SEC Form 4/A · accession 0000899243-18-000527
Cardiff Oncology, Inc. · CRDF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
This is an amendment (Form 4/A). It replaces an earlier filing for the same period.
Reporting owner
Mark Erlander
Officer — Chief Scientific Officer
Period of report
Jan 2, 2018
Accepted (ET)
Jan 4, 2018 · 8:11 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001213037
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common Stock | Jan 2, 2018 | M | 18,750 | $0.00 | A | 66,855 | D | |
| Common StockF2 | Jan 2, 2018 | F | 9,558 | $0.00 | D | 57,297 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF3,F4 | — | Jan 2, 2018 | M | 18,750 | D | — | — | Common Stock | 18,750 | 146,250 | D |
Explanation of responses
- F1Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On January 2, 2017, the reporting person was granted 75,000 restricted stock units, 18,750 of which vested on January 2, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on January 4, 2017.
- F2The reporting person is reporting the withholding by Trovagene, Inc. of 9,558 shares of common stock to satisfy the reporting person's tax withholding obligations in connection with the delivery of the Converted Common Stock to the reporting person on January 2, 2018.
- F3Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.
- F4On January 2, 2017, the reporting person was granted 75,000 restricted stock units, 18,750 of which vested on January 2, 2018. The common stock into which such vested restricted stock units converted on January 2, 2018 is reported in Table I on this Form 4.