Major Shareholding Notification • Dec 21, 2018
Major Shareholding Notification
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(b).
subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1
COMMISSION Washington, D.C. 20549
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 OMB Number: 3235-0287 Estimated average burden hours per response 0.5 Check this box if no longer
| 1. Name and Address of Reporting Person* BRAUN ISAAC 0001336384 |
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 10% Owner |
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|---|---|---|---|---|---|---|---|---|
| (Last) (First) (Middle) MATAM PARK, BUILDING #5 |
3. Date of Earliest Transaction (Month/Day/Year) 12/19/2018 |
Officer (give title below) |
Other (specify below) |
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| (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 Form filed by More than One Reporting |
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| (City) | (State) | (Zip) | 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 |
6. Ownership Form: Direct (D) or |
7. Nature of Indirect Beneficial Ownership |
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| Code V |
(A) Amount or (D) |
Price | Following Reported Transaction(s) (Instr. 3 and 4) |
Indirect (I) (Instr. 4) |
(Instr. 4) | |||||||
| Common Stock | 12/19/2018(1) | A | 47,250 | A | \$0 | 552,458 | D | |||||
| Common Stock | 12/19/2018(2) | A | 33,750 | A | \$0 | 586,208 | 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 Derivative Security (Instr. 3) |
2. 3. Transaction Conversion Date or Exercise (Month/Day/Year) Price of Derivative Security |
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: 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/ Isaac Braun 12/20/2018
** 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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