<p style="font-family: Times New Roman,Times,serif; font-size: 18pt; margin: 0pt; text-indent: 0pt; text-align: center;"><b>BioCardia, Inc.</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>(Exact name of registrant as specified in its charter)</b></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Delaware</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>(State or other jurisdiction of incorporation)</b></p>

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			<td style="width: 30%; text-align: center;"><b>0-21419</b></td>
			<td style="width: 30%; text-align: center;"><font style="font-family:Times New Roman, Times, serif; font-size:10pt"><b>23-2753988</b></font></td>
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			<td style="text-align: center; width: 30%;"><b>(Commission File No.)</b></td>
			<td style="text-align: center; width: 30%;"><b><font style="font-family:Times New Roman, Times, serif; font-size:10pt">(IRS Employer Identification No.)</font></b></td>
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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:36pt;margin-right:0pt;margin-top:0pt;text-align:center;"><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"><b>&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;&nbsp;</b></font></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>125 Shoreway Road, Suite B</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>San Carlos, California 94070</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>&nbsp;</b><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"><b>(Address of principal executive offices and zip code)</b></font></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>Registrant<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&rsquo;s telephone number, including area code: </font></b><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"><b>(650) 226-0120</b></font></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):</p>

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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&#9744;</p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)</p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)</p>
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			<p style="margin: 0pt; text-align: left; text-indent: 0pt;">&#9744;</p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))</p>
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			<p style="margin: 0pt; text-align: left; text-indent: 0pt;">&#9744;</p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))</p>
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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.</p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Emerging growth company &#9744;</p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp; </font>&#9744;</p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.</b></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;"><font style="font-family:Times New Roman, Times, serif;font-size:10pt;">On November 1, 2017, BioCardia, Inc. (the &ldquo;Company&rdquo;) filed a Certificate of Amendment of Amended and Restated Certificate of Incorporation (the &ldquo;Certificate of Amendment&rdquo;) with the Secretary of State of Delaware</font><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"> to effect a 12-for-1 reverse stock split of the shares of the&nbsp;Company&rsquo;s common stock, par value $0.001 per share (the &ldquo;Common Stock&rdquo;), either issued and outstanding or held by the Company as treasury stock</font><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"> (the &ldquo;Reverse Split&rdquo;). The Certificate of Amendment was filed on November 1, 2017, the Reverse Split became effective on November 2, 2017, and the Common Stock began trading on a reverse stock split-adjusted basis on The OTC Market on the opening of trading on November 3, 2017. The trading symbol for the Common Stock will remain &ldquo;BCDA&rdquo;, although the letter &ldquo;D&rdquo; will be temporarily appended to the ticker symbol for twenty trading days following the Reverse Split. </font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;"><font style="font-family:Times New Roman, Times, serif;font-size:10pt;">As a result of the Reverse Split, every twelve (12) shares of issued and outstanding Common Stock were automatically combined into one (1) issued and outstanding share of Common Stock, without any change in the par value per share. No fractional shares will be issued as a result of the Reverse Split. Any fractional shares that would otherwise have resulted from the Reverse Split will be paid in cash. The Reverse Split will reduce the number of shares of Common Stock outstanding from 458 million shares to approximately 38.2 million shares, subject to adjustment for the payment of cash in lieu of fractional shares. </font><font style="font-family:Times New Roman, Times, serif;font-size:10pt;">After giving effect to the Reverse Split, the total number of shares of all classes of capital stock that the Company is authorized to issue is 125,000,000 shares which is comprised of 100 million common shares and 25 million preferred shares.</font><font style="font-family:Times New Roman, Times, serif;font-size:10pt;"> &nbsp;In addition, proportionate adjustments will be made to the per share exercise price and the number of shares of Common Stock that may be purchased upon exercise of outstanding stock options granted by the Company, and the number of shares of Common Stock reserved for future issuance under the Company&rsquo;s equity incentive plans.</font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;"><font style="font-family:Times New Roman, Times, serif;font-size:10pt;">The Company&rsquo;s transfer agent is Continental Stock Transfer &amp; Trust Company. The new CUSIP number for the Common Stock following the Reverse Split is 09060U408.</font></p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:36pt;"><font style="font-family:Times New Roman, Times, serif;font-size:10pt;">The information set forth herein is qualified in its entirety by reference to the complete text of the Certificate of Amendment, a copy of which is filed with this report as Exhibit 3.1.</font></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;"><b>Item 8.01 Other Events.</b></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;">On November 2, 2017, the Company issued press releases announcing the filing of the Certificate of Amendment to effect the Reverse Split and also clarifying the effective date of <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">trading on The OTC Market following the Reverse Split. Copies of the press releases are attached hereto as Exhibits 99.1 and 99.2 and are incorporated herein by reference.</font></p>

