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Nasdaq · USD

CRDF

Cardiff Oncology, Inc.

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6917
SEC CIK
0001213037
Parsed reports
215

Last 12 months

Inside the activity.

4 purchase rows · 0 sale rows

Disclosed non-derivative P/S rows, by transaction month. Includes amendments and private transactions.
Monthly counts
MonthPurchasesSales
Nov 202500
Dec 202500
Jan 202600
Feb 202600
Mar 202600
Apr 202600
May 202600
Jun 202620
Jul 202620
Aug 202600
Sep 202600
Oct 202600

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Purchases/sales include open-market and private transactions. Plan disclosure applies to the filing; individual rows may differ. “Not disclosed” is not “unplanned.”

The cutoff filters transaction history only. Company summaries and owner relationships show the latest available disclosures. Parser corrections can improve historical records.

Transaction dateOwner / reported roleActivity / securityShares / unitsReported priceReported valueDetails
June 17, 2020 Filed Jun 19, 2020 20:16 UTC GrantStock Options · Derivative 28,858 $0.00 Strike: $2.60 $0.00
Disclosure

SEC source: 0001104659-20-075238 · a4.xml · derivative · entry 1

BRANCACCIO JOHN P · CIK 0001276551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 76,517

Underlying: Common Stock · 28,858 shares

Expires 2030-06-17

Read SEC document
May 14, 2020 Filed May 18, 2020 16:17 UTC
Erlander MarkChief Executive Officer
PurchaseCommon Stock 6,993 $1.43 $9,999.99
Disclosure

SEC source: 0001104659-20-063184 · a4.xml · nonDerivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,369

Read SEC document
May 14, 2020 Filed May 18, 2020 20:16 UTC
JACOB GARY SDirector
PurchaseCommon Stock 17,483 $1.43 $25,000.69
Disclosure

SEC source: 0001104659-20-063177 · a4.xml · nonDerivative · entry 1

JACOB GARY S · CIK 0001266802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,552

Read SEC document
May 14, 2020 Filed May 18, 2020 16:15 UTC PurchaseCommon Stock 13,986 $1.43 $19,999.98
Disclosure

SEC source: 0001104659-20-063173 · a4.xml · nonDerivative · entry 1

ADAMS THOMAS PHD · CIK 0001234366 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,875

Read SEC document
May 14, 2020 Filed May 18, 2020 20:16 UTC PurchaseCommon Stock 20,979 $1.43 $29,999.97
Disclosure

SEC source: 0001104659-20-063181 · a4.xml · nonDerivative · entry 1

Markin Rodney S · CIK 0001393415 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Fund

Disclosed balance after: 28,160

F1 · ownership.nature: Through Prairie Ventures, LLC

Read SEC document
May 14, 2020 Filed May 18, 2020 20:16 UTC PurchaseCommon Stock 6,993 $1.43 $9,999.99
Disclosure

SEC source: 0001104659-20-063179 · a4.xml · nonDerivative · entry 1

BRANCACCIO JOHN P · CIK 0001276551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 9,260

Read SEC document
May 14, 2020 Filed May 18, 2020 20:16 UTC
White LaleDirector
PurchaseCommon Stock 69,930 $1.43 $99,999.90
Disclosure

SEC source: 0001104659-20-063176 · a4.xml · nonDerivative · entry 1

White Lale · CIK 0001635493 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 69,930

Read SEC document
May 14, 2020 Filed May 18, 2020 20:15 UTC PurchaseCommon Stock 10,490 $1.43 $15,000.70
Disclosure

SEC source: 0001104659-20-063174 · a4.xml · nonDerivative · entry 1

Armitage James O · CIK 0001370087 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 10,490

Read SEC document
May 11, 2020 Filed May 13, 2020 20:16 UTC
PACE GARY WDirector
PurchaseCommon Stock 447,761 $1.34 $599,999.74
Disclosure

SEC source: 0001104659-20-060862 · a4.xml · nonDerivative · entry 1

PACE GARY W · CIK 0001184778 · Director

10b5-1 filing: Not disclosed

Ownership: Indirect · Trust

Disclosed balance after: 447,761

Read SEC document
April 16, 2020 Filed May 1, 2020 20:17 UTC
PACE GARY WDirector
GrantStock Options · Derivative 11,916 $0.00 Strike: $0.98 $0.00
Disclosure

