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^*

Erlander Mark

(Last)

(First)

(Middle)

C/O TROVAGENE, INC.,

11055 FLINTKOTE AVENUE, SUITE A

(Street)

SAN DIEGO

92121

(City)

(State)

(Zip)

2. Date of Event Requiring Statement (Month/Day/Year)
08/21/2015

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

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

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

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⁾	09/13/2022	Common Stock	5,000	2.84	D
Stock Options	⁽²⁾	12/10/2022	Common Stock	10,000	4.87	D
Stock Options	⁽³⁾	01/28/2023	Common Stock	200,000	7.04	D
Stock Options	⁽⁴⁾	12/11/2023	Common Stock	100,000	5.53	D
Stock Options	⁽⁵⁾	07/16/2024	Common Stock	200,000	3.29	D
Stock Options	⁽⁶⁾	12/11/2024	Common Stock	60,000	4.39	D

Explanation of Responses:

1. The Stock Options vest in accordance with the following schedule: 1,667 options vest on each of 9/13/2013 and 2014 and 1,666 vest on 9/13/2015.

2. The Stock Options vest in accordance with the following schedule: 3,333 options vest on each of 12/10/2013 and 2014 and 3,334 vest on 12/10/2015.

3. The Stock Options vest in accordance with the following schedule: 50,000 options vest on each of 1/28/2014, 2015, 2016 and 2017.

4. The Stock Options vest in accordance with the following schedule: 25,000 options vest on each of 12/11/2014, 2015, 2016 and 2017.

5. The Stock Options vest in accordance with the following schedule: 50,000 options vest on each of 7/16/2015, 2016, 2017 and 2018.

6. The Stock Options vest in accordance with the following schedule: 15,000 options vest on each of 12/11/2015, 2016, 2017 and 2018.

	/s/ Mark Erlander	08/24/2015
	** 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.