SEC Form 4 · accession 0000899243-18-026063

Cardiff Oncology, Inc. · CRDF

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

Reporting owner

Officer — Chief Scientific Officer

Period of report

Oct 1, 2018

Accepted (ET)

Oct 3, 2018 · 5:09 pm EDT

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	Oct 1, 2018	M	7,500	$0.00	A	16,411	D
Common Stock^F2	Oct 1, 2018	F	2,731	$0.00	D	13,680	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3,F4	—	Oct 1, 2018	M	7,500	D	—	—	Common Stock	7,500	42,188	D

F1Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On July 24, 2018, the reporting person was granted 45,000 restricted stock units, 7,500 of which vested on October 1, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on July 26, 2018.
F2The reporting person is reporting the withholding by Trovagene, Inc. of 2,731 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 October 1, 2018.
F3Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.
F4On July 24, 2018, the reporting person was granted 45,000 restricted stock units, 7,500 of which vested on October 1, 2018. The common stock into which such vested restricted stock units converted on October 1, 2018 is reported in Table I on this Form 4.