SEC Form 4 · accession 0001140361-16-069921
PLUS THERAPEUTICS, INC. · CNSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Rickey
Director
Period of report
Jun 15, 2016
Accepted (ET)
Jun 15, 2016 · 7:09 pm EDT
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 StockF3,F1 | Jun 15, 2016 | X | 6,000 | — | A | 24,004 | I | By Charitable Trust |
| Common StockF3,F2 | Jun 15, 2016 | X | 16,000 | — | A | 71,226 | I | By Trust |
Table II — derivative securities
| Security | Conv. / exercise price | Date | Code | Shares | A/D | Exercisable | Expires | Underlying | Underlying shares | Owned after | D/I |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (Right to Buy)F1,F3 | $2.55 | Jun 15, 2016 | X | 6,000 | D | May 26, 2016 | Jun 10, 2016 | See Footnote | 6,000 | 0 | I |
| Subscription Rights (Righ to Buy)F2,F3 | $2.55 | Jun 15, 2016 | X | 16,000 | D | May 26, 2016 | Jun 10, 2016 | See Footnote | 16,000 | 0 | I |
| Warrants (Right to Buy)F3,F1,F4 | $3.06 | Jun 15, 2016 | X | 3,000 | A | Jun 15, 2016 | Dec 14, 2018 | Common Stock | 3,000 | 3,000 | I |
| Warrants (Right to Buy)F3,F2,F4 | $3.06 | Jun 15, 2016 | X | 8,000 | A | Jun 15, 2016 | Dec 14, 2018 | Common Stock | 8,000 | 8,000 | I |
Explanation of responses
- F1These securities are owned by the Dave Rickey and Daughters Foundation Charitable Trust.
- F2These securities are owned by The David M Rickey Trust u/a DTD 5/8/2002, David M. Rickey Trustee.
- F3The common stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, Inc. (the "Company) to all holders of the Company's common stock. The subscription rights entitled each recipient thereof to purchase units ("Units"). Each Unit consists of one share of the Company's common stock and 0.5 of a warrant, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $2.55
- F4Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $3.06 from the date of issuance through December 14, 2018.