Cardiff Oncology appoints Dr. Ruffner as CMO and James Levine as CFO, with inducement options

Cardiff Oncology, Inc.

Dr. Ruffner appointed CMO, receives $430k base salary, 45% target bonus, and option for 200,000 shares at $6.55.
James Levine appointed CFO, receives $425k base salary, 45% target bonus, and option for 390,000 shares at $6.55.
Options vest over 4 years: 25% at 12 months, then monthly; granted as inducement under Nasdaq Rule 5635(c)(4).
Ruffner brings 25+ years oncology drug development; Levine has 20+ years biotech investment banking and corporate finance.
Levine's employment agreement includes severance: 12 months salary if terminated without cause or for good reason, plus accelerated vesting upon change of control.

item 5.02 item 8.01 item 9.01

Executive movements

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Appointed

Katherine Ruffner

Chief Medical Officer

CRDF · Cardiff Oncology, Inc.

Effective: 2021-07-06
Filed: July 12, 2021, 7:59 PM ET

On July 6, 2021, Cardiff Oncology, Inc. (the “Company”) appointed Dr. Katherine Ruffner as Chief Medical Officer of the Company.

Appointed

James Levine

Chief Financial Officer

CRDF · Cardiff Oncology, Inc.

Effective: 2021-07-12
Filed: July 12, 2021, 7:59 PM ET

In addition, on July 12, 2021, the Company entered into an employment agreement with James Levine (the “Levine Employment Agreement”) pursuant to which Mr. Levine will be the Chief Financial Officer of the Company.

Key facts

Extracted from this filing and checked against the source text.

Executive change SEC 8-K Item 5.02 confidence 0.95

Katherine Ruffner was appointed as Chief Medical Officer at Cardiff Oncology, Inc..

Action: appointed
Role: Chief Medical Officer

Exact text from the filing

On July 6, 2021, Cardiff Oncology, Inc. (the “Company”) appointed Dr. Katherine Ruffner as Chief Medical Officer of the Company.

View on SEC.gov

Executive change SEC 8-K Item 5.02 confidence 0.95

James Levine was appointed as Chief Financial Officer at Cardiff Oncology, Inc..

Action: appointed
Role: Chief Financial Officer

Exact text from the filing

In addition, on July 12, 2021, the Company entered into an employment agreement with James Levine (the “Levine Employment Agreement”) pursuant to which Mr. Levine will be the Chief Financial Officer of the Company.

View on SEC.gov

Cardiff Oncology, Inc. filing history →

Source: SEC EDGAR

accession 0001628280-21-013733

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