Every Form 4 that CARDIFF LEXINGTN CORP (CDIX) has filed with the SEC in the last 12 months is listed below, newest first, and each one links through to the document itself with the summary and the scores our analysis gives it.
A Form 4 covers the transactions officers, directors and large holders report, so if you follow CDIX and want that one kind of document rather than the whole filing history, this is the page to keep. The company's other filings, of every form, are on the full CDIX filings page.
Cardiff Lexington Corp (symbol: CDIX) is the issuer of record for a Form 4 filing submitted to the SEC. Staley Louis Jack Sr. reported acquisition or exercise transactions in this Form 4 filing.
Cardiff Lexington Corp (CDIX) reported that director Louis Jack Staley Sr. received a grant of stock options on September 8, 2026. The award covers 500,000 options, each exercisable at $0.1162 per share for Cardiff Lexington common stock and expiring on September 8, 2031. After this grant, he holds 500,000 stock options directly, and no Rule 10b5-1 trading plan is indicated.
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.
Cardiff Lexington Corp (CDIX) reported that director Johnson Gillard B. III received a grant of 500,000 stock options on September 8, 2026. The options are exercisable for Cardiff Lexington common stock at an exercise price of $0.1162 per share and expire on September 8, 2031. Following this grant, he holds 500,000 options directly.
Staley Louis Jack Sr. reported acquisition or exercise transactions in this Form 4 filing.
Cardiff Lexington Corp director Staley Louis Jack Sr. received a grant of 5,000 shares of Common Stock as a restricted stock award on April 1, 2026. The award was granted at a price of $0.00 per share as equity compensation, not an open-market purchase. The shares are scheduled to vest in equal installments quarterly over four quarters starting July 1, 2026, contingent on his continued service under the company’s 2024 Equity Incentive Plan. Following this grant, he beneficially owns 11,668 shares of Common Stock directly.
Pennington Catherine B. reported acquisition or exercise transactions in this Form 4 filing.
Cardiff Lexington Corp director Catherine B. Pennington received a grant of 5,000 shares of Common Stock as a restricted stock award under the company’s 2024 Equity Incentive Plan. The award vests quarterly over four quarters starting on July 1, 2026, subject to her Continuous Service.
Following this compensation-related grant, Pennington holds a total of 11,668 shares of Cardiff Lexington common stock directly. The grant was recorded at a price of $0.0000 per share, reflecting an equity award rather than an open-market purchase.
Johnson Gillard B. III reported acquisition or exercise transactions in this Form 4 filing.
Cardiff Lexington Corp director Johnson Gillard B. III received a grant of 5,000 shares of Common Stock as a restricted stock award under the company’s 2024 Equity Incentive Plan. These shares will vest in four quarterly installments starting on July 1, 2026, contingent on his continued service. Following this compensation-related award, he directly holds 11,668 shares of Common Stock.
Cardiff Lexington Corp’s chief executive officer and director Alex H. Cunningham converted a large deferred pay balance into equity. On January 29, 2026, deferred compensation of $2,365,242 owed to him by the company was cancelled in exchange for 556,528 shares of common stock at $0 per share.
After this transaction, Cunningham directly beneficially owned 3,914,230 shares of common stock, and an additional 889,398 shares were held indirectly through the Alexander Hunt Cunningham, Sr. Revocable Trust.
Cardiff Lexington Corp Chief Financial Officer granted restricted stock. On January 13, 2026, CFO Matthew T. Shafer received a restricted stock award of 62,500 shares of Cardiff Lexington common stock under the company’s 2024 Equity Incentive Plan at a grant price of $0 per share. Of this award, 31,250 shares vested immediately on the grant date, while 15,625 shares are scheduled to vest on January 2, 2027 and another 15,625 shares on January 2, 2028, conditioned on his continuous service with the company. Following this equity grant, Shafer directly beneficially owned 74,168 shares of Cardiff Lexington common stock.
Cardiff Lexington Corp insider Daniel R. Thompson, the company’s chairman, director and 10% owner, reported multiple conversions of preferred stock into common shares. On October 25, 2024, he converted 13,062 shares of Series B Preferred Stock into 26,124 common shares and 1 share of Series C Preferred Stock into 10,000 common shares, including trust-held positions.
On November 20, 2024 and April 9, 2025, Thompson entered cancellation and exchange agreements that replaced Series I Preferred Stock with new Series B, C and E preferred shares. All Series B, C and E Preferred Stock automatically converted into common stock on April 24, 2025, and all Series I Preferred Stock automatically converted into common stock on November 19, 2025. Following the last conversion, Thompson beneficially owned 11,666,429 shares of Cardiff Lexington common stock.
Cardiff Lexington Corp reported insider equity awards to director Louis Jack Staley. On September 26, 2025, he received two restricted stock grants of 5,000 common shares each under the company’s 2024 Equity Incentive Plan. One grant vested in full on the grant date, while the other provides 1,250 shares vesting immediately and the remaining shares vesting in equal quarterly installments over three quarters starting October 1, 2025, conditioned on his continuous service.
On December 11, 2025, he was also granted a stock option covering 50,000 common shares at an exercise price of $1.729 per share, expiring December 11, 2035. This option vests in four equal quarterly installments beginning January 1, 2026, subject to his continued service, and leaves him holding 20,000 common shares and 50,000 options after the reported transactions.
Cardiff Lexington Corp Chief Financial Officer Matthew T. Shafer reported two equity transactions. On November 19, 2025, 5,000 shares of Series I Preferred Stock that he had previously received as partial compensation were automatically converted into 10,000 shares of Common Stock at a stated price of $0 per share, leaving him with 10,000 Common shares held directly.
On December 11, 2025, he was granted a restricted stock award of 25,000 shares of Common Stock under the company’s 2024 Equity Incentive Plan, also at a stated price of $0. These shares vest in full on December 11, 2026, subject to his continuous service, bringing his reported direct beneficial ownership to 35,000 Common shares.
Cardiff Lexington Corp reported new equity awards to director Catherine B. Pennington. On September 26, 2025 she received two restricted stock grants totaling 10,000 shares of common stock under the 2024 Equity Incentive Plan at no cash cost. One 5,000-share grant vested in full immediately, while the other 5,000 shares vest with 1,250 shares on the grant date and the remaining shares vesting quarterly over three quarters starting October 1, 2025, subject to her continuous service.
Following these stock awards, she beneficially owns 20,000 common shares. On December 11, 2025 she was also granted a stock option covering 50,000 common shares at an exercise price of $1.729 per share, expiring December 11, 2035. This option vests in four quarterly installments beginning January 1, 2026, conditioned on continued service.
Cardiff Lexington Corp director Gillard B. Johnson, III reported new equity awards. On September 26, 2025, he received two restricted stock grants of 5,000 common shares each under the issuer's 2024 Equity Incentive Plan. One 5,000-share award vested in full on the grant date, while the second grant vests with 1,250 shares immediately and the remaining shares in equal quarterly installments over three quarters starting October 1, 2025, subject to his continuous service.
Following these grants, he beneficially owns 20,000 common shares directly. On December 11, 2025, he was also granted a stock option for 50,000 common shares at an exercise price of $ 1.729 per share, vesting quarterly over four quarters beginning January 1, 2026 and expiring on December 11, 2035, also conditioned on continued service.
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.