PLUS THERAPEUTICS INC
For the period ended Dec 31, 2023. Filed Mar 5, 2024.
View on SEC.govAbout this filing
A company's yearly report to the SEC, with audited financial statements. It is the fullest account a company gives of its business, its finances and the risks it sees.
FY2023 · Filed Mar 5, 2024
CNSY$0.57-11.3%Stored close · as of Nov 9, 2026
Extracted filing text, with the paragraph anchors used by the comparison.
See the whole filing, with its images and exhibitsContents
Item 16. Form 10-K Summary
None.
EXHIBIT INDEX
| ExhibitNumber | Exhibit Title | Filed withthis Form10-K | Incorporated by Reference | ||
| Form | File No. | Date Filed | |||
| 3.1 | Composite Certificate of Incorporation. | 10-K | 001-34375Exhibit 3.1 | 03/11/2016 | |
| 3.2 | Certificate of Amendment to Amended and Restated Certificate of Incorporation. | 8-K | 001-34375Exhibit 3.1 | 05/10/2016 | |
| 3.3 | Certificate of Amendment to Amended and Restated Certificate of Incorporation. | 8-K | 001-34375Exhibit 3.1 | 05/23/2018 | |
| 3.4 | Certificate of Amendment to Amended and Restated Certificate of Incorporation. | 8-K | 001-34375Exhibit 3.1 | 07/29/2019 | |
| 3.5 | Certificate of Amendment to Amended and Restated Certificate of Incorporation. | 8-K | 001-34375Exhibit 3.1 | 08/06/2019 | |
| 3.6 | Certificate of Amendment to Amended and Restated Certificate of Incorporation. | 8-K | 001-34375Exhibit 3.1 | 4/28/2023 | |
| 3.7 | Certificate of Designation of Preferences, Rights and Limitations of Series B Convertible Preferred Stock. | 8-K | 001-34375Exhibit 3.1 | 11/28/2017 | |
| 3.8 | Certificate of Designation of Preferences, Rights and Limitations of Series C Convertible Preferred Stock. | 8-K | 001-34375Exhibit 3.1 | 07/25/2018 | |
| 3.9 | Certificate of Designation of Series F Convertible Preferred Stock | 8-K | 001-34375Exhibit 3.1 | 03/03/2023 | |
| 3.10 | Amended and Restated Bylaws of Plus Therapeutics, Inc. | 8-K | 001-34375Exhibit 3.2 | 09/21/2021 | |
| 4.1 | Description of Securities. | 10-K | 001-34375Exhibit 4.1 | 03/30/2020 | |
| 4.2 | Form of Common Stock Certificate. | 10-K | 001-34375Exhibit 4.33 | 03/09/2018 | |
| 4.3 | Form of Series U Warrant. | S-1/A | 333-229485Exhibit 4.37 | 09/16/2019 | |
| 4.4 | Form of Warrant Amendment Agreement. | 8-K | 011-34375Exhibit 4.1 | 04/23/2020 | |
| 4.5 | Form of Underwriters’ Warrant Amendment Agreement. | 8-K | 011-34375Exhibit 4.1 | 10/05/2020 | |
| 10.1+ | Patent and Know-How License Agreement, dated March 29, 2020, by and between Plus Therapeutics, Inc. and NanoTx, Corp. | 8-K | 011-34375 Exhibit 10.1 | 3/30/2020 | |
| 10.2+ | Patent & Technology License Agreement, dated December 31, 2021, by and between Plus Therapeutics, Inc. and the University of Texas Health Science Center at San Antonio. | 10-K | 011-34375Exhibit 10.2 | 2/24/2022 | |
| 10.3 | Equity Distribution Agreement, dated September 9, 2022, by and between Plus Therapeutics, Inc. and Canaccord Genuity LLC. | 8-K | 011-34375Exhibit 1.1 | 09/09/2022 | |
| 10.4 | Purchase Agreement, dated August 2, 2022, by and between Lincoln Park Capital Fund, LLC and Plus Therapeutics, Inc. | 8-K | 011-34375Exhibit 10.1 | 08/08/2022 | |
