SEC Form 4 · accession 0001104659-17-055891

Cardiff Oncology, Inc. · CRDF

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

Reporting owner

Officer — Chief Scientific Officer

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	30,001	$0.00	A	61,033	D
Common Stock^F2	Sep 2, 2017	F	12,928	$0.00	D	48,051	D

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Restricted Stock Units^F3,F4	—	Sep 2, 2017	M	30,001	D	—	—	Common Stock	30,001	165,000	D

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 30,001 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 4, 2017.
F2The reporting person is reporting the withholding by Trovagene, Inc. of 12,928 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 September 2, 2017.
F3Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.
F4On January 2, 2017, the reporting person was granted 30,001 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.