0001104659-20-113928.txt : 20201009 0001104659-20-113928.hdr.sgml : 20201009 20201009162956 ACCESSION NUMBER: 0001104659-20-113928 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20201009 DATE AS OF CHANGE: 20201009 GROUP MEMBERS: PETER KOLCHINSKY GROUP MEMBERS: RAJEEV SHAH SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: Cardiff Oncology, Inc. CENTRAL INDEX KEY: 0001213037 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 272004382 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-80378 FILM NUMBER: 201233473 BUSINESS ADDRESS: STREET 1: 11055 FLINTKOTE AVENUE CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-952-7570 MAIL ADDRESS: STREET 1: 11055 FLINTKOTE AVENUE CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: Trovagene, Inc. DATE OF NAME CHANGE: 20130304 FORMER COMPANY: FORMER CONFORMED NAME: TrovaGene Inc. DATE OF NAME CHANGE: 20110830 FORMER COMPANY: FORMER CONFORMED NAME: XENOMICS INC DATE OF NAME CHANGE: 20040719 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RA CAPITAL MANAGEMENT, L.P. CENTRAL INDEX KEY: 0001346824 IRS NUMBER: 830406777 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 BUSINESS PHONE: 617-778-2500 MAIL ADDRESS: STREET 1: 200 BERKELEY STREET, 18TH FLOOR CITY: BOSTON STATE: MA ZIP: 02116 FORMER COMPANY: FORMER CONFORMED NAME: RA CAPITAL MANAGEMENT, LLC DATE OF NAME CHANGE: 20051213 SC 13G 1 tm2032896-1_sc13g.htm SCHEDULE 13G

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

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No. ___)*

CARDIFF ONCOLOGY, INC.

(Name of Issuer)

Common Stock, par value $0.0001 per share

(Title of Class of Securities)

14147L108

(CUSIP Number)

September 30, 2020

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

x	Rule 13d-1(b)
¨	Rule 13d-1(c)
¨	Rule 13d-1(d)

*The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter the disclosures provided in a prior cover page.

The information required in the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).

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	1.	Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). RA Capital Management, L.P.

	2.	Check the Appropriate Box if a Member of a Group (See Instructions)
		(a)	¨
		(b)	¨

	3.	SEC Use Only

	4.	Citizenship or Place of Organization Delaware

Number of Shares Beneficially Owned by Each Reporting Person With			5.	Sole Voting Power 0 shares

			6.	Shared Voting Power 3,290,000 shares

			7.	Sole Dispositive Power 0 shares

			8.	Shared Dispositive Power 3,290,000 shares

	9.	Aggregate Amount Beneficially Owned by Each Reporting Person 3,290,000 shares

	10.	Check if the Aggregate Amount in Row (9) Excludes ¨ Certain Shares (See Instructions)

	11.	Percent of Class Represented by Amount in Row (9) 10.9%¹

	12.	Type of Reporting Person (See Instructions) IA, PN

¹ The percentage calculation assumes that there are currently 30,175,945 outstanding shares of Common Stock of the Issuer, based on the Issuer’s Form 424B5 Prospectus as filed with the Securities and Exchange Commission (“SEC”) on September 30, 2020.

CUSIP No. 14147L108

13G

	1.	Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Peter Kolchinsky

	2.	Check the Appropriate Box if a Member of a Group (See Instructions)
		(a)	¨
		(b)	¨

	3.	SEC Use Only

	4.	Citizenship or Place of Organization United States

Number of Shares Beneficially Owned by Each Reporting Person With			5.	Sole Voting Power 0 shares

			6.	Shared Voting Power 3,290,000 shares

			7.	Sole Dispositive Power 0 shares

			8.	Shared Dispositive Power 3,290,000 shares

	9.	Aggregate Amount Beneficially Owned by Each Reporting Person 3,290,000 shares

	10.	Check if the Aggregate Amount in Row (9) Excludes ¨ Certain Shares (See Instructions)

	11.	Percent of Class Represented by Amount in Row (9) 10.9%¹

	12.	Type of Reporting Person (See Instructions) HC, IN

CUSIP No. 14147L108

13G

	1.	Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). Rajeev Shah

	2.	Check the Appropriate Box if a Member of a Group (See Instructions)
		(a)	¨
		(b)	¨

	3.	SEC Use Only

	4.	Citizenship or Place of Organization United States

Number of Shares Beneficially Owned by Each Reporting Person With			5.	Sole Voting Power 0 shares

			6.	Shared Voting Power 3,290,000 shares

			7.	Sole Dispositive Power 0 shares

			8.	Shared Dispositive Power 3,290,000 shares

	9.	Aggregate Amount Beneficially Owned by Each Reporting Person 3,290,000 shares

	10.	Check if the Aggregate Amount in Row (9) Excludes ¨ Certain Shares (See Instructions)

	11.	Percent of Class Represented by Amount in Row (9) 10.9%¹

	12.	Type of Reporting Person (See Instructions) HC, IN

CUSIP No. 14147L108

13G

Item 1.

(a) Name of Issuer: Cardiff Oncology, Inc. (the “Issuer”).

(b) Address of the Issuer’s Principal Executive Offices: 11055 Flintkote Avenue, San Diego, CA 92121.

Item 2.

(a) Name of Person Filing: This joint statement on Schedule 13G is being filed by RA Capital Management, L.P. (“RA Capital”), Peter Kolchinsky, and Rajeev Shah. RA Capital, Dr. Kolchinsky, and Mr. Shah are collectively referred to herein as the “Reporting Persons.”