SEC source: 0001104659-20-055492 · a4.xml · derivative · entry 1

PACE GARY W · CIK 0001184778 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,916

Underlying: Common Stock · 11,916 shares

Expires 2030-04-16

F1 · derivative.exercise_date: 3,972 of the Stock Options vest on each of 4/16/2021, 2022 and 2023

Read SEC document
April 16, 2020 Filed May 1, 2020 20:17 UTC GrantStock Options · Derivative 11,916 $0.00 Strike: $0.98 $0.00
Disclosure

SEC source: 0001104659-20-055491 · a4.xml · derivative · entry 1

Armitage James O · CIK 0001370087 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,916

Underlying: Common Stock · 11,916 shares

Expires 2030-04-16

F1 · derivative.exercise_date: 3,972 of the Stock Options vest on each of 4/16/2021, 2022 and 2023

Read SEC document
April 16, 2020 Filed May 1, 2020 20:16 UTC
White LaleDirector
GrantStock Options · Derivative 11,916 $0.00 Strike: $0.98 $0.00
Disclosure

SEC source: 0001104659-20-055489 · a4.xml · derivative · entry 1

White Lale · CIK 0001635493 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 11,916

Underlying: Common Stock · 11,916 shares

Expires 2030-04-16

F1 · derivative.exercise_date: 3,972 of the Stock Options vest on each of 4/16/2021, 2022 and 2023

Read SEC document
January 03, 2020 Filed Jan 3, 2020 16:15 UTC
Erlander MarkChief Scientific Officer
Tax withholdingCommon Stock 116 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000881 · a4.xml · nonDerivative · entry 2

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,376

F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 116 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 January 2, 2020.

Read SEC document
January 03, 2020 Filed Jan 3, 2020 16:10 UTC
Erlander MarkChief Scientific Officer
Tax withholdingCommon Stock 552 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000872 · a4.xml · nonDerivative · entry 2

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,231

F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 552 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 January l, 2020.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 16:15 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionRestricted Stock Units · Derivative 261 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000881 · a4.xml · derivative · entry 3

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 260

Underlying: Common Stock · 261 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F4 · derivative.exercise_date: On January 4, 2017, the reporting person was granted 1,459 restricted stock units, 261 of which vested on January 2, 2020. The common stock into which such vested restricted stock units converted on January 2, 2020 is reported in Table I on this Form 4.

F4 · derivative.expiration_date: On January 4, 2017, the reporting person was granted 1,459 restricted stock units, 261 of which vested on January 2, 2020. The common stock into which such vested restricted stock units converted on January 2, 2020 is reported in Table I on this Form 4.

Read SEC document
January 02, 2020 Filed Jan 3, 2020 16:15 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionCommon Stock 261 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000881 · a4.xml · nonDerivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,492

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On January 4, 2017, the reporting person was granted 1,459 restricted stock units, 261 of which vested on January 2, 2020. 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.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 16:10 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionRestricted Stock Units · Derivative 1,250 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000872 · a4.xml · derivative · entry 3

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 521

Underlying: Common Stock · 1,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F4 · derivative.exercise_date: On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on January 1, 2020. The common stock into which such vested restricted stock units converted on January 1, 2020 is reported in Table I on this Form 4.

F4 · derivative.expiration_date: On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on January 1, 2020. The common stock into which such vested restricted stock units converted on January 1, 2020 is reported in Table I on this Form 4.

Read SEC document
January 01, 2020 Filed Jan 3, 2020 16:10 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionCommon Stock 1,250 $0.00 $0.00
Disclosure

SEC source: 0001104659-20-000872 · a4.xml · nonDerivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 6,783

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on January 1, 2020. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on July 26, 2018.

Read SEC document
October 01, 2019 Filed Oct 3, 2019 16:16 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionRestricted Stock Units · Derivative 1,250 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-052973 · a4.xml · derivative · entry 3

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 1,771

Underlying: Common Stock · 1,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F4 · derivative.exercise_date: On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on October 1, 2019. The common stock into which such vested restricted stock units converted on October 1, 2019 is reported in Table I on this Form 4.

F4 · derivative.expiration_date: On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on October 1, 2019. The common stock into which such vested restricted stock units converted on October 1, 2019 is reported in Table I on this Form 4.

Read SEC document
October 01, 2019 Filed Oct 3, 2019 16:16 UTC
Erlander MarkChief Scientific Officer
Tax withholdingCommon Stock 466 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-052973 · a4.xml · nonDerivative · entry 2

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,533

F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 466 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 October l, 2019.

