SEC Form 4 · accession 0001104659-17-055890
Cardiff Oncology, Inc. · CRDF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John P Brancaccio
Director
Period of report
Sep 2, 2017
Accepted (ET)
Sep 6, 2017 · 8:41 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 | Sep 2, 2017 | M | 12,667 | $0.00 | A | 26,500 | 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 UnitsF2,F3 | — | Sep 2, 2017 | M | 12,667 | D | — | — | Common Stock | 12,667 | 16,667 | 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 12,667 restricted stock units, all of which vested on September 2, 2017. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on January 5, 2017.
- F2Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.
- F3On January 2, 2017, the reporting person was granted 12,667 restricted stock units, all of which vested on September 2, 2017. The common stock into which such vested restricted stock units converted on September 2, 2017 is reported in Table I on this Form 4.