Reported relationships
Latest disclosed role at each company.
| Company | Last reported as | Report date | Published |
|---|---|---|---|
| Cardiff Oncology, Inc.TROV · Entity 6917 | Director · Chief Executive Officer | January 30, 2018 | February 01, 2018 |
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 January 30, 2018 · Filed February 01, 2018
| Security / award | Ownership account | Disclosed shares / units | Disclosure context |
|---|---|---|---|
| Common StockSEC Table I · non-derivative | Direct | 842,645 |
Ending reported balance
After 2018-01-30 transaction · row 2
2 source rows · reconciled sequenceRow 1 · 2018-01-30 · Exercise / conversion · Acquired 130,000 · Balance 904,655 F1: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On April 7, 2017, the reporting person was granted 130,000 restricted stock units, all of which vested on January 30, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on April 10, 2017. Row 2 · 2018-01-30 · Tax withholding · Disposed 62,010 · Balance 842,645 F2: The reporting person is reporting the withholding by Trovagene, Inc. of 62,010 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 30, 2018. |
| Restricted Stock UnitsSEC Table II · derivative / convertible security | Direct | 150,000 |
Reported balance
After 2018-01-30 transaction · row 3
Instrument identity requires review; Table II rows are not merged.
1 source rowRow 3 · 2018-01-30 · Exercise / conversion · Disposed 130,000 · Balance 150,000 F3: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock. F4: On April 7, 2017, the reporting person was granted 130,000 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. |
Filing footnotes · ownership attribution and instrument terms
F1: Represents the conversion upon vesting of restricted stock units into common stock (the "Converted Common Stock"). On April 7, 2017, the reporting person was granted 130,000 restricted stock units, all of which vested on January 30, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on April 10, 2017.
F2: The reporting person is reporting the withholding by Trovagene, Inc. of 62,010 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 30, 2018.
F3: Each restricted stock unit is the economic equivalent of one share of Trovagene, Inc. common stock.
F4: On April 7, 2017, the reporting person was granted 130,000 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.
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 |
|---|---|---|---|---|---|---|
| January 30, 2018 Filed Feb 1, 2018 16:30 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 130,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-002485 · doc4.xml · derivative · entry 3 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 150,000 Underlying: Common Stock · 130,000 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 130,000 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 130,000 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. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 16:30 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Tax withholdingCommon Stock | 62,010 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-002485 · doc4.xml · nonDerivative · entry 2 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 842,645 F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 62,010 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 30, 2018. Read SEC document |
| January 30, 2018 Filed Feb 1, 2018 16:30 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionCommon Stock | 130,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-002485 · doc4.xml · nonDerivative · entry 1 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 904,655 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 April 7, 2017, the reporting person was granted 130,000 restricted stock units, all of which vested on January 30, 2018. Such restricted stock units were previously reported in Table II on a Form 4 filed with the Securities and Exchange Commission on April 10, 2017. Read SEC document |
| January 23, 2018 Filed Jan 25, 2018 17:01 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantStock Options · Derivative | 662,500 | $0.00 Strike: $0.30 | $0.00 |
DisclosureSEC source: 0000899243-18-001902 · doc4.xml · derivative · entry 1 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 1,412,500 Underlying: Common Stock · 662,500 shares Expires 2028-01-23 Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:03 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000546 · doc4a.xml · derivative · entry 3 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,000 Underlying: Common Stock · 50,000 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 January 2, 2017, the reporting person was granted 200,000 restricted stock units, 50,000 of which vested on January 2, 2018. The common stock into which such vested restricted stock units converted on January 2, 2018 is reported in Table I on this Form 4. F4 · derivative.expiration_date: On January 2, 2017, the reporting person was granted 200,000 restricted stock units, 50,000 of which vested on January 2, 2018. The common stock into which such vested restricted stock units converted on January 2, 2018 is reported in Table I on this Form 4. