Page 1

( Mark One ) 0 ANNUAL REPORT PURSUANT TO SECTION OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the fiscal year ended December 31 , 2020 OR TRANSITION REPORT PURSUANT TO SECTION 13 OR 15 ( d ) OF THE SECURITIES EXCHANGE ACT OF 1934 For the transition period from to Commission file number 001-34375 UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington , D.C. 20549 FORM 10 - K DELAWARE ( State or Other Jurisdiction of Incorporation or Organization ) Title of each class Common Stock , par value $ 0.001 per share 4200 MARATHON BLVD . SUITE 200 , AUSTIN , TX ( Address of principal executive offices ) Large Accelerated Filer Non - Accelerated Filer PLUS THERAPEUTICS , INC . ( previously known as Cytori Therapeutics , Inc. ) ( Exact name of Registrant as Specified in Its Charter ) Registrant's telephone number , including area code : ( 737 ) 255-7194 Securities registered pursuant to Section 12 ( b ) of the Act : Trading Symbol ( s ) PSTV Securities registered pursuant to Section 12 ( g ) of the Act : None . 33-0827593 ( I.R.S. Employer Identification No. ) 78756 ( Zip Code ) Name of each exchange on which registered Nasdaq Capital Market Indicate by check mark if the registrant is a well - known seasoned issuer as defined in Rule 405 of the Securities Act . Yes No Indicate by check mark if the registrant is not required to file reports pursuant to Section 13 or Section 15 ( d ) of the Exchange Act . Yes No Indicate by check mark whether the registrant : ( 1 ) has filed all reports required to be filed by Section 13 or 15 ( d ) of the Securities Exchange Act of 1934 during the preceding 12 months ( or for such shorter period that the registrant was required to file such reports ) , and ( 2 ) has been subject to such filing requirements for the past 90 days . Yes No Indicate by check mark whether the registrant has submitted electronically every Interactive Data File required to be submitted pursuant to Rule 405 of Regulation S - T ( §232.405 of this chapter ) during the preceding 12 months ( or for such shorter period that the registrant was required to submit such files ) . Yes No Indicate by check mark whether the registrant is a large accelerated filer , an accelerated filer , a non - accelerated filer , a smaller reporting company , or an emerging growth company . See definitions of " large accelerated filer , " " accelerated filer , " " smaller reporting company " and " emerging growth company " in Rule 12b - 2 of the Exchange Act . Accelerated Filer Smaller reporting company 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 . Indicate by check mark whether the registrant has filed a report on and attestation to its management's assessment of the effectiveness of its internal control over financial reporting under Section 404 ( b ) of the Sarbanes - Oxley Act ( 15 U.S.C. 7262 ( b ) ) by the registered public accounting firm that prepared or issued its audit report . Indicate by check mark whether the registrant is a shell company ( as defined in Rule 12b - 2 of the Exchange Act ) . Yes No The aggregate market value of the common stock of the registrant held by non - affiliates of the registrant on June 30 , 2020 , the last business day of the registrant's most recently completed second fiscal quarter , was $ 5.4 million based on the closing sales price of the registrant's common stock on June 30 , 2020 as reported on the Nasdaq Capital Market , of $ 2.12 per share . As of February 16 , 2021 , there were 21,106,217 shares of the registrant's common stock outstanding . DOCUMENTS INCORPORATED BY REFERENCE : Portions of the registrant's definitive proxy statement for its 2021 Annual Meeting of Stockholders , which will be filed with the United States Securities and Exchange Commission within 120 days of December 31 , 2020 , are incorporated by reference into Part III of this Annual Report on Form 10 - K .