SEC Form 4 · accession 0001104659-16-113522
Cardiff Oncology, Inc. · CRDF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Steve Zaniboni
Officer — Former CFO
Period of report
Apr 21, 2016
Accepted (ET)
Apr 22, 2016 · 4:05 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 | Apr 21, 2016 | M | 71,125 | $3.60 | A | 92,454 | D | |
| Common Stock | Apr 21, 2016 | M | 4,514 | $4.39 | A | 96,968 | D |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock OptionsF1 | $3.60 | Apr 21, 2016 | M | 166,667 | D | — | Feb 1, 2022 | Common Stock | 71,125 | 76,250 | D |
| Stock Options | $4.39 | Apr 21, 2016 | M | 15,000 | D | Dec 11, 2015 | Dec 11, 2024 | Common Stock | 4,514 | 61,250 | D |
Explanation of responses
- F141,667 options vested on each of 2/1/2013, 2014, 2015 and 2016.