Read SEC document
October 01, 2019 Filed Oct 3, 2019 16:16 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionCommon Stock 1,250 $0.00 $0.00
Disclosure

SEC source: 0001104659-19-052973 · a4.xml · nonDerivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,999

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on October 1, 2019. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on July 26, 2018.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 06:21 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionRestricted Stock Units · Derivative 1,250 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-019005 · doc4.xml · derivative · entry 3

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,021

Underlying: Common Stock · 1,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F4 · derivative.exercise_date: On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on July 1, 2019. The common stock into which such vested restricted stock units converted on July 1, 2019 is reported in Table I on this Form 4.

F4 · derivative.expiration_date: On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on July 1, 2019. The common stock into which such vested restricted stock units converted on July 1, 2019 is reported in Table I on this Form 4.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 06:21 UTC
Erlander MarkChief Scientific Officer
Tax withholdingCommon Stock 461 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-019005 · doc4.xml · nonDerivative · entry 2

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,749

F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 461 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 July l, 2019.

Read SEC document
July 01, 2019 Filed Jul 3, 2019 06:21 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionCommon Stock 1,250 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-019005 · doc4.xml · nonDerivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 5,210

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on July 1, 2019. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on July 26, 2018.

Read SEC document
June 20, 2019 Filed Jun 24, 2019 16:06 UTC
Erlander MarkChief Scientific Officer
GrantStock Options · Derivative 134,203 $0.00 Strike: $2.48 $0.00
Disclosure

SEC source: 0000899243-19-017920 · doc4.xml · derivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 158,959

Underlying: Common Stock · 134,203 shares

Expires 2029-06-20

F1 · derivative.exercise_date: 44,734 vest on each of 6/20/2020 and 2021 and 44,735 vest on 6/20/2022

Read SEC document
June 20, 2019 Filed Jun 24, 2019 16:07 UTC
ADAMS THOMAS PHDDirector · Chief Executive Officer
GrantStock Options · Derivative 298,230 $0.00 Strike: $2.48 $0.00
Disclosure

SEC source: 0000899243-19-017922 · doc4.xml · derivative · entry 1

ADAMS THOMAS PHD · CIK 0001234366 · Director · Chief Executive Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 304,725

Underlying: Common Stock · 298,230 shares

Expires 2029-06-20

F1 · derivative.exercise_date: 99,410 vest on each of June 20, 2020, 2021 and 2022.

Read SEC document
June 20, 2019 Filed Jun 24, 2019 20:07 UTC
JACOB GARY SDirector
GrantStock Options · Derivative 44,734 $0.00 Strike: $2.48 $0.00
Disclosure

SEC source: 0000899243-19-017923 · doc4.xml · derivative · entry 1

JACOB GARY S · CIK 0001266802 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 48,071

Underlying: Common Stock · 44,734 shares

Expires 2019-06-20

Read SEC document
June 20, 2019 Filed Jun 24, 2019 20:06 UTC GrantStock Options · Derivative 44,734 $0.00 Strike: $2.48 $0.00
Disclosure

SEC source: 0000899243-19-017921 · doc4.xml · derivative · entry 1

Markin Rodney S · CIK 0001393415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,969

Underlying: Common Stock · 44,734 shares

Expires 2029-06-20

Read SEC document
June 20, 2019 Filed Jun 24, 2019 20:05 UTC GrantStock Options · Derivative 44,734 $0.00 Strike: $2.48 $0.00
Disclosure

SEC source: 0000899243-19-017916 · doc4.xml · derivative · entry 1

Countouriotis Athena · CIK 0001571469 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 46,019

Underlying: Common Stock · 44,734 shares

Expires 2029-06-20

Read SEC document
June 20, 2019 Filed Jun 24, 2019 20:05 UTC GrantStock Options · Derivative 44,734 $0.00 Strike: $2.48 $0.00
Disclosure

SEC source: 0000899243-19-017915 · doc4.xml · derivative · entry 1

BRANCACCIO JOHN P · CIK 0001276551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 47,806

Underlying: Common Stock · 44,734 shares

Expires 2029-06-20

Read SEC document
April 01, 2019 Filed Apr 3, 2019 16:00 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionRestricted Stock Units · Derivative 1,250 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-009746 · doc4.xml · derivative · entry 3

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,271

Underlying: Common Stock · 1,250 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F4 · derivative.exercise_date: On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on April 1, 2019. The common stock into which such vested restricted stock units converted on April 1, 2019 is reported in Table I on this Form 4.

