Company: PSTV
Filing Date: 2025-04-30
Form Type: 10-K/A
Source: 0000950170-25-061028
Chunk: 28

Company: PLUS THERAPEUTICS, INC.
Filing Date: 2025-04-30
Form: 10-K/A
Chunk 28
---
-----|--------:|:----|:---------------------|------:|:----|:------------------------|--------:|
| Equity compensation plans not approved by security holders(1) |     |                      |  23,897 |     | $                    | 43.42 |     |                         |  62,908 |
| Equity compensation plans approved by security holders(2)     |     |                      | 574,643 |     | $                    |  5.57 |     |                         | 692,596 |
| Total                                                         |     |                      | 598,540 |     | $                    |  7.08 |     |                         | 755,504 |

(1) Represents (i) options outstanding that were issued under the 2004 Stock Option and Stock Purchase Plan which expired in August 2004, (ii) the 2015 New Employee Incentive Plan, and (iii) the 2020 Stock Incentive Plan. For more information, see “Material Features of the Amended and Restated 2015 New Employee Incentive Plan and the 2020 Stock Incentive Plan” provided in our annual report on Form 10-K filed on February 22, 2021. (2) See Notes to the Consolidated Financial Statements included with our annual report on Form 10-K filed on February 22, 2021 for a description of our 2020 Stock Incentive Plan. Item 13. Certain Relationships and Related Transactions, and Director Independence. Related Party Transactions We have adopted a Related Person Transactions Policy that sets forth our policies and procedures regarding the identification, review, consideration, and oversight of “related person transactions.” For purposes of our policy only, a “related person transaction” is a transaction, arrangement, or relationship (or any series of similar transactions, arrangements or relationships) in which we or any of our subsidiaries are participants involving an amount that exceeds $120,000, in which any “related person” has a material interest. Transactions involving compensation for services provided to us as an employee, consultant, or director are not considered related person transactions under this policy. A related person is any executive officer, director or a holder of more than 5% of any class of our voting securities (including our common stock), including any of their immediate family members and affiliates, including entities owned or controlled by such persons.

Under the policy, the related person in question or, in the case of transactions with a holder of more than