| 10.5 | Registration Rights Agreement, dated August 2, 2022, by and between Plus Therapeutics, Inc. and Lincoln Park Capital Fund. | 8-K | 001-34375Exhibit 10.2 | 08/08/2022 | |
| 10.6 | Loan and Security Agreement, dated May 29, 2015, by and among Plus Therapeutics, Inc. Oxford Finance, LLC, and lenders listed thereof. | 10-Q | 001-34375Exhibit 10.4 | 08/10/2015 | |
| 10.7 | First Amendment to Loan and Security Agreement, dated September 20, 2017, by and among Plus Therapeutics, Inc., Oxford Finance, LLC and lenders listed thereof. | S-1/A | 333-219967Exhibit 10.45 | 10/03/2017 | |
| 10.8 | Second Amendment to Loan and Security Agreement, dated June 19, 2018, by and among Plus Therapeutics, Inc., Oxford Finance, LLC and lenders listed thereof. | 10-Q | 001-34375Exhibit 10.3 | 08/14/2018 | |
| 10.9 | Third Amendment to Loan and Security Agreement, dated August 31, 2018, by and among Plus Therapeutics, Inc., Oxford Finance, LLC and lenders listed thereof. | S-1 | 333-227485Exhibit 10.51 | 09/21/2018 | |
| 10.10 | Fourth Amendment to Loan and Security Agreement, dated December 31, 2018, by and among Plus Therapeutics, Inc., Oxford Finance, LLC. and lenders listed thereof. | S-1 | 333-229485Exhibit 10.52 | 02/01/2019 | |
| 10.11 | Fifth Amendment to Loan and Security Agreement, dated January 31, 2019, by and among Plus Therapeutics, Inc., Oxford Finance, LLC and lenders listed thereof. | 10-K | 001-34375Exhibit 10.55 | 03/29/2019 | |
| 10.12 | Sixth Amendment to Loan and Security Agreement, dated February 28, 2019, by and among Plus Therapeutics, Inc., Oxford Finance, LLC and lenders listed thereof. | 10-K | 001-34375Exhibit 10.56 | 03/29/2019 | |
| 10.13 | Seventh Amendment to Loan and Security Agreement, dated April 24, 2019, by and among Plus Therapeutics, Inc., Oxford Finance, LLC and lenders listed thereof. | 10-Q | 001-34375Exhibit 10.3 | 05/14/2019 | |
| 10.14 | Eight Amendment to Loan and Security Agreement, dated July 15, 2019, by and among Plus Therapeutics, Inc., Oxford Finance, LLC, and lenders listed thereof. | 10-Q | 001-34375Exhibit 10.2 | 08/15/2019 | |
| 10.15+ | Ninth Amendment to Loan and Security Agreement, dated March 29, 2020, by and among Plus Therapeutics, Inc., Oxford Finance, LLC and lenders listed thereof. | 8-K | 011-34375 Exhibit 10.2 | 3/30/2020 | |
| 10.16 | Ten Amendment to Loan and Security Agreement, dated June 28, 2023, by and among Plus Therapeutics, Inc., Oxford Finance, LLC and lenders listed thereof. | X | |||
| 10.17# | Amended and Restated Employment Agreement, dated March 11, 2020, by and between Marc Hedrick and Plus Therapeutics, Inc. | 10-Q | 001-34375Exhibit 10.6 | 5/16/2020 | |
| 10.18# | Amended and Restated Employment Agreement, dated March 11, 2020, by and between Andrew Sims and Plus Therapeutics, Inc. | 10-Q | 001-34375Exhibit 10.7 | 5/16/2020 | |
| 10.19# | Employment Agreement, dated December 8, 2021, by and between Plus Therapeutics, Inc. and Normal LaFrance | 8-K | 001-34375Exhibit 10.1 | 09/13/2021 | |
| 10.20# | 2015 New Employee Incentive Plan. | 8-K | 001-34375Exhibit 10.1 | 01/05/2016 | |
| 10.21# | First Amendment to the Plus Therapeutics, Inc. 2015 New Employee Incentive Plan, dated January 26, 2017. | 10-K | 001-34375Exhibit 10.42 | 03/24/2017 | |
