SEC Form 4 · accession 0001140361-16-070024

PLUS THERAPEUTICS, INC. · CNSY

Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗

Reporting owner

Director

Period of report

Jun 15, 2016

Accepted (ET)

Jun 16, 2016 · 4:04 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 Stock^F2,F1	Jun 15, 2016	X	1,900	—	A	4,358	I	By Trust

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Subscription Rights (Right to Buy)^F2	$2.55	Jun 15, 2016	X	1,900	D	May 26, 2016	Jun 10, 2016	See Footnote	1,900	0	I
Warrants (Right to Buy)^F2,F1,F3	$3.06	Jun 15, 2016	X	950	A	Jun 15, 2016	Dec 14, 2018	Common Stock	950	950	I

F1The Reporting Person maintains indirect ownership of these securities in his capacity as sole trustee and beneficiary of The Gary A. Lyons Revocable Living Trust U/A, DTD 6/8/2102 (the "Trust"), including 2,458 shares previously reported as directly held that were transferred by the Reporting Person to the Trust.
F2The 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.
F3Each 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.