SEC Form 4 · accession 0000899243-18-002485

Cardiff Oncology, Inc. · CRDF

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Officer — Chief Executive Officer · Director

Period of report

Jan 30, 2018

Accepted (ET)

Feb 1, 2018 · 4:30 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 30, 2018	M	130,000	$0.00	A	904,655	D
Common Stock^F2	Jan 30, 2018	F	62,010	$0.00	D	842,645	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3,F4	—	Jan 30, 2018	M	130,000	D	—	—	Common Stock	130,000	150,000	D

F1Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On April 7, 2017, the reporting person was granted 130,000 restricted stock units, all of which vested on January 30, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on April 10, 2017.
F2The reporting person is reporting the withholding by Trovagene, Inc. of 62,010 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 30, 2018.
F3Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.
F4On April 7, 2017, the reporting person was granted 130,000 restricted stock units, all of which vested on January 30, 2018. The common stock into which such vested restricted stock units converted on January 30, 2018 is reported in Table I on this Form 4.