F4 · derivative.expiration_date: On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on April 1, 2019. The common stock into which such vested restricted stock units converted on April 1, 2019 is reported in Table I on this Form 4.

Read SEC document
April 01, 2019 Filed Apr 3, 2019 16:00 UTC
Erlander MarkChief Scientific Officer
Tax withholdingCommon Stock 459 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-009746 · doc4.xml · nonDerivative · entry 2

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 3,960

F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 459 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 April 1, 2019.

Read SEC document
April 01, 2019 Filed Apr 3, 2019 16:00 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionCommon Stock 1,250 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-009746 · doc4.xml · nonDerivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 4,419

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On July 24, 2018, the reporting person was granted 7,500 restricted stock units, 1,250 of which vested on April 1, 2019. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on July 26, 2018.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 16:10 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionRestricted Stock Units · Derivative 1,563 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-000518 · doc4.xml · derivative · entry 3

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 33,125

Underlying: Common Stock · 1,563 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F4 · derivative.exercise_date: On January 4,2017, the reporting person was granted 6,250 restricted stock units, 1,563 of which vested on January 2, 2019. The common stock into which such vested restricted stock units converted on January 2, 2019 is reported in Table I on this Form 4.

F4 · derivative.expiration_date: On January 4,2017, the reporting person was granted 6,250 restricted stock units, 1,563 of which vested on January 2, 2019. The common stock into which such vested restricted stock units converted on January 2, 2019 is reported in Table I on this Form 4.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 16:10 UTC
Erlander MarkChief Scientific Officer
Tax withholdingCommon Stock 698 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-000518 · doc4.xml · nonDerivative · entry 2

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,010

F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 698 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 January 2, 2019.

Read SEC document
January 02, 2019 Filed Jan 4, 2019 16:10 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionCommon Stock 1,563 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-000518 · doc4.xml · nonDerivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 19,708

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On January 4, 2017, the reporting person was granted 6,250 restricted stock units, 1,563 of which vested on January 2, 2019. 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.

Read SEC document
January 01, 2019 Filed Jan 4, 2019 16:05 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionRestricted Stock Units · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-000506 · doc4.xml · derivative · entry 3

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 34,688

Underlying: Common Stock · 7,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F4 · derivative.exercise_date: On July 24, 2018, the reporting person was granted 45,000 restricted stock units, 7,500 of which vested on January 1, 2019. The common stock into which such vested restricted stock units converted on January 1, 2019 is reported in Table I on this Form 4.

F4 · derivative.expiration_date: On July 24, 2018, the reporting person was granted 45,000 restricted stock units, 7,500 of which vested on January 1, 2019. The common stock into which such vested restricted stock units converted on January 1, 2019 is reported in Table I on this Form 4.

Read SEC document
January 01, 2019 Filed Jan 4, 2019 16:05 UTC
Erlander MarkChief Scientific Officer
Tax withholdingCommon Stock 3,035 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-000506 · doc4.xml · nonDerivative · entry 2

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 18,145

F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 3,035 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 January 1, 2019.

Read SEC document
January 01, 2019 Filed Jan 4, 2019 16:05 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionCommon Stock 7,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-19-000506 · doc4.xml · nonDerivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 21,180

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On July 24, 2018, the reporting person was granted 45,000 restricted stock units, 7,500 of which vested on January 1, 2019. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on July 26, 2018.

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October 01, 2018 Filed Oct 3, 2018 17:09 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionRestricted Stock Units · Derivative 7,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-026063 · doc4.xml · derivative · entry 3

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 42,188

Underlying: Common Stock · 7,500 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F4 · derivative.exercise_date: On July 24, 2018, the reporting person was granted 45,000 restricted stock units, 7,500 of which vested on October 1, 2018. The common stock into which such vested restricted stock units converted on October 1, 2018 is reported in Table I on this Form 4.

F4 · derivative.expiration_date: On July 24, 2018, the reporting person was granted 45,000 restricted stock units, 7,500 of which vested on October 1, 2018. The common stock into which such vested restricted stock units converted on October 1, 2018 is reported in Table I on this Form 4.

