Director's Dealing • Sep 11, 2020
Director's Dealing
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Washington, D.C. 20549
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
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| 1. Name and Address of Reporting Person* GERMAIN MARK |
2. Issuer Name and Ticker or Trading Symbol PLURISTEM THERAPEUTICS INC [ PSTI ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) |
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|---|---|---|---|---|---|---|---|---|
| X | Director | 10% Owner | ||||||
| (Last) | (First) | (Middle) | 3. Date of Earliest Transaction (Month/Day/Year) | Officer (give title below) |
Other (specify below) | |||
| MATAM PARK, BUILDING #5 | 09/10/2020 | |||||||
| (Street) | ||||||||
| HAIFA | L3 | 3508409 | 4. If Amendment, Date of Original Filed (Month/Day/Year) | 6. Individual or Joint/Group Filing (Check Applicable Line) | ||||
| X | Form filed by One Reporting Person | |||||||
| (City) | (State) | (Zip) | Form filed by More than One Reporting Person |
| Table I – Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned | ||||||||||
|---|---|---|---|---|---|---|---|---|---|---|
| 1. Title of Security (Instr. 3) | 2. Transaction Date (Month/Day/Year) |
2A. Deemed Execution Date, if any (Month/Day/Year) |
3. Transaction Code (Instr. 8) |
4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) |
5. Amount of Securities Beneficially Owned Following Reported Transaction |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of Indirect Beneficial Ownership |
|||
| Code | V | Amount | (A) or (D) |
Price | (s) (Instr. 3 and 4) | (Instr. 4) | ||||
| Restricted Stock Units(1) | 09/10/2020(2) | A | 20,000 | \$0 | 82,569(3) | D |
| Table II – Derivative Securities Acquired, Disposed of, or Beneficially Owned (e.g., puts, calls, warrants, options, convertible securities) |
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|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|---|
| 1. Title of Derivative Security (Instr. 3) |
2. Conversion or Exercise Price of Derivative Security |
3. Transaction Date (Month/Day/Year) |
3A. Deemed Execution Date, if any (Month/Day/Year) |
4. Transaction Code (Instr. 8) |
5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) |
6. Date Exercisable and Expiration Date (Month/Day/Year) |
7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) |
8. Price of Derivative Security (Instr. 5) |
9. Number of Derivative Securities Beneficially Owned Following Reported Transaction |
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
||||
| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
(s) (Instr. 4) |
Each RSU represents a contingent right to receive one share of the Issuer's common stock.
The shares vest over four years as follows: 12.5% shall vest on the 6 month anniversary of the date of grant and the remaining shares vest in 14 equal installments every 3 months thereafter.
Such number of shares of common stock have been adjusted to reflect the reverse stock split that occurred on July 25, 2019. Remarks:
/s/ Mark Germain 09/10/2020
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4(b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB Number.
Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
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