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CRDF Cardiff Oncology Inc

4.17
0.18 (4.51%)
26 Apr 2024 - Closed
Delayed by 15 minutes
Share Name Share Symbol Market Type
Cardiff Oncology Inc NASDAQ:CRDF NASDAQ Common Stock
  Price Change % Change Share Price Bid Price Offer Price High Price Low Price Open Price Shares Traded Last Trade
  0.18 4.51% 4.17 3.99 4.17 4.129 3.98 3.99 516,215 22:33:26

Statement of Changes in Beneficial Ownership (4)

10/06/2022 12:49am

Edgar (US Regulatory)


FORM 4
[ ] Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).         
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP OF SECURITIES
                                                                                  
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response...
0.5
                      
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
                      

1. Name and Address of Reporting Person *

BRANCACCIO JOHN P
2. Issuer Name and Ticker or Trading Symbol

Cardiff Oncology, Inc. [ CRDF ]
5. Relationship of Reporting Person(s) to Issuer (Check all applicable)

_____ Director                    _____ 10% Owner
_____ Officer (give title below)    __X__ Other (specify below)
Former Director
(Last)          (First)          (Middle)

C/O CARDIFF ONCOLOGY, INC., 11055 FLINTKOTE AVENUE
3. Date of Earliest Transaction (MM/DD/YYYY)

6/9/2022
(Street)

SAN DIEGO, CA 92121
(City)        (State)        (Zip)
4. If Amendment, Date Original Filed (MM/DD/YYYY)

 
6. Individual or Joint/Group Filing (Check Applicable Line)

_X _ Form filed by One Reporting Person
___ Form filed by More than One Reporting Person

Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1.Title of Security
(Instr. 3)
2. Trans. Date 2A. Deemed Execution Date, if any 3. Trans. Code
(Instr. 8)
4. Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
5. Amount of Securities Beneficially Owned Following Reported Transaction(s)
(Instr. 3 and 4)
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V Amount (A) or (D) Price

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivate Security
(Instr. 3)
2. Conversion or Exercise Price of Derivative Security3. Trans. Date3A. Deemed Execution Date, if any4. Trans. Code
(Instr. 8)
5. Number of Derivative Securities Acquired (A) or Disposed of (D)
(Instr. 3, 4 and 5)
6. Date Exercisable and Expiration Date7. Title and Amount of Securities Underlying Derivative Security
(Instr. 3 and 4)
8. Price of Derivative Security
(Instr. 5)
9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4)10. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 4)11. Nature of Indirect Beneficial Ownership (Instr. 4)
CodeV(A)(D)Date ExercisableExpiration DateTitleAmount or Number of Shares
Stock Options $2.5 6/9/2022  J (1)  26800    6/9/2022 6/9/2024 Common Stock 26800.0 $0 125317 D  
Stock Options $7.98 6/9/2022  J (2)  22000    6/9/2022 6/9/2024 Common Stock 22000.0 $0 125317 D  
Stock Options $2.6 6/9/2022  J (3)  28858    6/17/2021 6/9/2024 Common Stock 28858.0 $0 125317 D  
Stock Options $2.48 6/9/2022  J (3)  44734    6/20/2020 6/9/2024 Common Stock 44734.0 $0 125317 D  
Stock Options $21.6 6/9/2022  J (3)  755    1/23/2019 6/9/2024 Common Stock 755.0 $0 125317 D  
Stock Options $51.84 6/9/2022  J (3)  530    10/4/2018 6/9/2024 Common Stock 530.0 $0 125317 D  
Stock Options $372.96 6/9/2022  J (3)  223    1/4/2017 6/9/2024 Common Stock 223.0 $0 125317 D  
Stock Options $516.96 6/9/2022  J (3)  223    3/17/2016 6/9/2024 Common Stock 223.0 $0 125317 D  
Stock Options $316.08 6/9/2022  J (3)  195    12/11/2014 6/9/2024 Common Stock 195.0 $0 125317 D  

Explanation of Responses:
(1) In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 26,800 stock options to June 9, 2022 from March 9, 2023. In addition, the Compensation Committee extended the expiration date of the stock options to June 9, 2024.
(2) In connection with the Reporting Person's departure from the Board of Directors, the Compensation Committee accelerated the vesting of 22,000 stock options to June 9, 2022 from June 10, 2022. In addition, the Compensation Committee extended the expiration date of the stock options to June 9, 2024.
(3) Expiration date of the stock options was extended to June 9, 2024.

Reporting Owners
Reporting Owner Name / Address
Relationships
Director10% OwnerOfficerOther
BRANCACCIO JOHN P
C/O CARDIFF ONCOLOGY, INC.
11055 FLINTKOTE AVENUE
SAN DIEGO, CA 92121



Former Director

Signatures
/s/ John Brancaccio6/9/2022
**Signature of Reporting PersonDate


Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
*If the form is filed by more than one reporting person, see Instruction 4(b)(v).
**Intentional misstatements or omissions of facts constitute Federal Criminal Violations. See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note:File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

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