SEC Form 4 · accession 0001140361-15-003905
PLUS THERAPEUTICS, INC. · CNSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc H Hedrick
Officer — President & CEO · Director
Period of report
Mar 11, 2014
Accepted (ET)
Feb 3, 2015 · 7:25 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001095981
Table I — non-derivative securities
| Security | Date | Code | Shares | Price | A/D | Owned after | D/I | Nature of ownership |
|---|---|---|---|---|---|---|---|---|
| Common StockF1,F2 | Mar 11, 2014 | G | 3,000 | $0.00 | D | 3,600 | I | By Family Trust |
| Common Stock | holding | — | — | — | 504,611 | D | ||
| Common Stock | holding | — | — | — | 7,500 | I | By IRA |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Employee Stock OptionF3 | $0.48 | Jan 30, 2015 | A | 240,000 | A | Feb 28, 2015 | Jan 30, 2025 | Common Stock | 240,000 | 1,505,000 | D |
| Warrant to Purchase Common Stock | $2.62 | holding | — | — | — | May 12, 2009 | May 12, 2015 | Common Stock | 35,000 | 35,000 | D |
Explanation of responses
- F1These shares were gifted to The Village Church, a not for profit 501(c)(3) organization.
- F2These securities are owned by M Hedrick & T Hedrick TTEE Dr. Marc Hamilton Hedrick & TRA U/A DTD 09/13/1999.
- F3The Employee Stock options vest 1/48th each month from date of grant, subject to remaining an employee of the Company.