Cardiff Oncology, Inc. (CRDF) 2013年年度报告「NASDAQ」.pdf

1、Table of Contents UNITED STATESSECURITIES AND EXCHANGE COMMISSIONWashington,D.C.20549 Form 10-K(Mark One)x ANNUAL REPORT UNDER SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE ACT OF 1934 FOR THE FISCAL YEAR ENDED DECEMBER 31,2013 o TRANSITION REPORT UNDER SECTION 13 OR 15(d)OF THE SECURITIES EXCHANGE

2、ACT OF 1934 FOR THE TRANSITION PERIOD FROM TO COMMISSION FILE NUMBER 000-54556 TROVAGENE INC.(Name of small business issuer in its charter)Delaware 27-2004382(State or other jurisdiction of(I.R.S.Employerincorporation or organization)Identification No.)11055 Flintkote Avenue,Suite A,San Diego,Califo

3、rnia 92121(Address of principal executive offices)(Zip Code)Issuers telephone Number:(858)952-7570 Securities registered under Section 12(b)of the Exchange Act:Title of each class Name of each exchange on which registeredUnits,each consisting of two shares of Common Stock and oneWarrant to purchase

4、one share of Common Stock The NASDAQ Capital Market Common Stock,$0.0001 par value The NASDAQ Capital Market Warrants to purchase Common Stock The NASDAQ Capital Market Securities registered under Section 12(g)of the Exchange Act:None.Indicate by check mark is the issuer is a well-known seasoned iss

5、uer,as defined in Rule 405 of the Securities Act Yes o No x Indicate by check if the issuer is not required to file reports pursuant to Section 13 or 15(d)of the Exchange Act.Yes x No o Indicate by check mark whether the issuer(1)filed all reports required to be filed by Section 13 or 15(d)of the Ex

6、change Act during the past 12 months(or for such shorter period that the registrant was required to file such reports),and(2)has been subject to such filing requirements for the past 90 days.Yes xNo o Indicate by check mark whether the registrant has submitted electronically and posted on its corpor