Initial Statement of Beneficial Ownership (3)
January 14 2022 - 12:35PM
Edgar (US Regulatory)
FORM 3
|
UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES
|
OMB APPROVAL
OMB Number:
3235-0104
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
*
Smeal Tod |
2. Date of Event Requiring Statement (MM/DD/YYYY)
1/10/2022
|
3. Issuer Name and Ticker or Trading Symbol
Cardiff Oncology, Inc. [CRDF]
|
(Last)
(First)
(Middle)
C/O CARDIFF ONCOLOGY, INC., 11055 FLINTKOTE AVE |
4. Relationship of Reporting Person(s) to Issuer (Check all applicable)
_____ Director _____ 10% Owner ___X___ Officer (give title below) _____ Other (specify below) Chief Scientific Officer / |
(Street)
SAN DIEGO, CA 92121
(City)
(State)
(Zip)
| 5. 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 Beneficially Owned
|
1.Title of Security (Instr. 4) | 2. Amount of Securities Beneficially Owned (Instr. 4) | 3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5) | 4. Nature of Indirect Beneficial Ownership (Instr. 5) |
Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
|
1. Title of Derivate Security (Instr. 4) | 2. Date Exercisable and Expiration Date (MM/DD/YYYY) | 3. Title and Amount of Securities Underlying Derivative Security (Instr. 4) | 4. Conversion or Exercise Price of Derivative Security | 5. Ownership Form of Derivative Security: Direct (D) or Indirect (I) (Instr. 5) | 6. Nature of Indirect Beneficial Ownership (Instr. 5) |
Date Exercisable | Expiration Date | Title | Amount or Number of Shares |
Stock Options | (1) | 1/10/2032 | Common Stock | 275088.0 | $6.58 | D | |
Explanation of Responses: |
(1) | 68,772 of the Options vest on January 10, 2023 and 5,731 vest monthly for 36 months beginning on February 10, 2023, provided the Optionee on the vesting date continues to provide services to the Company or an Affiliate. |
Reporting Owners
|
Reporting Owner Name / Address | Relationships |
Director | 10% Owner | Officer | Other |
Smeal Tod C/O CARDIFF ONCOLOGY, INC. 11055 FLINTKOTE AVE SAN DIEGO, CA 92121 |
|
| Chief Scientific Officer |
|
Signatures
|
/s/ Tod Smeal | | 1/14/2022 |
**Signature of Reporting Person | Date |
Cardiff Oncology (NASDAQ:CRDF)
Historical Stock Chart
From Feb 2024 to Mar 2024
Cardiff Oncology (NASDAQ:CRDF)
Historical Stock Chart
From Mar 2023 to Mar 2024