PLUS THERAPEUTICS, INC. — Director's Dealing 2017

Nov 29, 2017

SEC Form 4 — Statement of Changes in Beneficial Ownership

Issuer: CYTORI THERAPEUTICS, INC. (CTYX)
CIK: 0001095981
Period of Report: 2017-11-28

Reporting Person: HARRIS JOHN DAVID (VP and GM Cell Therapy)

Derivative Transactions

Date	Security	Exercise Price	Code	Shares	A/D	Expiration	Underlying	Ownership
2017-11-28	Subscription Rights (Right to Buy)	$1000.00	X	1	Disposed	2017-11-21	see footnote ()	Direct
2017-11-28	Series B Preferred Stock	$0.3333	X	1	Acquired		Common Stock (3000)	Direct
2017-11-28	Warrants (Right to Buy)	$0.3333	X	1800	Acquired	2020-05-28	Common Stock (1800)	Direct

Footnotes

F1: The preferred stock and the warrants reported on this Form 4 were acquired pursuant to the exercise of subscription rights previously distributed by Cytori Therapeutics, In. (the "Company") to all holders of the Company's common stock on October 27, 2017. The subscription rights entitled each recipient to purchase units ("Units"). Each Unit consists of one share of the Company's Series B Preferred Stock (convertible into 3,000 shares of the Company's common stock) and 1,800 warrants, with each warrant representing the right to purchase one share of the Company's common stock. The purchase price for each Unit was $1,000.

F2: The Series B Preferred Stock has no expiration date.

F3: Each warrant entitles the holder to purchase one share of the Company's common stock at an exercise price of $0.3333 per share from the date the Company receives stockholder approval of an amendment to its certificate of incorporation to increase its authorized shares of common stock through May 28, 2020.