CARDIFF ONCOLOGY, INC. Form D Notices of Exempt Offering of Securities
Notices filed with the SEC for securities sold without registration under Regulation D or Section 4(a)(5), newest first. Values are as filed.
- 2020-06-23: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2020-06-16; Total offering amount $13,500,000.
- 2020-06-01: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2020-05-26; Total offering amount $2,500,000.
- 2020-04-14: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2020-03-30; Total offering amount $2,084,000.
- 2019-10-30: Federal exemption Rule 506(b); Types of securities offered Equity; OptionToAcquire; SecurityToBeAcquired; Date of first sale 2019-10-30; Total offering amount $5,000,000.
| Filed | Federal exemption | Types of securities offered | Date of first sale | Total offering amount | Total amount sold | Total remaining to be sold | Investors who have already invested |
|---|
| 2020-06-23 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2020-06-16 | $13,500,000 | $13,500,000 | $0 | 3 |
|---|
| 2020-06-01 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2020-05-26 | $2,500,000 | $2,500,000 | $0 | 1 |
|---|
| 2020-04-14 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2020-03-30 | $2,084,000 | $2,084,000 | $0 | 1 |
|---|
| 2019-10-30 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2019-10-30 | $5,000,000 | $5,000,000 | $0 | 2 |
|---|
| 2019-08-28 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2019-08-22 | $1,500,000 | $1,500,000 | $0 | 1 |
|---|
| 2019-05-20 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2019-05-15 | $1,500,000 | $1,500,000 | $0 | 1 |
|---|
| 2019-04-10 | Rule 506(b) | Equity; OptionToAcquire; SecurityToBeAcquired | 2019-04-05 | $1,500,000 | $1,500,000 | $0 | 1 |
|---|
| 2017-07-24 | Rule 506(b) | OptionToAcquire; SecurityToBeAcquired | 2017-07-19 | $6,547,512 | $0 | $6,547,512 | 4 |
|---|
| 2012-12-07 | Rule 506 | Equity; OptionToAcquire | 2012-11-21 | $4,420,000 | $3,760,000 | $660,000 | 8 |
|---|
| 2012-03-26 | Rule 506 | Equity; OptionToAcquire | 2009-06-10 | $6,598,200 | $6,598,200 | $0 | 40 |
|---|