SEC Form 4 · accession 0001140361-16-049630
PLUS THERAPEUTICS, INC. · CNSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Marc H Hedrick
Officer — President and CEO · Director
Period of report
Jan 28, 2016
Accepted (ET)
Feb 1, 2016 · 7:09 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 StockF2 | Jan 28, 2016 | A | 70,500 | $0.00 | A | 575,111 | D | |
| Common StockF1 | holding | — | — | — | 44,800 | I | By Family Trust | |
| Common StockF3 | holding | — | — | — | 7,500 | I | By IRA |
Table II — derivative securities
No Table II lines on this filing.
Explanation of responses
- F1Shares held directly by M Hedrick & T Hedrick TTEE Dr. Marc Hamilton Hedrick & TRA U/A DTD 09/13/1999, a trust for the benefit of the Reporting Person and the Reporting Person's spouse, for which the Reporting Person and the Reporting Person's spouse serve as trustees.
- F2Represents shares of Common Stock issued under the Company's 2015 Executive Management Incentive Compensation Plan and vested based upon level of achievement of certain metrics related to clinical trial enrollment and the Company's financial position for the performance period of May 26, 2015 to December 31, 2015. All shares were issued pursuant to the Company's 2014 Equity Incentive Plan.
- F3Shares held directly in an IRA for the benefit of the Reporting Person, for which the Reporting Person is the sole beneficial owner.