SEC Form 4 · accession 0001140361-15-041223
PLUS THERAPEUTICS, INC. · CNSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
John David Harris
Officer — VP and GM Cell Therapy
Period of report
Nov 11, 2015
Accepted (ET)
Nov 13, 2015 · 5:07 pm EST
Rule 10b5-1 plan
unknown — predates the checkbox
Issuer CIK
0001095981
Table I — non-derivative securities
No Table I lines on this filing.
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Stock Option (Right to Buy)F1,F2 | $0.3701 | Nov 11, 2015 | A | 335,000 | A | Nov 11, 2016 | Nov 11, 2025 | Common Stock | 335,000 | 335,000 | D |
Explanation of responses
- F1The reporting person received an NQ stock option granted under the Corporation's 2014 Equity Incentive Plan. The exercise price per share to be paid by the reporting person at the time the option is exercised shall be the closing sale price of the Corporation's Common Stock on the NASDAQ Stock Market as of the date of the grant. The closing sale price is $0.3701.
- F2Twenty five percent (25%) of the option shares shall vest on November 11, 2016 with the remaining option shares vesting in 36 equal monthly installments thereafter.