SEC Form 4 · accession 0001209191-18-044206
PLUS THERAPEUTICS, INC. · CNSY
Statement of changes in beneficial ownership, as filed. Original on EDGAR ↗
Reporting owner
Tiago Girao
Officer — VP & Chief Financial Officer
Period of report
Jul 25, 2018
Accepted (ET)
Jul 27, 2018 · 4:31 pm EDT
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 | Jul 25, 2018 | X | 1 | D | Jun 29, 2018 | Jul 20, 2018 | See Footnote | — | 0 | D |
| Series C Preferred StockF1,F2 | $0.7986 | Jul 25, 2018 | X | 1 | A | Jul 25, 2018 | — | Common Stock | 1,253 | 1 | D |
| Warrants (Right to Buy)F1,F3 | $0.7986 | Jul 25, 2018 | X | 1,050 | A | — | Jan 25, 2021 | Common Stock | 1,050 | 1,050 | 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, Inc. (the "Company") to all holders of the Company's common stock and Series B Preferred Stock on June 26, 2018. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series C Preferred stock (convertible into 1,253 of the Company's common stock) and 1,050 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 C 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 $0.7986 through January 25, 2021.