SEC Filing - Cardiff Oncology, Inc.

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SEC FORM 3 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

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1. Name and Address of Reporting Person^*

CERRONE GABRIEL

(Last)

(First)

(Middle)

C/O SYNERGY PHARMACEUTICALS, INC.

420 LEXINGTON AVE., SUITE 1609

(Street)

NEW YORK

10170

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
01/23/2012

3. Issuer Name and Ticker or Trading Symbol
TrovaGene Inc. [ TROV ]

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

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

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	3,740,356	I	By Panetta Partners, Ltd.⁽¹⁾
Common Stock	37,500	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	06/24/2004	06/04/2014	Common Stock	1,012,500	1.25	D
Stock Options	⁽²⁾	05/24/2015	Common Stock	240,000	2.5	D
Stock Options	12/20/2006	12/20/2016	Common Stock	353,571	0.7	D
Stock Options	⁽³⁾	08/18/2019	Common Stock	900,000	0.5	D
Stock Options	⁽⁴⁾	02/26/2020	Common Stock	50,000	0.6	D
Warrants	08/05/2009	12/31/2018	Common Stock	957,780	0.5	I	By Panetta Partners, Ltd.⁽¹⁾
Warrants	08/06/2010	12/31/2018	Common Stock	26,718	0.5	I	By Panetta Partners, Ltd.⁽¹⁾
Warrants	01/06/2011	12/31/2018	Common Stock	37,500	0.5	D

Explanation of Responses:

1. Mr. Cerrone is the sole managing partner of Panetta Partners, Ltd. and in such capacity exercises voting and dispositive control over securities owned by Panetta despite him having only a small pecuniary interest in such securities.

2. 80,000 options vest on each of 5/24/2006, 2007 and 2008.

3. 450,000 options vest on each of 8/5/2010 and 8/5/2011.

4. 16,667 options vest on each of 2/26/2011 and 2012 and 16,666 options vest on 2/26/2013.

	/s/ Gabriele M. Cerrone	01/23/2012
	** 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.