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PLUS THERAPEUTICS, INC. — Director's Dealing 2012
Jan 30, 2012
34301_dirs_2012-01-30_e136a120-2dad-4be0-8302-d98867bfd093.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: 2012-01-26
Reporting Person: Saad Mark E (Chief Financial Officer)
Non-Derivative Transactions
| Date | Security | Code | Shares | Price | A/D | Holdings After | Ownership |
|---|---|---|---|---|---|---|---|
| 2012-01-26 | Restricted Stock (Common Stock) | D | 33500 | — | Disposed | 89000 | Direct |
| 2012-01-26 | Restricted Stock (Common Stock) | A | 33500 | — | Acquired | 122500 | Direct |
| 2012-01-26 | Restricted Stock (Common Stock) | A | 20000 | — | Acquired | 142500 | Direct |
Derivative Transactions
| Date | Security | Exercise Price | Code | Shares | A/D | Expiration | Underlying | Ownership |
|---|---|---|---|---|---|---|---|---|
| 2012-01-26 | Employee Stock Option | $3.44 | A | 40000 | Acquired | 2022-01-26 | Common Stock (40000) | Direct |
Footnotes
F1: The Compensation Committee has determined that the restricted stock performance goals for 2011 were not met, ceasing the vesting for all shares granted.
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: The Employee stock options vest 1/48th each month from date of grant.