Director's Dealing • Apr 9, 2019
Director's Dealing
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Washington, D.C. 20549
0.5
Check this box if no longer subject to Section 16. Form 4 or Form 5 Instruction 1(b).
or Section 30(h) of the Investment Company Act of 1940
| 1. Name and Address of Reporting Person* BEN-YORAM ISRAEL 0001320556 |
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) (Street) |
(First) (Middle) MATAM PARK, BUILDING #5 |
3. Date of Earliest Transaction (Month/Day/Year) 04/08/2019 |
below) | below) | ||||
| 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 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 Reported |
6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) |
7. Nature of Indirect Beneficial Ownership |
|||||
| Code | V | Amount | (A) or Price (D) |
Transaction(s) (Instr. 3 and 4) |
(Instr. 4) | |||||||
| Common Stock | 04/08/2019 | P | 71,429 | A | \$0.7(1) | 387,235 | D | |||||
| Common Stock | 411,250 | I | By Eshed Dash Ltd. |
| 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 |
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 |
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.
The common stock warrants were exercisable immediately upon their issuance. Remarks:
** 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.
obligations may continue. See
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