PLUS THERAPEUTICS INC
For the period ended Sep 30, 2024. Filed Nov 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.
Sep 30, 2024 · Filed Nov 14, 2024
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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 of Plus Therapeutics, Inc. | 10-K | 001-34375 Exhibit 3.1 | 03/11/2016 | |
| 3.2 | Certificate of Amendment to Amended and Restated Certificate of Plus Therapeutics, Inc. | 8-K | 001-34375 Exhibit 3.1 | 05/10/2016 | |
| 3.3 | Certificate of Amendment to Amended and Restated Certificate of Plus Therapeutics, Inc. | 8-K | 001-34375 Exhibit 3.1 | 05/23/2018 | |
| 3.4 | Certificate of Amendment to Amended and Restated Certificate of Plus Therapeutics, Inc. | 8-K | 001-34375 Exhibit 3.1 | 07/29/2019 | |
| 3.5 | Certificate of Amendment to Amended and Restated Certificate of Plus Therapeutics, Inc. | 8-K | 001-34375 Exhibit 3.1 | 08/06/2019 | |
| 3.6 | Certificate of Amendment to Amended and Restated Certificate of Plus Therapeutics, Inc. | 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 | Certification of Elimination of the Series F Preferred Stock of Plus Therapeutics, Inc. | X | |||
| 4.1 | Form of Underwriters’ Warrant Amendment Agreement | 8-K | 001-34375Exhibit 4.1 | 10/05/2020 | |
| 4.2 | Form of Pre-Funded Warrant | 8-K | 001-34375Exhibit 4.1 | 05/09/2024 | |
| 4.3 | Form of Series A Warrant (May 2024, as amended and restated August 2024) | 10-Q | 001-34375Exhibit 4.5 | 08/14/2024 | |
| 4.4 | Form of Series B Warrant (May 2024, as amended and restated August 2024) | 10-Q | 001-34375Exhibit 4.6 | 08/14/2024 | |
| 4.5 | Form of Amendment and Restatement of the Plus Therapeutics, Inc. Series A Common Stock Purchase Warrant | 10-Q | 001-34375Exhibit 4.7 | 08/14/2024 | |
| 4.6 | Form of Amendment and Restatement of the Plus Therapeutics, Inc. Series B Common Stock Purchase Warrant | 10-Q | 001-34375Exhibit 4.8 | 08/14/2024 | |
| 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 |
| EX-101.CAL | Inline XBRL Taxonomy Extension Calculation Linkbase Document | X |
| EX-101.DEF | Inline XBRL Taxonomy Extension Definition Linkbase Document | X |
| EX-101.LAB | Inline XBRL Taxonomy Extension Label Linkbase Document | X |
| EX-101.PRE | Inline XBRL Taxonomy Extension Presentation Linkbase Document | 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: November 14, 2024 | Marc H. Hedrick | |
|---|---|---|
| President & Chief Executive Officer (Duly Authorized Officer and Principal Executive Officer) | ||
| By: | /s/ Andrew Sims | |
| Dated: November 14, 2024 | Andrew Sims | |
| Chief Financial Officer (Duly Authorized Officer and Principal Financial Officer and Principal Accounting Officer) | ||
The text of this filing, as the company filed it with the SEC, without its images or exhibits. This is not investment advice.