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PLUS THERAPEUTICS, INC. — Director's Dealing 2012
Dec 21, 2012
34301_dirs_2012-12-21_0f78e93c-159e-476d-9f05-bfa14da5e9ee.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: 2012-12-19
Reporting Person: HEDRICK MARC H (Director, President)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-12-19 | Common Stock | P | 5000 | $2.85 | Acquired | 5000 | Indirect |
| 2012-12-19 | Common Stock | P | 2500 | $2.85 | Acquired | 12100 | Indirect |
| 2012-12-19 | Common Stock | P | 2500 | $2.85 | Acquired | 2500 | Indirect |
Holdings (Non-Derivative)
| Security | Shares | Ownership |
|---|---|---|
| Common Stock | 7500 | Indirect |
| Common Stock | 448238 | Direct |
| Restricted Stock (Common Stock) | 36850 | Direct |
| Restricted Stock (Common Stock) | 25000 | Direct |
Footnotes
F1: Dr. Hedrick purchased the shares in connection with a public offering of company shares which closed on December 19, 2012.
F2: The vesting of the Restricted Stock award depends upon the achievement of certain performance goals established by the Compensation Committee for the year ended December 31, 2012. In January 2013, the Compensation Committee will determine the percentage of this grant that will continue to vest based upon the achievement of the performance goals for the year 2012. Any shares within this grant that the Committee determines should continue to vest would then become fully vested on January 10, 2014, subject to Participant's continued employment with the Company through the vesting date.
F3: The Restricted Stock Award vests in full on January 10, 2013, subject to Participant's continued employment with the Company through the vesting date.
F4: These securities are owned by M Hedrick & T Hedrick TTEE Dr. Marc Hamilton Hedrick & TRA U/A DTD 09/13/1999.