Cardiff Oncology CAO files initial ownership report

Cardiff Oncology chief accounting officer files initial holdings report.

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Form Type

Rhea-AI Filing Summary

Cardiff Oncology chief accounting officer files initial holdings report. The Form 3 shows Brigitte Lindsay beneficially owns 27,431 shares of Cardiff Oncology common stock directly. She also holds multiple stock option awards on common stock with expiration dates from January 2028 through March 2035 and exercise prices ranging from $1.72 to $21.6 per share. Footnotes describe vesting schedules for each option grant, with portions already vested and additional shares vesting over monthly periods of up to 36 months.

Insider Trade Summary

9 transactions reported

Mixed 9 txns

Insider Lindsay Brigitte Ute

Role Chief Accounting Officer

Type	Security	Shares	Price	Value
holding	Stock Options	--	--	--
holding	Stock Options	--	--	--
holding	Stock Options	--	--	--
holding	Stock Options	--	--	--
holding	Stock Options	--	--	--
holding	Stock Options	--	--	--
holding	Stock Options	--	--	--
holding	Stock Options	--	--	--
holding	Common Stock	--	--	--

Holdings After Transaction: Stock Options — 825,334 contracts (Direct); Common Stock — 27,431 shares (Direct)

Footnotes (8)

F1. 1,198 vested on January 23, 2018. 185 vested on January 23, 2019, 2020 and 2021.
F2. 29,823 vested on June 20, 2020, 2021 and 2022.
F3. 32,064 vested on June 17, 2021, 2022 and 2023.
F4. 38,676 vested on June 10, 2022 and 3,223 vested monthly for 36 months thereafter.
F5. 32,892 vested on March 9, 2023 and 2,741 vest monthly for 36 months thereafter.
F6. 22,572 vested on March 15, 2024 and 1,881 vest monthly for 36 months thereafter.
F7. 23,760 vested on March 7, 2025 and 1,980 vest monthly for 36 months thereafter.
F8. 41,580 vest on March 11, 2026 and 3,465 vest monthly for 36 months thereafter.

FAQ

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

What does Cardiff Oncology (CRDF) disclose in this Form 3 filing?

Cardiff Oncology discloses the initial beneficial ownership of its Chief Accounting Officer, Brigitte Lindsay. The filing lists 27,431 common shares held directly and multiple stock option grants on common stock with detailed vesting schedules, exercise prices, and expiration dates extending out to 2035.

How many Cardiff Oncology (CRDF) common shares does the officer hold?

The chief accounting officer beneficially owns 27,431 shares of Cardiff Oncology common stock directly. This figure comes from Table I of the Form 3, which reports non-derivative securities beneficially owned and identifies the ownership form as direct rather than indirect.

What stock options are reported for the Cardiff Oncology (CRDF) officer?

The Form 3 lists several stock option awards on Cardiff Oncology common stock. Each grant specifies the number of underlying shares, an exercise price between $1.72 and $21.6 per share, and expiration dates ranging from 01/23/2028 through 03/11/2035.

What do the vesting footnotes in the Cardiff Oncology (CRDF) Form 3 explain?

The footnotes describe how each option grant vests over time. They specify initial vesting tranches on particular dates and then monthly vesting amounts over 36 months, clarifying how many option shares have already vested and how many are scheduled to vest in the future.

What is the officer’s role at Cardiff Oncology (CRDF) in this Form 3?

The reporting person, Brigitte Lindsay, is identified as an officer of Cardiff Oncology with the title Chief Accounting Officer. The Form 3 indicates she is not a director and not a 10% owner, but reports her beneficial ownership as a company officer.

Does the Cardiff Oncology (CRDF) Form 3 show any stock sales or purchases?

The Form 3 functions as an initial ownership report and lists holdings rather than transactions. It reports existing common stock and option positions, with no transaction codes or per-share transaction prices indicating recent open-market purchases or sales by the officer.

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

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Accepted by SEC EDGAR 02/09/2026 - 04:00 PM EST

SEC Form 3

FORM 3

UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

INITIAL STATEMENT OF BENEFICIAL OWNERSHIP OF SECURITIES

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:			3235-0104
Estimated average burden
hours per response:			0.5

1. Name and Address of Reporting Person^*

Lindsay Brigitte Ute

(Last)

(First)

(Middle)

11055 FLINTKOTE AVENUE

(Street)

SAN DIEGO

92121

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/27/2026

3. Issuer Name and Ticker or Trading Symbol
Cardiff Oncology, Inc. [ CRDF ]

4. Relationship of Reporting Person(s) to Issuer
(Check all applicable)

	Director	10% Owner
X	Officer (give title below)	Other (specify below)
	Chief Accounting Officer

5. 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 Beneficially Owned
1. Title of Security (Instr. 4)	2. Amount of Securities Beneficially Owned (Instr. 4)	3. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	4. Nature of Indirect Beneficial Ownership (Instr. 5)
Common Stock	27,431	D

Table II - Derivative Securities Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 4)	2. Date Exercisable and Expiration Date (Month/Day/Year)		3. Title and Amount of Securities Underlying Derivative Security (Instr. 4)		4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
1. Title of Derivative Security (Instr. 4)	Date Exercisable	Expiration Date	Title	Amount or Number of Shares	4. Conversion or Exercise Price of Derivative Security	5. Ownership Form: Direct (D) or Indirect (I) (Instr. 5)	6. Nature of Indirect Beneficial Ownership (Instr. 5)
Stock Options	⁽¹⁾	01/23/2028	Common Stock	1,753	$21.6	D
Stock Options	⁽²⁾	06/20/2029	Common Stock	89,469	$2.48	D
Stock Options	⁽³⁾	06/17/2030	Common Stock	96,192	$2.6	D
Stock Options	⁽⁴⁾	06/10/2031	Common Stock	154,704	$7.98	D
Stock Options	⁽⁵⁾	03/09/2032	Common Stock	131,568	$2.5	D
Stock Options	⁽⁶⁾	03/15/2033	Common Stock	90,288	$1.72	D
Stock Options	⁽⁷⁾	03/17/2034	Common Stock	95,040	$3.51	D
Stock Options	⁽⁸⁾	03/11/2035	Common Stock	166,320	$3.58	D

Explanation of Responses:

1. 1,198 vested on January 23, 2018. 185 vested on January 23, 2019, 2020 and 2021.

2. 29,823 vested on June 20, 2020, 2021 and 2022.

3. 32,064 vested on June 17, 2021, 2022 and 2023.

4. 38,676 vested on June 10, 2022 and 3,223 vested monthly for 36 months thereafter.

5. 32,892 vested on March 9, 2023 and 2,741 vest monthly for 36 months thereafter.

6. 22,572 vested on March 15, 2024 and 1,881 vest monthly for 36 months thereafter.

7. 23,760 vested on March 7, 2025 and 1,980 vest monthly for 36 months thereafter.

8. 41,580 vest on March 11, 2026 and 3,465 vest monthly for 36 months thereafter.

	/s/ Brigitte Lindsay	02/09/2026
	** 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 5 (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