SEC Form 4 · accession 0001209191-17-062899

PLUS THERAPEUTICS, INC. · CNSY

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

Reporting owner

Officer — President and CEO · Director

Period of report

Nov 28, 2017

Accepted (ET)

Nov 29, 2017 · 5:36 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.

Security	Conv. / exercise price	Date	Code	Shares	A/D	Exercisable	Expires	Underlying	Underlying shares	Owned after	D/I
Subscription Rights (Right to Buy)^F1	$1,000.00	Nov 28, 2017	X	9	D	Nov 2, 2017	Nov 21, 2017	see footnote	—	0	D
Series B Preferred Stock^F1,F2	$0.3333	Nov 28, 2017	X	9	A	Nov 28, 2017	—	Common Stock	27,000	9	D
Warrants (Right to Buy)^F1,F3	$0.3333	Nov 28, 2017	X	16,200	A	—	May 28, 2020	Common Stock	16,200	16,200	D

F1The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000.
F2The Series B Preferred Stock has no expiration date.
F3Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $0.3333 per share from the date the Company receives stockholder approval of an amendment to its certificate of incorporation to increase its authorized shares of common stock through May 28, 2020.