Washington, D.C. 20549


Form 8-K


Current Report 


Pursuant to Section 13 or 15(d) of the Securities Exchange Act of 1934


Date of Report (Date of earliest event reported):  November 6, 2019



(Exact name of registrant as specified in its charter)





(State or Other Jurisdiction

of Incorporation)


File Number)

(I.R.S. Employer

Identification Number)


4200 Marathon Blvd., Suite 200, Austin, Texas 78756

(Address of principal executive offices, with zip code)


(737) 255-7194

(Registrant’s telephone number, including area code)



(Former name or former address, if changed since last report)


Check the appropriate box below if the Form 8-K filing is intended to simultaneously satisfy the filing obligation of the registrant under any of the following provisions (see General Instruction A.2. below):


Written communications pursuant to Rule 425 under the Securities Act (17 CFR 230.425)

Soliciting material pursuant to Rule 14a-12 under the Exchange Act (17 CFR 240.14a-12)

Pre-commencement communications pursuant to Rule 14d-2(b) under the Exchange Act (17 CFR 240.14d-2(b))

Pre-commencement communications pursuant to Rule 13e-4(c) under the Exchange Act (17 CFR 240.13e-4(c))


Securities registered pursuant to Section 12(b) of the Act:




Title of each class

Trading Symbol(s)

Name of each exchange on which registered

Common Stock, par value $0.001


The Nasdaq Capital Market

Series S Warrant


The Nasdaq Capital Market

Indicate by check mark whether the registrant is an emerging growth company as defined in Rule 405 of the Securities Act of 1933 (§230.405 of this chapter) or Rule 12b-2 of the Securities Exchange Act of 1934 (§240.12b-2 of this chapter).

Emerging growth company

If an emerging growth company, indicate by check mark if the registrant has elected not to use the extended transition period for complying with any new or revised financial accounting standards provided pursuant to Section 13(a) of the Exchange Act.




Item 5.02 Departure of Directors or Certain Officers; Election of Directors; Appointment of Certain Officers; Compensatory Arrangements of Certain Officers.


On November 6, 2019, the board of directors of Plus Therapeutics, Inc. (the “Company”) approved the appointment of Desiree Smith as the Company’s Corporate Controller and principal financial and accounting officer, effective immediately.  Ms. Smith’s base salary will be $137,500 per year and she will be eligible for an annual incentive bonus with a target amount of 15% of her base salary.  There are no family relationships among any of the Company’s directors and executive officers. Ms. Smith does not have any direct or indirect material interest in any transaction required to be disclosed pursuant to Item 404(a) of Regulation S-K.


Ms. Smith, age 56, joined us from Outlook Amusements, Inc., where she last served as Controller from March 2018 to June 2019.   Prior to joining Outlook Amusements, Inc., Ms. Smith served as Controller at XPEL Technologies, Inc. from April 2016 to July 2017.  Ms. Smith also served as Controller at Globalscape, Inc. from May 2009 to July 2014 and served as Interim Chief Financial Officer and principal accounting officer at Globalscape, Inc. In addition, Ms. Smith served as Assistant Controller at Harte Hanks, Inc. from July 2014 to May 2015.  Ms. Smith has also held positions at Kimco Realty, USAA Real Estate Company and Sirius Computer Solutions from April 2000 to May 2009.  Ms. Smith is a Certified Public Accountant with over 35 years’ experience in accounting and finance.












































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 hereunto duly authorized.









Date:  November 8, 2019

By: /s/ Marc H. Hedrick, M.D.


Marc H. Hedrick, M.D.


President and Chief Executive Officer






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