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<p style="background-color:#FFFFFF;font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>Item 9.01 Financial Statements and Exhibits.</b></p>

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<p style="background-color:#FFFFFF;font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">(d) Exhibits</p>

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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><u><b>Exhibit</b></u></p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;&nbsp;&nbsp; </font></p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><u><b>Description</b></u></p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">3<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">.1</font></p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">&nbsp;</p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Certificate of Amendment<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;of Amended and Restated Certificate of Incorporation as filed on&nbsp;</font>November 1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">, 2017 with the State of Delaware </font></p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">99.1</p>
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			<td style="vertical-align: bottom; width: 2%;">&nbsp;</td>
			<td colspan="1" style="vertical-align: bottom; width: 86%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Press Release of BioCardia, Inc., dated November <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">2, 2017</font></p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">99.2</p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Press Release of BioCardia, Inc., dated November <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">2, 2017</font></p>
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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;"><b>&nbsp;</b></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>SIGNATURE</b></p>

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<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:justify;text-indent:18pt;">Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.</p>

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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><b>BIOCARDIA, INC.</b></p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">By:</p>
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			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:9.35pt;margin-right:0pt;margin-top:0pt;text-align:left;">/s/ David McClung</p>
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			</td>
			<td style="vertical-align: bottom; width: 46%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin-bottom:0pt;margin-left:9.35pt;margin-right:0pt;margin-top:0pt;text-align:left;">David McClung,<br>
			<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">Chief Financial Officer</font></p>
			</td>
		</tr>

</table>

<p style="font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p>

<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">Date<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">:&nbsp;&nbsp;&nbsp;&nbsp;November 7, 2017</font></p>

<p style="font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p>

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<div id="PGNUM" style="text-align: center; width: 100%">&nbsp;</div>

<hr style="PAGE-BREAK-AFTER: always; border: none; width: 100%; height: 2px; color: #000000; background-color: #000000">
<div id="PGHDR" style="text-align: left; width: 100%">&nbsp;</div>
</div>

<p style="margin: 0pt; text-align: left; font-family: Times New Roman, Times, serif; font-size: 10pt;">&nbsp;</p>

<p style="background-color:#FFFFFF;font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:center;"><b>EXHIBIT INDEX</b></p>

<p style="font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p>

<table border="0" cellpadding="0" cellspacing="0" id="TBL5" style="width:100%;text-indent:0;font-family:Times New Roman, Times, serif;font-size:10pt;">

		<tr>
			<td colspan="1" style="vertical-align: bottom; width: 8.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><u><b>Exhibit</b></u></p>
			</td>
			<td colspan="2" rowspan="1" style="vertical-align: bottom; width: 3.3%;">
			<p style="font-size: 10pt; margin: 0pt; text-align: left; background-color: rgb(255, 255, 255); color: rgb(0, 0, 0);"><u><b>Description</b></u></p>
			</td>
		</tr>
		<tr>
			<td colspan="1" style="vertical-align:bottom;width:8.5%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">3.1*</p>
			</td>
			<td colspan="2" rowspan="1" style="vertical-align:bottom;width:3.3%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><a href="ex_99489.htm" style="-sec-extract:exhibit;">Certificate of Amendment<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">&nbsp;of Amended and Restated Certificate of Incorporation as filed on&nbsp;</font>November 1<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">, 2017 with the State of Delaware </font></a></p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:bottom;width:7.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">99.1*</p>
			</td>
			<td colspan="2" style="vertical-align:bottom;width:82.1%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><a href="ex_99490.htm" style="-sec-extract:exhibit;">Press Release of BioCardia, Inc., dated November <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">2, 2017</font></a></p>
			</td>
		</tr>
		<tr>
			<td style="vertical-align:bottom;width:7.7%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;">99.2*</p>
			</td>
			<td colspan="2" style="vertical-align:bottom;width:82.1%;">
			<p style="font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><a href="ex_99491.htm" style="-sec-extract:exhibit;">Press Release of BioCardia, Inc., dated November <font style="font-family:Times New Roman, Times, serif;font-size:10pt;">2, 2017</font></a></p>
			</td>
		</tr>

</table>

<p style="font-family: Times New Roman, Times, serif; font-size: 10pt; margin-top: 0pt; margin-bottom: 0pt;">&nbsp;</p>

