Company: PSTV
Filing Date: 2025-03-04
Form Type: 8-K
Source: 0001193125-25-045305
Chunk: 5

Company: PLUS THERAPEUTICS, INC.
Filing Date: 2025-03-04
Form: 8-K
Item: Item 3.02
Chunk 5
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Item 3.02      Unregistered Sales of Equity Securities.  

The information set forth in Item 1.01 of this Current Report on Form8-Kregarding the sale and issuance of Securities is incorporated herein by reference into this Item 3.02.

The Company sold the Securities to “accredited investors,” as that term is defined in the Securities Act, in reliance on the exemption from registration afforded by Section 4(a)(2) thereof and Rule 506 of Regulation D thereunder, and corresponding provisions of state securities or “blue sky” laws. The Purchasers represented that they were acquiring the Securities for investment only and not with a view towards the resale or distribution thereof in violation of the Securities Act. Accordingly, the Securities have not been registered under the Securities Act and such Securities may not be offered or sold in the United States absent registration or an exemption from registration under the Securities Act and any applicable state securities laws.

Neither this Current Report on Form 8-K, nor the exhibits attached hereto, is an offer to sell or the solicitation of an offer to buy the Securities described herein.

Cautionary Statement Regarding Forward-Looking Statements

This Current Report on Form 8-K contains statements that may be deemed “forward-looking statements,” within the meaning of Section 27A of the Securities Act, and Section 21E of the Securities Exchange Act of 1934, as amended, related to, including but not limited to, the financing, the total investment amount raised in connection with the Private Placement, the timing of the closing of the Private Placement, the potential exercise of the Prefunded Warrants, Series A Warrants and Series B Warrants and potential gross proceeds generated by the exercise of the Prefunded Warrants, Series A Warrants and Series B Warrants, compliance with Nasdaq Listing Rules, and upcoming developments. All statements in this Current Report other than statements of historical fact are forward-looking statements. We may, in some cases use terms such as “future,” “possible,” “believes,” “potential,” “continue,” “expects,” “plans,” “may,” “could,” or “will,” or other words that convey uncertainty of the future events or outcomes to identify these forward-looking statements. Our forward-looking statements are based on current beliefs and expectations of our management team and on information currently available to management that involve risks, potential changes in circumstances, assumptions, and uncertainties. All statements contained in this Current Report other than statements of historical fact are forward-looking statements, including, but not limited to