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October 01, 2018 Filed Oct 3, 2018 17:09 UTC
Erlander MarkChief Scientific Officer
Tax withholdingCommon Stock 2,731 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-026063 · doc4.xml · nonDerivative · entry 2

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,680

F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 2,731 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 October 1, 2018.

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October 01, 2018 Filed Oct 3, 2018 17:09 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionCommon Stock 7,500 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-026063 · doc4.xml · nonDerivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 16,411

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F1 · kind: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On July 24, 2018, the reporting person was granted 45,000 restricted stock units, 7,500 of which vested on October 1, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on July 26, 2018.

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July 24, 2018 Filed Jul 26, 2018 16:30 UTC
Erlander MarkChief Scientific Officer
GrantRestricted Stock Units · Derivative 45,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-020661 · doc4.xml · derivative · entry 1

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 49,688

Underlying: Common Stock · 45,000 shares

Expires not disclosed

F1 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F2 · derivative.exercise_date: 7,500 of the RSUs will vest on each of October 1, 2018, January 1, 2019, April 1, 2019, July 1, 2019, October 1, 2019 and January 1, 2020.

F2 · derivative.expiration_date: 7,500 of the RSUs will vest on each of October 1, 2018, January 1, 2019, April 1, 2019, July 1, 2019, October 1, 2019 and January 1, 2020.

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June 20, 2018 Filed Jun 21, 2018 20:30 UTC PurchaseCommon Stock 41,200 $0.85 $35,020.00
Disclosure

SEC source: 0000899243-18-017592 · doc4.xml · nonDerivative · entry 1

Markin Rodney S · CIK 0001393415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 63,810

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June 20, 2018 Filed Nov 9, 2018 21:30 UTC Amendment PurchaseCommon Stock 41,200 $0.85 $35,020.00
Disclosure

SEC source: 0000899243-18-028597 · doc4a.xml · nonDerivative · entry 1

Markin Rodney S · CIK 0001393415 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 43,085

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June 08, 2018 Filed Jun 11, 2018 10:03 UTC PurchaseCommon Stock 10,000 $0.80 $8,000.00
Disclosure

SEC source: 0000899243-18-015836 · doc4.xml · nonDerivative · entry 1

BRANCACCIO JOHN P · CIK 0001276551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 53,167

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June 08, 2018 Filed Jun 11, 2018 10:03 UTC PurchaseCommon Stock 10,000 $0.80 $8,000.00
Disclosure

SEC source: 0000899243-18-015835 · doc4.xml · nonDerivative · entry 1

Tennant Stanley · CIK 0001526214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 236,061

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June 08, 2018 Filed Jun 14, 2018 00:45 UTC Amendment PurchaseCommon Stock 10,000 $0.80 $8,000.00
Disclosure

SEC source: 0000899243-18-016468 · doc4a.xml · nonDerivative · entry 1

Tennant Stanley · CIK 0001526214 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 28,839

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June 08, 2018 Filed Jun 14, 2018 00:40 UTC Amendment PurchaseCommon Stock 10,000 $0.80 $8,000.00
Disclosure

SEC source: 0000899243-18-016465 · doc4a.xml · nonDerivative · entry 1

BRANCACCIO JOHN P · CIK 0001276551 · Director

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 13,598

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January 30, 2018 Filed Feb 1, 2018 16:30 UTC
Erlander MarkChief Scientific Officer
Exercise / conversionRestricted Stock Units · Derivative 90,000 $0.00 $0.00
Disclosure

SEC source: 0000899243-18-002487 · doc4.xml · derivative · entry 3

Erlander Mark · CIK 0001651537 · Chief Scientific Officer

10b5-1 filing: Not disclosed

Ownership: Direct

Disclosed balance after: 56,250

Underlying: Common Stock · 90,000 shares

Expires not disclosed

Exercise/conversion can include RSU settlement. Transaction price and option strike are different fields; a missing price is not zero. Derivative and underlying rows can describe the same event.

F3 · derivative.exercise_price: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.

F4 · derivative.exercise_date: On April 7, 2017, the reporting person was granted 90,000 restricted stock units, all of which vested on January 30, 2018. The common stock into which such vested restricted stock units converted on January 30, 2018 is reported in Table I on this Form 4.

F4 · derivative.expiration_date: On April 7, 2017, the reporting person was granted 90,000 restricted stock units, all of which vested on January 30, 2018. The common stock into which such vested restricted stock units converted on January 30, 2018 is reported in Table I on this Form 4.

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Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.