Major Shareholding Notification • Mar 29, 2019
Major Shareholding Notification
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(b).
subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1
Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934 or Section 30(h) of the Investment Company Act of 1940
| OMB APPROVAL | ||||
|---|---|---|---|---|
| COMMISSION Washington, D.C. 20549 |
OMB Number: Estimated average |
3235-0287 | ||
| Check this box if no longer | burden hours per response |
0.5 |
| 1. Name and Address of Reporting Person* Franco-Yehuda Chen 0001770681 |
2. Issuer Name and Ticker or Trading Symbol PLURISTEM THERAPEUTICS INC [ PSTI ] |
5. Relationship of Reporting Person(s) to Issuer (Check all applicable) Director 10% Owner |
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|---|---|---|---|---|---|---|---|---|
| (Last) (First) (Middle) |
Officer (give title Other (specify X below) below) |
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| MATAM ADVANCED TECHNOLOGY PARK BUILDING NO. 5 |
3. Date of Earliest Transaction (Month/Day/Year) 03/28/2019 |
Chief Financial Officer | ||||||
| (Street) | 4. If Amendment, Date of Original Filed (Month/Day/Year) |
6. Individual or Joint/Group Filing (Check Applicable Line) |
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| HAIFA | L3 | 3508409 | X Form filed by One Reporting Person Form filed by More than One Reporting Person |
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| (City) | (State) | (Zip) |
| 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 |
6. Ownership Form: Direct (D) or Indirect (I) |
7. Nature of Indirect Beneficial Ownership |
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|---|---|---|---|---|---|---|---|---|---|---|
| Code | V | Amount | (A) or (D) |
Price | Reported Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | (Instr. 4) | |||
| Common Stock | 03/28/2019(1) | A | 60,000 | A | \$0 | 137,158 | D | |||
| Common Stock | 03/28/2019(2) | A | 40,000 | A | \$0 | 177,158 | 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 2. 3. Transaction Derivative Conversion Date Security or Exercise (Month/Day/Year) any (Instr. 3) Price of Derivative Security |
3A. Deemed Execution Date, if (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 (s) (Instr. 4) |
10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
11. Nature of Indirect Beneficial Ownership (Instr. 4) |
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| Code | V | (A) | (D) | Date Exercisable |
Expiration Date |
Title | Amount or Number of Shares |
Explanation of Responses:
The shares vest as follows: 25% shall vest on the 6 month anniversary of the date of grant and the remaining shares vest in 6 equal installments every 3 months thereafter.
The shares vest as follows: 12.5% on the 27 month anniversary of the date of grant and the remaining shares vest in 7 equal installments every 3 months thereafter.
Remarks:
/s/ Chen Franco-Yehuda 03/28/2019
** 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.
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