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PLUS THERAPEUTICS, INC. — Director's Dealing 2009
Dec 21, 2009
34301_dirs_2009-12-21_ce29e843-f71f-4a0d-b72c-1fc36184c05e.zip
Director's Dealing
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SEC Form 4 — Statement of Changes in Beneficial Ownership
Issuer: CYTORI THERAPEUTICS, INC. (CYTX)
CIK: 0001095981
Period of Report: 2009-12-18
Reporting Person: RICKEY DAVID (Director)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2009-12-18 | Common Stock | X | 7676 | $2.62 | Acquired | 20911 | Indirect |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2009-05-07 | Warrant to Purchase Common Stock | $2.62 | X | 7676 | Acquired | 2014-05-12 | Common Stock (7676) | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 124800 | Indirect |
| Common Stock | 34909 | Indirect |
| Common Stock | 4106 | Direct |
Footnotes
F1: On December 18, 2009 the Dave Rickey & Daughters Foundation exercised a Warrant for the purchase of 7,676 shares of the Company's Common stock pursuant to a Securities Purchase Agreement dated May 9, 2009. The Agreement provided for a purchase 4,386 Units ("Unit") at a purchase price of $2.28 per Unit. Each Unit consisted of 1 unregistered share of the Company's Common Stock and a Warrant ("Warrant") to purchase 1.75 shares of Common Stock. The exercise price of the Warrant was $2.62 per share. The Warrant was immediately exercisable upon issuance, and was to expire on the fifth anniversary of its issue date.
F2: These securities are owned by the Dave Rickey and Daughters Foundation.
F3: These securities are owned by David Rickey, TTEE FBO the David Rickey Trust.
F4: These securities are owned by the Rickey Family Limited Partnership.