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Pluri Inc.

Director's Dealing Apr 9, 2019

6990_rns_2019-04-08_8f960dd0-ee41-4205-917d-794308b9070b.pdf

Director's Dealing

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FORM 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

OMB APPROVAL OMB Number: 3235-0287 Estimated average burden hours per response 0.5

Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See

STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934

or Section 30(h) of the Investment Company Act of 1940

1. Name and Address of Reporting Person*
YANAY YAKY 0001402539
2. Issuer Name and Ticker or Trading Symbol
PLURISTEM THERAPEUTICS INC [ PSTI ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X
Director
Officer (give title
10% Owner
Other (specify
(Last)
(First)
(Middle)
MATAM PARK, BUILDING #5
3. Date of Earliest Transaction (Month/Day/Year)
04/08/2019
X
below)
below)
Co-CEO & President
(Street)
HAIFA
L3 3508409 4. If Amendment, Date of Original Filed (Month/Day/Year) X 6. Individual or Joint/Group Filing (Check Applicable Line)
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
6. Ownership
Form: Direct
(D) or Indirect
(I) (Instr. 4)
7. Nature of
Indirect
Beneficial
Ownership
Code V Amount (A) or
(D)
Price Transaction(s)
(Instr. 3 and 4)
(Instr. 4)
Common Stock 04/08/2019 P 71,429 A \$0.7(1) 4,253,045 D
Common Stock 66,499 I By Yaacov
Yanay
Management
Ltd.
Table II – Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
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
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
Reported
Transaction
(s) (Instr. 4)
Common
Stock
Warrant
\$0.7 04/08/2019 P 71,429 04/08/2019
(2)
04/08/2024 Common Stock 71,429 \$0(1) 71,429 D

Explanation of Responses:

  1. The common stock and common stock warrant were acquired in the issuer's public underwritten offering of units, in which each unit consisted of one share of common stock and an accompanying common stock warrant to purchase one share of common stock, at a price of \$0.70 per unit. The price paid per unit is reflected in Table I.

  2. The common stock warrants were exercisable immediately upon their issuance. Remarks:

/s/ Yaky Yanay 04/08/2019

** 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.

Instruction 1(b).

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