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:03 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | Tax withholdingCommon Stock | 25,487 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000546 · doc4a.xml · nonDerivative · entry 2 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 774,655 F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 25,487 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, 2018. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 21:03 UTC Amendment | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000546 · doc4a.xml · nonDerivative · entry 1 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 800,142 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 2, 2017, the reporting person was granted 200,000 restricted stock units, 50,000 of which vested on January 2, 2018. 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 02, 2018 Filed Jan 4, 2018 17:16 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionRestricted Stock Units · Derivative | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000486 · doc4.xml · derivative · entry 3 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 280,000 Underlying: Common Stock · 50,000 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 January 2, 2017, the reporting person was granted 200,000 restricted stock units, 50,000 of which vested on January 2, 2018. The common stock into which such vested restricted stock units converted on January 2, 2018 is reported in Table I on this Form 4. F4 · derivative.expiration_date: On January 2, 2017, the reporting person was granted 200,000 restricted stock units, 50,000 of which vested on January 2, 2018. The common stock into which such vested restricted stock units converted on January 2, 2018 is reported in Table I on this Form 4. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 17:16 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Tax withholdingCommon Stock | 25,487 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000486 · doc4.xml · nonDerivative · entry 2 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 769,905 F2 · shares: The reporting person is reporting the withholding by Trovagene, Inc. of 25,487 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, 2018. Read SEC document |
| January 02, 2018 Filed Jan 4, 2018 17:16 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | Exercise / conversionCommon Stock | 50,000 | $0.00 | $0.00 |
DisclosureSEC source: 0000899243-18-000486 · doc4.xml · nonDerivative · entry 1 WELCH WILLIAM J · CIK 0001237522 · Director · Chief Executive Officer 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 795,392 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 2, 2017, the reporting person was granted 200,000 restricted stock units, 50,000 of which vested on January 2, 2018. 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 |
| August 15, 2017 Filed Aug 17, 2017 16:30 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantCommon Stock | 745,392 | Not disclosed | Not disclosed |
DisclosureSEC source: 0001104659-17-052470 · a4.xml · nonDerivative · entry 1 WELCH WILLIAM J · CIK 0001237522 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 745,392 F1 · price: Mr. Welch was granted a stock award of 745,392 shares of common stock pursuant to the Trovagene, Inc. 2014 Equity Incentive Plan which vested upon date of grant. Read SEC document |
| April 07, 2017 Filed Apr 10, 2017 16:03 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 130,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-022530 · a4.xml · derivative · entry 1 WELCH WILLIAM J · CIK 0001237522 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 330,000 Underlying: Common Stock · 130,000 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: The RSUs shall vest on January 30, 2018 provided that the reporting person provides continuous service to Trovagene, Inc. F2 · derivative.expiration_date: The RSUs shall vest on January 30, 2018 provided that the reporting person provides continuous service to Trovagene, Inc. Read SEC document |
| January 02, 2017 Filed Jan 4, 2017 17:01 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | GrantRestricted Stock Units · Derivative | 200,000 | $0.00 | $0.00 |
DisclosureSEC source: 0001104659-17-000634 · a4.xml · derivative · entry 1 WELCH WILLIAM J · CIK 0001237522 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 200,000 Underlying: Common Stock · 200,000 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: The RSUs shall vest in equal annual installments over 4 years. F2 · derivative.expiration_date: The RSUs shall vest in equal annual installments over 4 years. Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 13:49 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | PurchaseCommon Stock | 2,250 | $2.09 | $4,693.50 |
DisclosureSEC source: 0001104659-16-162787 · a4.xml · nonDerivative · entry 2 WELCH WILLIAM J · CIK 0001237522 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 4,750 Read SEC document |
| December 16, 2016 Filed Dec 19, 2016 13:49 UTC | Cardiff Oncology, Inc. TROV · Entity 6917 | PurchaseCommon Stock | 2,500 | $2.10 | $5,250.00 |
DisclosureSEC source: 0001104659-16-162787 · a4.xml · nonDerivative · entry 1 WELCH WILLIAM J · CIK 0001237522 · Director · CEO 10b5-1 filing: Not disclosed Ownership: Direct Disclosed balance after: 2,500 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.