SEC Form 4 · accession 0001209191-17-062903
PLUS THERAPEUTICS, INC. · CNSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
David Rickey
Director
Period of report
Nov 28, 2017
Accepted (ET)
Nov 29, 2017 · 5:40 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 |
|---|---|---|---|---|---|---|---|---|---|---|---|
| Subscription Rights (Right to Buy)F1 | $1,000.00 | Nov 28, 2017 | X | 6 | D | Nov 2, 2017 | Nov 21, 2017 | see footnote | — | 0 | D |
| Series B Preferred StockF1,F2 | $0.3333 | Nov 28, 2017 | X | 6 | A | Nov 28, 2017 | — | Common Stock | 18,000 | 6 | D |
| Warrants (Right to Buy)F1,F3 | $0.3333 | Nov 28, 2017 | X | 10,800 | A | — | May 28, 2020 | Common Stock | 10,800 | 10,800 | D |
Explanation of responses
- 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.