| Exhibit Number | Exhibit Description |
|---|
| 3.1(1) | Amended and Restated Certificate of Incorporation, as amended May 29, 2024, as currently in effect |
| 3.2(2) | Amended and Restated Bylaws |
| 4.1(3) | Form of Pre-Funded Warrant to Purchase Shares of Common Stock of BioCardia, Inc. |
| 4.2(4) | Form of Warrant to Purchase Shares of Common Stock |
| 10.1(5)# | Form of Securities Purchase Agreement dated August 29, 2024, by and among BioCardia, Inc. and the purchasers identified on the signature pages thereto |
| 31.1* | Certification of Principal Executive Officer under Section 302 of the Sarbanes-Oxley Act of 2002. |
|---|
| 31.2* | Certification of Principal Financial Officer under Section 302 of the Sarbanes-Oxley Act of 2002. |
|---|
| 32.1** | Certification of Principal Executive Officer Pursuant to Section 906 of the Sarbanes-Oxley Act of 2002. |
|---|
| 32.2** | Certification of Principal Financial Officer Pursuant to Rule 13a-14(b) and Section 906 of the Sarbanes-Oxley Act of 2002. |
|---|
| 101.INS+ | Inline XBRL Instance Document |
| 101.SCH+ | Inline XBRL Taxonomy Extension Schema Document |
| 101.CAL+ | Inline XBRL Taxonomy Extension Calculation Linkbase Document |
| 101.DEF+ | Inline XBRL Taxonomy Extension Definition Linkbase Document |
| 101.LAB+ | Inline XBRL Taxonomy Extension Label Linkbase Document |
| 101.PRE+ | Inline XBRL Taxonomy Extension Presentation Linkbase Document |
| 104 | Cover Page Interactive Data File (formatted as inline XBRL with applicable taxonomy extension information contained in Exhibits 101) |
| + | The financial information contained in these XBRL documents is unaudited and is furnished, not filed with the Securities and Exchange Commission. |
|---|
| # | Certain of the exhibits and schedules to this exhibit have been omitted in accordance with Regulation S-K Item 601(a)(5). The Company agrees to furnish supplementally a copy of all omitted exhibits and schedules to the Securities and Exchange Commission upon its request. |
|---|
| (1) | Previously filed as Exhibit 3.1 to the Registration Statement on Form S-1 filed by us on August 9, 2024. |
| (2) | Previously filed as Exhibit 3.2 to the Current Report on Form 8-K filed by us on May 1, 2023. |
| (3) | Previously filed as Exhibit 4.1 to the Current Report on Form 8-K filed by us on September 3, 2024. |
| (4) | Previously filed as Exhibit 4.2 to the Current Report on Form 8-K filed by us on September 3, 2024. |
| (5) | Previously filed as Exhibit 99.1 to the Current Report on Form 8-K filed by us on September 3, 2024. |
SIGNATURES
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 thereunto duly authorized.
| BIOCARDIA, INC. (Registrant) | |
| Date: November 13, 2024 | By: | /s/ Peter Altman |
|---|
| Peter Altman |
| President and Chief Executive Officer |
| (Principal Executive Officer) |
| Date: November 13, 2024 | By: | /s/ David McClung |
|---|
| David McClung |
| Chief Financial Officer |
| (Principal Financial and Accounting Officer) |
