Cardiff Lexington director awarded 500K stock options

A Cardiff Lexington Corp director received a grant of 500,000 stock options with a $0.1162 exercise price expiring in 2031.

Available on EDGAR 09/15/2026 - 04:16 PM EDT Accepted by SEC EDGAR 09/15/2026 - 04:15 PM EDT Learn about SEC filing dates

Rhea-AI Filing Summary

Cardiff Lexington Corp (CDIX) reported that director Catherine B. Pennington received a grant of 500,000 stock options on September 8, 2026. The options relate to 500,000 shares of common stock, have an exercise price of $0.1162 per share, and expire on September 8, 2031. Following this grant, she holds 500,000 derivative securities directly.

Insider Trade Summary

Grant/Award: 500,000 shares

Grant/Award 1 txn

Insider Pennington Catherine B.

Role Director

Type	Security	Shares	Price	Value
Grant/Award	Stock Option	500,000	$0.00	$0.00

Holdings After Transaction: Stock Option — 500,000 contracts (Direct)

Holdings Before and After: Stock Option, 0 to 500,000 contracts (Direct)

Key Figures

Stock options granted: 500,000 options Exercise price per share: $0.1162 per share Expiration date: September 8, 2031 +2 more

5 metrics

Stock options granted 500,000 options Grant to director Catherine B. Pennington on September 8, 2026

Exercise price per share $0.1162 per share Exercise price for the 500,000 stock options granted

Expiration date September 8, 2031 Expiration of the granted stock options

Underlying common shares 500,000 shares Common stock underlying the granted stock options

Derivative securities held after transaction 500,000 options Director’s direct derivative holdings following the grant

FAQ

AI-generated questions and answers. How Rhea-AI works. Not financial advice.

What insider transaction did CDIX report in this Form 4?

Cardiff Lexington Corp reported that director Catherine B. Pennington received a grant of 500,000 stock options on September 8, 2026, giving her rights over 500,000 shares of the company’s common stock.

What is the exercise price of the stock options granted to the CDIX director?

The stock options granted to director Catherine B. Pennington have an exercise price of $0.1162 per share, meaning she may purchase common shares at that price if she exercises the options before they expire.

When do the newly granted CDIX stock options expire?

The stock options granted to Catherine B. Pennington on September 8, 2026 expire on September 8, 2031, giving a five-year period during which they may be exercised according to their terms.

How many derivative securities does the CDIX director hold after this grant?

After the reported grant, Catherine B. Pennington holds 500,000 derivative securities directly, representing stock options linked to 500,000 shares of Cardiff Lexington Corp common stock.

Was the CDIX director’s option grant made under a Rule 10b5-1 trading plan?

No. The filing indicates that the Rule 10b5-1 checkbox is not marked, so no Rule 10b5-1 trading plan is reported in connection with this stock option grant.

AI-generated analysis. How Rhea-AI works. Not financial advice.

Form 4 Insider Transactions: What Each Field Means →

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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^*

Pennington Catherine B.

(Last) (First) (Middle)

C/O CARDIFF LEXINGTON CORPORATION

710 EAST MAIN STREET

(Street)

LEXINGTON KENTUCKY 40502

(City) (State) (Zip)

UNITED STATES

(Country)

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		10% Owner
	Officer (give title below)		Other (specify below)

2a. Foreign Trading Symbol

3. Date of Earliest Transaction (Month/Day/Year)
09/08/2026

6. Individual or Joint/Group Filing (Check Applicable Line)

X	Form filed by One Reporting Person
	Form filed by More than One Reporting Person

4. If Amendment, Date of Original Filed (Month/Day/Year)

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

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
Stock Option	$0.1162	09/08/2026		A		500,000		09/08/2026	09/08/2031	Common Stock	500,000	$0	500,000	D

Explanation of Responses:

	/s/ Catherine B. Pennington	09/15/2026
	** 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.
* Form 4: SEC 1474 (03-26)