PLUS THERAPEUTICS INC
For the period ended Jun 30, 2024. Filed Aug 14, 2024.
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A company's report for each of its first three quarters. The financial statements are not audited. It shows how the business has moved since the last annual report, and what management says changed.
Jun 30, 2024 · Filed Aug 14, 2024
CNSY$0.57-11.3%Stored close · as of Nov 9, 2026
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Item 6. Exhibits
EXHIBIT INDEX
| Exhibit Number | Exhibit Title | Filed with this Form 10-Q | Incorporated by Reference | ||
| Form | File No. | Date Filed | |||
| 3.1 | Composite Certificate of Incorporation | 10-K | 001-34375 Exhibit 3.1 | 03/11/2016 | |
| 3.2 | Certificate of Amendment to Amended and Restated Certificate | 8-K | 001-34375 Exhibit 3.1 | 05/10/2016 | |
| 3.3 | Certificate of Amendment to Amended and Restated Certificate | 8-K | 001-34375 Exhibit 3.1 | 05/23/2018 | |
| 3.4 | Certificate of Amendment to Amended and Restated Certificate | 8-K | 001-34375 Exhibit 3.1 | 07/29/2019 | |
| 3.5 | Certificate of Amendment to Amended and Restated Certificate | 8-K | 001-34375 Exhibit 3.1 | 08/06/2019 | |
| 3.6 | Certificate of Amendment to Amended and Restated Certificate | 8-K | 001-34375 Exhibit 3.1 | 04/28/2023 | |
| 3.7 | Amended and Restated Bylaws of Plus Therapeutics, Inc. | 8-K | 001-34375Exhibit 3.1 | 09/21/2021 | |
| 3.8 | Certificate of Designation of Preferences, Rights and Limitations of Series B Convertible Preferred Stock | 8-K | 001-34375Exhibit 3.1 | 11/28/2017 | |
| 3.9 | Certificate of Designation of Preferences, Rights and Limitations of Series C Convertible Preferred Stock | 8-K | 001-34375Exhibit 3.1 | 07/25/2018 | |
| 3.10 | Certificate of Designation of Series F Preferred Stock, dated March 3, 2023 | 8-K | 001-34375Exhibit 3.1 | 03/03/2023 | |
| 4.1 | Form of Series U Warrant | S-1/A | 333-229485Exhibit 4.37 | 09/16/2019 | |
| 4.2 | Form of Warrant Amendment Agreement | 8-K | 001-34375Exhibit 4.1 | 04/23/2020 | |
| 4.3 | Form of Underwriters’ Warrant Amendment Agreement | 8-K | 001-34375Exhibit 4.1 | 10/05/2020 | |
| 4.4 | Form of Pre-Funded Warrant | 8-K | 001-34375Exhibit 4.1 | 05/09/2024 | |
| 4.5 | Form of Series A Warrant (May 2024, as amended and restated August 2024) | X | |||
| 4.6 | Form of Series B Warrant (May 2024, as amended and restated August 2024) | X | |||
| 4.7 | Form of Amendment and Restatement of the Plus Therapeutics, Inc. Series A Common Stock Purchase Warrant | X | |||
| 4.8 | Form of Amendment and Restatement of the Plus Therapeutics, Inc. Series B Common Stock Purchase Warrant | X | |||
| 10.1 · Securities Purchase Agreement, dated May 5, 2024, by and among Plus Therapeutics, Inc. and the purchasers named therein · 8-K · 001-34375Exhibit 10.1 · 05/09/2024 | |||||
|---|---|---|---|---|---|
| 10.2 · First Amendment to Securities Purchase Agreement, dated May 8, 2024, by and among Plus Therapeutics, Inc. and the purchasers named therein · 8-K · 001-34375Exhibit 10.2 · 05/09/2024 | |||||
| 10.3 · Registration Rights Agreement, dated as of May 5, 2024, by and among Plus Therapeutics, Inc. and the purchasers named therein · 8-K · 001-34375Exhibit 10.3 · 05/09/2024 | |||||
| 10.4 | Third Amendment to the 2015 New Employee Incentive Plan | S-1 | 333-280061 | 06/07/2024 | |
| 10.5 | Lending Agreement, dated April 5, 2024, by and between Plus Therapeutics, Inc. and Pershing LLC | 8-K | 001-34375Exhibit 10.1 | 06/04/2024 | |
| 10.6 | Loan Interest Form, dated May 24, 2024, by and between Plus Therapeutics, Inc. and Pershing LLC | 8-K | 001-34375Exhibit 10.2 | 06/04/2024 | |
| 10.7 | Extension of Credit, dated May 29, 2024, by and between Plus Therapeutics, Inc. and Pershing LLC | 8-K | 001-34375Exhibit 10.3 | 06/04/2024 | |
| 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 | |||
| 101.INS | Inline XBRL Instance Document – the instance document does not appear in the Interactive Data File because its XBRL tags are embedded within the Inline XBRL document | X | |||
| 101.SCH | Inline XBRL Taxonomy Extension Schema With Embedded Linkbase Documents | X | |||
| 104 | Cover Page Interactive Data File (formatted as Inline XBRL and contained in Exhibit 101) | X | |||
- In accordance with Item 601(b)(32)(ii) of Regulation S‑K and SEC Release No. 34‑47986, the certifications furnished in Exhibit 32.1 hereto is deemed to accompany this Form 10‑Q and will not be deemed “filed” for purposes of Section 18 of the Exchange Act or deemed to be incorporated by reference into any filing under the Exchange Act or the Securities Act of 1933 except to the extent that the Company specifically incorporates it by reference.
SIGNATURES
Pursuant to the requirements of the Securities Exchange Act of 1934, the registrant has duly caused this report to be signed on its behalf by the undersigned thereunto duly authorized.
| PLUS THERAPEUTICS, INC. | ||
| By: | /s/ Marc H. Hedrick | |
| Dated: August 14, 2024 | Marc H. Hedrick | |
|---|---|---|
| President & Chief Executive Officer (Duly Authorized Officer and Principal Executive Officer) | ||
| By: | /s/ Andrew Sims | |
| Dated: August 14, 2024 | Andrew Sims | |
| Chief Financial Officer (Duly Authorized Officer and Principal Financial Officer and Principal Accounting Officer) | ||
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