| 10.22# | Second Amendment to the Plus Therapeutics, Inc. 2015 New Employee Incentive Plan, dated February 6, 2020. | 10-K | 001-34375 Exhibit 10.25 | 03/30/2020 | |
| 10.23# | Form of Notice of Grant of Stock Option under the 2015 New Employee Incentive Plan. | S-8 | 333-210211Exhibit 99.5 | 03/15/2016 | |
| 10.24# | Form of Stock Option Agreement under the 2015 New Employee Incentive Plan. | S-8 | 333-210211Exhibit 99.4 | 03/15/2016 | |
| 10.25# | Plus Therapeutics, Inc. 2020 Stock Incentive Plan, as amended and restated. | 8-K | 001-34375Exhibit 10.1 | 05/17/2021 | |
| 10.26# | Form of Notice of Grant and Stock Option Agreement under the 2020 Stock Incentive Plan. | 10-K | 001-34375Exhibit 10.26 | 02/24/2022 | |
| 10.27+ | Master Services Agreement, dated January 24, 2021, by and between Piramal Pharma Solutions, Inc. and Plus Therapeutics, Inc. | 10-K | 001-334275Exhibit 10.24 | 02/22/2021 | |
| 10.28# | Form of Indemnification Agreement. | 8-K | 001-34375Exhibit 10.1 | 02/06/2020 | |
| 10.29# | Form of Agreement for Acceleration and/or Severance. | 10-K | 001-34375Exhibit 10.113 | 03/11/2016 | |
| 10.30 | Medidata Services Agreement and Statement of Work, dated November 5, 2021, by and between Medidata Solutions, Inc. and Plus Therapeutics, Inc. | 10-Q | 001-34375Exhibit 10.1 | 04/21/2022 | |
| 10.31 | Cancer Research Grant Contract, effective August 31, 2022, by and between the Cancer Prevention and Research Institute of Texas and Plus Therapeutics, Inc. | 8-K | 001-34375Exhibit 10.1 | 09/22/2022 | |
| 10.32 | Subscription and Investment Representation Agreement, dated March 3, 2023, by and between Plus Therapeutics, Inc. and the purchaser signatory thereto. | 8-K | 001-34375Exhibit 10.1 | 03/03/2023 | |
| 10.33# | Plus Therapeutics, Inc. 2020 Stock Incentive Plan, as further amended and restated | 8-K | 001-34375Exhibit 10.1 | 04/20/2023 | |
| 10.34 | Tenth Amendment to Loan and Security Agreement | 10-Q | 001-34375Exhibit 10.2 | 08/14/2023 | |
| 23.1 | Consent of BDO USA, P.C., Independent Registered Public Accounting Firm. | X | |||
| 31.1 | Certification of Principal Executive Officer Pursuant to Securities Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 31.2 | Certification of Principal Financial and Accounting Officer Pursuant to Securities Exchange Act Rule 13a-14(a), as adopted pursuant to Section 302 of the Sarbanes-Oxley Act of 2002. | X | |||
| 32.1† | Certifications Pursuant to 18 U.S.C. Section 1350/ Securities Exchange Act Rule 13a-14(b), as adopted pursuant to Section 906 of the Sarbanes -Oxley Act of 2002. | X | |||
| 97.1 | Incentive Compensation Recovery Policy | X | |||
| 101.INS | The following financial information from The Plus Therapeutics, Inc.’s Annual Report on Form 10-K for the year ended December 31, 2023, formatted in iXBRL (Inline Extensible Business Reporting Language): (i) Balance Sheets as of December 31, 2023 and 2022; (ii) Statements of Operations for the years ended December 31, 2023 and 2022; (iii) Statements of Stockholders’ Equity (Deficit) for the years ended December 31, 2023 and 2022; (iv) Statements of Cash Flows for the years ended December 31, 2023 and 2022; and (v) Notes to Financial Statements. | X | |||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | X | |||
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.