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Cardiff Lexington Corp (CDIX) insider reports large preferred stock conversions

Filing Impact
(Neutral)
Filing Sentiment
(Neutral)
Form Type
4

Rhea-AI Filing Summary

Cardiff Lexington Corp insider Alex Cunningham, the chief executive officer, director and 10% owner, reported several equity transactions involving preferred and common stock.

On April 9, 2025 he entered a cancellation and exchange agreement, surrendering 195,750 shares of Series I Preferred Stock for cancellation in exchange for 150,000 shares of Series B Preferred Stock, 3 shares of Series C Preferred Stock and 27,000 shares of Series E Preferred Stock.

On April 24, 2025 all shares of Series B, Series C and Series E Preferred Stock, including those he held, were automatically converted into 1,050,000, 270,000 and 154,000 shares of common stock at a price of $0. On September 8, 2025 he transferred 2,496,834 common shares to the Alexander Hunt Cunningham, Sr. Revocable Trust, where he serves as trustee, and on November 19, 2025 all remaining Series I Preferred Stock, including his holdings, automatically converted into 10,073,092 common shares.

Positive

  • None.

Negative

  • None.
Insider Cunningham Alex H.
Role Chief Executive Officer
Type Security Shares Price Value
Conversion Series I Preferred Stock 5,036,546 $0.00 --
Conversion Common Stock 10,073,092 $0.00 --
Other Common Stock 2,496,834 $0.00 --
Other Common Stock 2,496,834 $0.00 --
Conversion Series B Preferred Stock 525,000 $0.00 --
Conversion Series C Preferred Stock 27 $0.00 --
Conversion Series E Preferred Stock 77,000 $0.00 --
Conversion Common Stock 1,050,000 $0.00 --
Conversion Common Stock 270,000 $0.00 --
Conversion Common Stock 154,000 $0.00 --
Other Series I Preferred Stock 195,750 $0.00 --
Other Series B Preferred Stock 150,000 $0.00 --
Other Series C Preferred Stock 3 $0.00 --
Other Series E Preferred Stock 27,000 $0.00 --
Holdings After Transaction: Series I Preferred Stock — 0 shares (Direct); Common Stock — 10,073,096 shares (Direct); Common Stock — 2,496,834 shares (Indirect, Held by Alexander Hunt Cunningham, Sr. Revocable Trust); Series B Preferred Stock — 0 shares (Direct); Series C Preferred Stock — 0 shares (Direct); Series E Preferred Stock — 0 shares (Direct)
Footnotes (1)
  1. On April 9, 2025, the Reporting Person entered into a cancellation and exchange agreement with the Issuer, pursuant to which the Reporting Person surrendered 195,750 shares of Series I Preferred Stock to the Issuer for cancellation in exchange for the issuance of 150,000 shares of Series B Preferred Stock, 3 shares of Series C Preferred Stock and 27,000 shares of Series E Preferred Stock to the Reporting Person. On April 24, 2025, all shares of Series B Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock. On April 24, 2025, all shares of Series C Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock. On April 24, 2025, all shares of Series E Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock. On September 8, 2025, the Reporting Person transferred 2,496,834 shares of Common Stock to Alexander Hunt Cunningham, Sr. Revocable Trust, of which the Reporting Person is the Trustee. On November 19, 2025, all shares of Series I Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock. Each share of Series I Preferred Stock is convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date. Each share of Series B Preferred Stock is convertible into two (2) shares of Common Stock. The Series B Preferred Stock has no expiration date. Each share of Series C Preferred Stock is convertible into 10,000 shares of Common Stock. The Series C Preferred Stock has no expiration date. Each share of Series E Preferred Stock is convertible into two (2) shares of Common Stock. The Series E Preferred Stock has no expiration date.
Form 4 Insider Transactions: What Each Field Means →
SEC Form 4
FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
OMB APPROVAL
OMB Number: 3235-0287
Estimated average burden
hours per response: 0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
Check this box to indicate that a transaction was made pursuant to a contract, instruction or written plan for the purchase or sale of equity securities of the issuer that is intended to satisfy the affirmative defense conditions of Rule 10b5-1(c). See Instruction 10.
1. Name and Address of Reporting Person*
Cunningham Alex H.
(Last) (First) (Middle)
3753 HOWARD HUGHES PARKWAY, SUITE 200
(Street)
LAS VEGAS NV 89169
(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
Cardiff Lexington Corp [ CDIX ] 		5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Chief Executive Officer
3. Date of Earliest Transaction (Month/Day/Year)
04/09/2025
4. If Amendment, Date of Original Filed (Month/Day/Year)
 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. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction 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
Common Stock 04/24/2025 C(2) 1,050,000 A $0 2,072,838 D
Common Stock 04/24/2025 C(3) 270,000 A $0 2,342,838 D
Common Stock 04/24/2025 C(4) 154,000 A $0 2,496,838 D
Common Stock 09/08/2025 J(5) 2,496,834 D $0 4 D
Common Stock 09/08/2025 J(5) 2,496,834 A $0 2,496,834 I Held by Alexander Hunt Cunningham, Sr. Revocable Trust
Common Stock 11/19/2025 C(6) 10,073,092 A $0 10,073,096 D
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. 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: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
Code V (A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Series I Preferred Stock (7) 04/09/2025 J(1) 195,750 11/21/2018 (7) Common Stock 391,500 $0.00 5,036,546 D
Series B Preferred Stock (8) 04/09/2025 J(1) 150,000 04/09/2025 (8) Common Stock 300,000 $0.00 525,000 D
Series C Preferred Stock (9) 04/09/2025 J(1) 3 04/09/2025 (9) Common Stock 30,000 $0.00 27 D
Series E Preferred Stock (10) 04/09/2025 J(1) 27,000 04/09/2025 (10) Common Stock 54,000 $0.00 77,000 D
Series B Preferred Stock (8) 04/24/2025 C(2) 525,000 04/09/2025 (8) Common Stock 1,050,000 $0.00 0 D
Series C Preferred Stock (9) 04/24/2025 C(3) 27 04/09/2025 (9) Common Stock 270,000 $0.00 0 D
Series E Preferred Stock (10) 04/24/2025 C(4) 77,000 04/09/2025 (10) Common Stock 154,000 $0.00 0 D
Series I Preferred Stock (7) 11/19/2025 C(6) 5,036,546 11/21/2018 (7) Common Stock 10,073,092 $0.00 0 D
Explanation of Responses:
1. On April 9, 2025, the Reporting Person entered into a cancellation and exchange agreement with the Issuer, pursuant to which the Reporting Person surrendered 195,750 shares of Series I Preferred Stock to the Issuer for cancellation in exchange for the issuance of 150,000 shares of Series B Preferred Stock, 3 shares of Series C Preferred Stock and 27,000 shares of Series E Preferred Stock to the Reporting Person.
2. On April 24, 2025, all shares of Series B Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock.
3. On April 24, 2025, all shares of Series C Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock.
4. On April 24, 2025, all shares of Series E Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock.
5. On September 8, 2025, the Reporting Person transferred 2,496,834 shares of Common Stock to Alexander Hunt Cunningham, Sr. Revocable Trust, of which the Reporting Person is the Trustee.
6. On November 19, 2025, all shares of Series I Preferred Stock, including those held by the Reporting Person, were automatically converted into shares of Common Stock.
7. Each share of Series I Preferred Stock is convertible into two (2) shares of Common Stock. The Series I Preferred Stock has no expiration date.
8. Each share of Series B Preferred Stock is convertible into two (2) shares of Common Stock. The Series B Preferred Stock has no expiration date.
9. Each share of Series C Preferred Stock is convertible into 10,000 shares of Common Stock. The Series C Preferred Stock has no expiration date.
10. Each share of Series E Preferred Stock is convertible into two (2) shares of Common Stock. The Series E Preferred Stock has no expiration date.
/s/ Alex Cunningham 12/15/2025
** Signature of Reporting Person Date
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 Number.