The Common Stock reported herein includes 2,990,581 shares held by RA Capital Healthcare Fund, L.P. (the “Fund”) and 299,419 shares held in a separately managed account (the “Account”). RA Capital Healthcare Fund GP, LLC is the general partner of the Fund. The general partner of RA Capital is RA Capital Management GP, LLC, of which Dr. Kolchinsky and Mr. Shah are the controlling persons. RA Capital serves as investment adviser for the Fund and the Account and may be deemed a beneficial owner, for purposes of Section 13(d) of the Securities Exchange Act of 1934 (the “Act”), of any securities of the Issuer held by the Fund and the Account. The Fund has delegated to RA Capital the sole power to vote and the sole power to dispose of all securities held in the Fund’s portfolio, including the shares of the Issuer’s Common Stock reported herein. Because the Fund has divested itself of voting and investment power over the reported securities it holds and may not revoke that delegation on less than 61 days’ notice, the Fund disclaims beneficial ownership of the securities it holds for purposes of Section 13(d) of the Act and therefore disclaims any obligation to report ownership of the reported securities under Section 13(d) of the Act. As managers of RA Capital, Dr. Kolchinsky and Mr. Shah may be deemed beneficial owners, for purposes of Section 13(d) of the Act, of any securities of the Issuer beneficially owned by RA Capital. RA Capital, Dr. Kolchinsky, and Mr. Shah disclaim beneficial ownership of the securities reported in this Schedule 13G Statement (the “Statement”) other than for the purpose of determining their obligations under Section 13(d) of the Act, and the filing of the Statement shall not be deemed an admission that either RA Capital, Dr. Kolchinsky, or Mr. Shah is the beneficial owner of such securities for any other purpose.

(b) Address of Principal Business Office: The principal business office of the Reporting Persons is c/o RA Capital Management, L.P., 200 Berkeley Street, 18^th Floor, Boston, MA 02116.

(c) Citizenship: RA Capital is a Delaware limited partnership. Dr. Kolchinsky and Mr. Shah are United States citizens.

(d) Title and Class of Securities: Common stock (“Common Stock”)

(e) CUSIP Number: 14147L108

CUSIP No. 14147L108

13G

Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(e) RA Capital Management, L.P. is a registered investment adviser and is filing this statement in accordance with §240.13d-1(b)(1)(ii)(E);

(g) Peter Kolchinsky and Rajeev Shah are control persons and are filing this statement in accordance with §240.13d-1(b)(1)(ii)(G).

Item 4. Ownership:

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

(a)	Amount Beneficially Owned: See the response(s) to Item 9 on the attached cover page(s).

(b)	Percent of Class: See the response(s) to Item 11 on the attached cover page(s).

(c)	Number of shares as to which such person has:

	(i)	sole power to vote or to direct the vote: See the response(s) to Item 5 on the attached cover page(s).

	(ii)	shared power to vote or to direct the vote See the response(s) to Item 6 on the attached cover page(s).

	(iii)	sole power to dispose or to direct the disposition of See the response(s) to Item 7 on the attached cover page(s).

	(iv)	shared power to dispose or to direct the disposition of See the response(s) to Item 8 on the attached cover page(s).

Item 5. Ownership of Five Percent or Less of a Class:

Not applicable.

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Item 6. Ownership of More than Five Percent on Behalf of Another Person:

Not applicable.

Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company or Control Person:

Not applicable.

Item 8. Identification and Classification of Members of the Group:

Not applicable.

Item 9. Notice of Dissolution of Group:

Not applicable.

Item 10. Certification:

By signing below I hereby certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

CUSIP No. 14147L108

13G

SIGNATURE

After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.

	Date: October 9, 2020

	RA CAPITAL MANAGEMENT, L.P.

	By: /s/ Peter Kolchinsky


	Peter Kolchinsky
	Authorized Signatory

	PETER KOLCHINSKY

	/s/ Peter Kolchinsky


	RAJEEV SHAH

	/s/ Rajeev Shah

CUSIP No. 14147L108

13G

Exhibit 1

JOINT FILING AGREEMENT

This Joint Filing Agreement, dated as of October 9, 2020, is by and among RA Capital Management, L.P., Peter Kolchinsky, and Rajeev Shah (the foregoing are collectively referred to herein as the “Filers”).

Each of the Filers may be required to file with the United States Securities and Exchange Commission a statement on Schedule 13G and/or 13D with respect to Common Stock, par value $0.0001 per share of Cardiff Oncology, Inc. beneficially owned by them from time to time.

Pursuant to and in accordance with Rule 13(d)(1)(k) promulgated under the Securities Exchange Act of 1934, as amended, the Filers hereby agree to file a single statement on Schedule 13G and/or 13D (and any amendments thereto) on behalf of each of such parties, and hereby further agree to file this Joint Filing Agreement as an exhibit to such statement, as required by such rule.

This Joint Filing Agreement may be terminated by any of the Filers upon one week’s prior written notice or such lesser period of notice as the Filers may mutually agree.

Executed and delivered as of the date first above written.

	RA CAPITAL MANAGEMENT, L.P.

	By: /s/ Peter Kolchinsky


	Peter Kolchinsky
	Authorized Signatory

	PETER KOLCHINSKY

	/s/ Peter Kolchinsky


	RAJEEV SHAH

	/s/ Rajeev Shah