SEC Form 4 · accession 0001140361-16-086749
Cardiff Oncology, Inc. · CRDF
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Period of report
Nov 11, 2016
Accepted (ET)
Nov 15, 2016 · 2:29 pm EST
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, $.0001 par value per shareF1,F2,F3 | Nov 11, 2016 | P | 322,472 | $3.08 | D | 2,968,115 | I | See footnotes |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1The price reported in Column 4 is a weighted average price, rounded to the nearest whole cent. These Shares (as defined below) were sold in multiple transactions at prices ranging from $3.00 to $3.38, inclusive. The Reporting Persons undertake to provide to the Issuer, any security holder of the Issuer, or the staff of the Securities and Exchange Commission, full information regarding the number of Shares sold at each separate price within the ranges set forth in footnote (1) to this Form 4.
- F2The shares of Common Stock, $.0001 par value per share (the "Shares"), reported herein as indirectly beneficially owned by the Reporting Persons are held of record by Swiftcurrent Partners, L.P., Swiftcurrent Offshore Master Ltd. and Bridger Healthcare Ltd. Bridger Management LLC is the investment adviser to Swiftcurrent Partners L.P., Swiftcurrent Offshore Master Ltd., and Bridger Healthcare Ltd., and as such, may be deemed to share beneficial ownership of the Shares. Roberto Mignone is the manager of Bridger Management, LLC.
- F3Each reporting person and entity named herein disclaims beneficial ownership of the reported securities except to the extent of his or its pecuniary interest therein and this report shall not be deemed an admission that the reporting person or any entity named herein is the beneficial owner of the securities for purposes of Section 16, or for any other purpose.