Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cardiff Oncology, Inc.CRDF · Entity 6917 | Exec. VP and COO | March 15, 2023 | March 16, 2023 |
Disclosed balances
About these balances
Latest available filing per company, not a reconstructed current portfolio. Matching sequences show the last reported balance with all source rows expandable; grouping alone does not establish account ownership. Do not add unresolved positions together. Filings may omit unchanged positions, and amendments may correct only part of an older disclosure. Jointly reported shares are not necessarily this owner's personal holdings.
Cardiff Oncology, Inc.
Report date March 15, 2023 · Filed March 16, 2023
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Stock OptionsSEC Table II · derivative / convertible security · Conversion / exercise price $1.72 · Expires 2033-03-15 | Direct | 698,304 |
Reported balance
After 2023-03-15 transaction · row 1
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 1 · 2023-03-15 · Grant · Acquired 125,520 · Balance 698,304 F1: 25% of the shares subject to the option will vest on March 15, 2024 and the remaining shares vest in 36 equal monthly installments thereafter, subject to the continued service of the reporting person. |
Filing footnotes · ownership attribution and instrument terms
F1: 25% of the shares subject to the option will vest on March 15, 2024 and the remaining shares vest in 36 equal monthly installments thereafter, subject to the continued service of the reporting person.
Transaction history
JSON APIPurchases/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 date | Company | Activity / security | Shares / units | Reported price | Reported value | Details |
|---|---|---|---|---|---|---|
| March 15, 2023 Filed Mar 16, 2023 17:41 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 125,520 | $0.00 Strike: $1.72 | $0.00 |
DisclosureSEC source: 0001628280-23-008355 · wf-form4_167900290271838.xml · derivative · entry 1 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 698,304 Underlying: Common Stock · 125,520 shares Expires 2033-03-15 F1 · derivative.exercise_date: 25% of the shares subject to the option will vest on March 15, 2024 and the remaining shares vest in 36 equal monthly installments thereafter, subject to the continued service of the reporting person. Read SEC document |
| March 09, 2022 Filed Mar 10, 2022 18:40 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 170,016 | $0.00 Strike: $2.50 | $0.00 |
DisclosureSEC source: 0001628280-22-005791 · wf-form4_164695558683169.xml · derivative · entry 1 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 572,784 Underlying: Common Stock · 170,016 shares Expires 2032-03-09 F1 · derivative.exercise_date: 42,504 vest on 3/09/2023. 3,542 vest monthly for 36 months beginning on 4/09/2023 through 3/09/2026. Read SEC document |
| June 10, 2021 Filed Jun 14, 2021 16:12 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | GrantStock Options · Derivative | 200,928 | $0.00 Strike: $7.98 | $0.00 |
DisclosureSEC source: 0001628280-21-012173 · wf-form4_162370151060627.xml · derivative · entry 1 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 402,768 Underlying: Common Stock · 200,928 shares Expires 2031-06-10 F1 · derivative.exercise_date: 50,232 vest on 6/10/2022. 4,186 vest monthly for 36 months beginning on 7/10/2022 through 6/10/2025. Read SEC document |
| March 23, 2021 Filed Mar 23, 2021 14:30 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | PurchaseCommon Stock | 960 | $10.31 | $9,897.60 |
DisclosureSEC source: 0001628280-21-005343 · wf-form4_161652421851684.xml · nonDerivative · entry 1 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 6,053 Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 16:04 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-000061 · wf-form4_160988062663348.xml · derivative · entry 3 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 0 Underlying: Common Stock · 70 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 Cardiff Oncology, Inc. common stock. F4 · derivative.exercise_date: On January 4, 2017, the reporting person was granted 278 restricted stock units, 70 of which vested on January 2, 2021. The common stock into which such vested restricted stock units converted on January 2, 2021 is reported in Table I on this Form 4. F4 · derivative.expiration_date: On January 4, 2017, the reporting person was granted 278 restricted stock units, 70 of which vested on January 2, 2021. The common stock into which such vested restricted stock units converted on January 2, 2021 is reported in Table I on this Form 4. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 16:04 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | Tax withholdingCommon Stock | 31 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-000061 · wf-form4_160988062663348.xml · nonDerivative · entry 2 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,093 F2 · shares: The reporting person is reporting the withholding by Cardiff Oncology, Inc. of 31 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 4, 2021. Read SEC document |
| January 02, 2021 Filed Jan 5, 2021 16:04 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | Exercise / conversionCommon Stock | 70 | $0.00 | $0.00 |
DisclosureSEC source: 0001628280-21-000061 · wf-form4_160988062663348.xml · nonDerivative · entry 1 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,124 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 3 filed with the Securities and Exchange Commission on June 22, 2020. Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 16:02 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | Exercise / conversionStock Options · Derivative | 35,321 | $2.48 Strike: $2.48 | $87,596.08 |
DisclosureSEC source: 0001628280-20-016822 · wf-form4_160633815218613.xml · derivative · entry 3 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 70,641 Underlying: Common Stock · 35,321 shares Expires 2029-06-20 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. F2 · derivative.exercise_date: 35,321 options vested on 6/20/2020. Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 16:02 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | SaleCommon Stock | 35,321 | $18.60 | $657,020.05 |
DisclosureSEC source: 0001628280-20-016822 · wf-form4_160633815218613.xml · nonDerivative · entry 2 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 5,054 F1 · price: The common stock was sold by the reporting person in a series of open market transactions on the transaction date at a weighted average sale price of $18.6014. The range of prices was $18.40 to $19.25. The reporting person undertakes to provide upon request by the SEC staff, the issuer, or a securityholder of the issuer, full information regarding the number of shares sold at each price. Read SEC document |
| November 23, 2020 Filed Nov 25, 2020 16:02 UTC | Cardiff Oncology, Inc. CRDF · Entity 6917 | Exercise / conversionCommon Stock | 35,321 | $2.48 | $87,596.08 |
DisclosureSEC source: 0001628280-20-016822 · wf-form4_160633815218613.xml · nonDerivative · entry 1 Kelemen Vicki · CIK 0001815809 · Exec. VP and COO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 40,375 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. Read SEC document |
Value uses the disclosed total when available, otherwise shares × reported transaction price. It is not an estimate of exercise cash cost or investment performance.