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Pluri Inc. — Director's Dealing 2017
Dec 14, 2017
6990_rns_2017-12-15_0ed59f6b-5fb9-4f85-a073-0452f36c75c8.pdf
Director's Dealing
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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: | 3235-0287 | ||
| Check this box if no longer | Estimated average burden hours |
0.5 |
per response
| 1. Name and Address of Reporting Person* Egozi Erez 0001702742 |
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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|---|---|---|---|---|---|---|---|
| (Last) (First) |
(Middle) | Director Officer (give title X below) |
10% Owner Other (specify below) |
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| MATAM PARK ADVANCED TECHNOLOGY PARK BUILDING 05 |
3. Date of Earliest Transaction (Month/Day/Year) 12/14/2017 |
Chief Financial Officer | |||||
| (Street) HAIFA L3 |
31905 | 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 Form filed by More than One Reporting Person |
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| (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 (Instr. 4) |
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| Code | V | Amount | (A) or (D) |
Price | Reported Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | |||||
| Common Stock | 12/14/2017(1) | A | 110,000 | A | \$0 | 388,000 | 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. Derivative Conversion Security or Exercise (Instr. 3) 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 (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: (i) 25,000 shares vest on June 14, 2020, (ii) 25,000 shares vest on June 14, 2021, (iii) 30,000 shares vest as follows: 25% after 6 months from grant and the remaining shares vest in 6 equal installments every 3 months thereafter and (iv) 30,000 shares vest upon achievement of certain operational and financial goals. Remarks:
/s/ Erez Egozi 12/14/2017
** 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.