SEC Form 4 · accession 0001104659-16-117709
Cardiff Oncology, Inc. · CRDF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Mark Erlander
Officer — Chief Scientific Officer
Period of report
May 2, 2016
Accepted (ET)
May 4, 2016 · 4:30 pm EDT
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001213037
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Restricted Stock UnitsF1,F2 | — | May 2, 2016 | A | 50,000 | A | — | — | Common Stock | 50,000 | 50,000 | D |
Explanation of responses
- F1Each restricted stock unit ("RSU") represents a contingent right to receive one share of the Issuer's Common Stock.
- F2The RSU shall vest on January 2, 2017 provided that the Reporting Person provides continuous service to the Issuer. In the event the Reporting Person's employment is terminated without cause by the Issuer, the RSUs will immediately vest.