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Pluri Inc.

Major Shareholding Notification Mar 29, 2019

6990_rns_2019-03-28_b423ebed-b5bb-4d84-ac02-d821179f36fe.pdf

Major Shareholding Notification

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(b).

subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1

FORM 4 UNITED STATES SECURITIES AND EXCHANGE

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

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
(Last)
(First)
(Middle)
Officer (give title
Other (specify
X
below)
below)
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)
HAIFA L3 3508409 X
Form filed by One Reporting Person
Form filed by More than One Reporting
Person
(City) (State) (Zip)

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
6.
Ownership
Form:
Direct (D) or
Indirect (I)
7. Nature
of Indirect
Beneficial
Ownership
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)
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)
Code V (A) (D) Date
Exercisable
Expiration
Date
Title Amount
or
Number
of
Shares

Explanation of Responses:

  1. 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.

  2. 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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