Source: View Original Filing on SEC EDGAR

FAQ

What insider transactions did Alex Cunningham report for Cardiff Lexington Corp (CDIX)?

Alex Cunningham reported exchanges of Series I Preferred Stock into Series B, C and E Preferred Stock, automatic conversions of those preferred shares into common stock, a transfer of 2,496,834 common shares to a revocable trust, and a later automatic conversion of remaining Series I Preferred Stock into 10,073,092 common shares.

How many Cardiff Lexington (CDIX) preferred shares were exchanged on April 9, 2025?

On April 9, 2025, he surrendered 195,750 shares of Series I Preferred Stock for cancellation in exchange for 150,000 shares of Series B Preferred Stock, 3 shares of Series C Preferred Stock and 27,000 shares of Series E Preferred Stock.

What common stock conversions did Cardiff Lexington (CDIX) report on April 24, 2025?

On April 24, 2025, all Series B, Series C and Series E Preferred Stock, including Cunningham’s holdings, were automatically converted into 1,050,000, 270,000 and 154,000 shares of common stock, respectively, at a price of $0.

What happened to 2,496,834 Cardiff Lexington (CDIX) shares on September 8, 2025?

On September 8, 2025, Cunningham transferred 2,496,834 common shares from direct ownership to the Alexander Hunt Cunningham, Sr. Revocable Trust, where he serves as trustee, changing the form of beneficial ownership.

What are the preferred stock conversion terms disclosed for Cardiff Lexington (CDIX)?

Each share of Series I and Series B Preferred Stock is convertible into two shares of common stock, each share of Series C Preferred Stock is convertible into 10,000 shares of common stock, and each share of Series E Preferred Stock is convertible into two shares of common stock; none of these preferred series has an expiration date.

What is Alex Cunninghams relationship to Cardiff Lexington Corp (CDIX)?

Alex Cunningham is a director, a 10% owner, and serves as Chief Executive Officer of Cardiff Lexington Corp.