<p style="background-color:#FFFFFF;font-family:Times New Roman, Times, serif;font-size:10pt;margin:0pt;text-align:left;"><br>
<font style="font-family:Times New Roman, Times, serif;font-size:10pt;">*&nbsp;&nbsp;&nbsp;&nbsp;Filed herewith.</font></p>
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bcda20171106_8k.htm
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
FORM 8-K
CURRENT REPORT
Pursuant to Section
13 or 15(d) of the
Securities Exchange Act of 1934
Date of Report (Date of earliest event reported):
November
1
, 2017
BioCardia, Inc.
(Exact name of registrant as specified in its charter)
Delaware
(State or other jurisdiction of incorporation)
0-21419
23-2753988
(Commission File No.)
(IRS Employer Identification No.)
125 Shoreway Road, Suite B
San Carlos, California 94070
(Address of principal executive offices and zip code)
Registrant
's telephone number, including area code:
(650) 226-0120
Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):
☐
Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)
☐
Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)
☐
Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))
☐
Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))
Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 or Rule 12b-2 of the Securities Exchange Act of 1934.
Emerging growth company ☐
If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.
☐
Item 5.03 Amendments to Articles of Incorporation or Bylaws; Change in Fiscal Year.
On November 1, 2017, BioCardia, Inc. (the "Company") filed a Certificate of Amendment of Amended and Restated Certificate of Incorporation (the "Certificate of Amendment") with the Secretary of State of Delaware
to effect a 12-for-1 reverse stock split of the shares of the Company's common stock, par value $0.001 per share (the "Common Stock"), either issued and outstanding or held by the Company as treasury stock
(the "Reverse Split"). The Certificate of Amendment was filed on November 1, 2017, the Reverse Split became effective on November 2, 2017, and the Common Stock began trading on a reverse stock split-adjusted basis on The OTC Market on the opening of trading on November 3, 2017. The trading symbol for the Common Stock will remain "BCDA", although the letter "D" will be temporarily appended to the ticker symbol for twenty trading days following the Reverse Split.
As a result of the Reverse Split, every twelve (12) shares of issued and outstanding Common Stock were automatically combined into one (1) issued and outstanding share of Common Stock, without any change in the par value per share. No fractional shares will be issued as a result of the Reverse Split. Any fractional shares that would otherwise have resulted from the Reverse Split will be paid in cash. The Reverse Split will reduce the number of shares of Common Stock outstanding from 458 million shares to approximately 38.2 million shares, subject to adjustment for the payment of cash in lieu of fractional shares.
After giving effect to the Reverse Split, the total number of shares of all classes of capital stock that the Company is authorized to issue is 125,000,000 shares which is comprised of 100 million common shares and 25 million preferred shares.
In addition, proportionate adjustments will be made to the per share exercise price and the number of shares of Common Stock that may be purchased upon exercise of outstanding stock options granted by the Company, and the number of shares of Common Stock reserved for future issuance under the Company's equity incentive plans.
The Company's transfer agent is Continental Stock Transfer & Trust Company. The new CUSIP number for the Common Stock following the Reverse Split is 09060U408.
The information set forth herein is qualified in its entirety by reference to the complete text of the Certificate of Amendment, a copy of which is filed with this report as Exhibit 3.1.
Item 8.01 Other Events.
On November 2, 2017, the Company issued press releases announcing the filing of the Certificate of Amendment to effect the Reverse Split and also clarifying the effective date of
trading on The OTC Market following the Reverse Split. Copies of the press releases are attached hereto as Exhibits 99.1 and 99.2 and are incorporated herein by reference.
Item 9.01 Financial Statements and Exhibits.
(d) Exhibits
Exhibit
Description
3
.1
Certificate of Amendment
of Amended and Restated Certificate of Incorporation as filed on
November 1
, 2017 with the State of Delaware
99.1
Press Release of BioCardia, Inc., dated November
2, 2017
99.2
Press Release of BioCardia, Inc., dated November
2, 2017
SIGNATURE
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned hereunto duly authorized.
BIOCARDIA, INC.
By:
/s/ David McClung
David McClung,
Chief Financial Officer
Date
:    November 7, 2017
EXHIBIT INDEX
Exhibit
Description
3.1*
Certificate of Amendment
of Amended and Restated Certificate of Incorporation as filed on
November 1
, 2017 with the State of Delaware
99.1*
Press Release of BioCardia, Inc., dated November
2, 2017
99.2*
Press Release of BioCardia, Inc., dated November
2, 2017
*    Filed herewith.