Insider filing report for Changes in Beneficial Ownership
- Schedule 13G & 13D forms are used to report a party's ownership of stock which exceeds 5% of a company's total stock issue.
- Schedule 13G is a shorter version of Schedule 13D with fewer reporting requirements.
- Peter Lynch
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UNITED
STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549
SCHEDULE 13G
Under
the Securities Exchange Act of 1934
Plus Therapeutics, Inc.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
72941H400
(CUSIP Number)
May 6, 2020
(Date of Event which Requires Filing of this Statement)
Check
the appropriate box to designate the rule pursuant to which this Schedule is filed:
o Rule 13d-1(b)
x Rule 13d-1(c)
o Rule 13d-1(d)
* The remainder of this cover page shall be filled out for a reporting person’s initial filing on this form with respect to the subject class of securities, and for any subsequent amendment containing information which would alter disclosures provided in a prior cover page.
The information required on the remainder of this cover page shall not be deemed to be “filed” for the purpose of Section 18 of the Securities Exchange Act of 1934 (“Act”) or otherwise subject to the liabilities of that section of the Act but shall be subject to all other provisions of the Act (however, see the Notes).
| CUSIP No. 72941H400 | 13G | Page 2 of 8 Pages | ||
| 1. | NAMES
OF REPORTING PERSONS NanoTx, Corp. |
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| 2. | CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) o (b) o |
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| 3. | SEC USE ONLY
|
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| 4. | CITIZENSHIP
OR PLACE OF ORGANIZATION Delaware |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE
VOTING POWER 00,000 | ||
| 6. | SHARED
VOTING POWER 230,769 | |||
| 7. | SOLE
DISPOSITIVE POWER 00,000 | |||
| 8. | SHARED
DISPOSITIVE POWER |
| 9. | AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 230,769 (See Item 4) |
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| 10. | CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) o |
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| 11. | PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.61% |
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| 12. | TYPE OF
REPORTING PERSON (see instructions) CO |
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| CUSIP No. 72941H400 | 13G | Page 3 of 8 Pages | ||
| 1. | NAMES
OF REPORTING PERSONS Andrew Brenner |
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| 2. | CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) o (b) o |
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| 3. | SEC USE ONLY
|
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| 4. | CITIZENSHIP
OR PLACE OF ORGANIZATION United States |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE
VOTING POWER 00,000 | ||
| 6. | SHARED
VOTING POWER 230,769 | |||
| 7. | SOLE
DISPOSITIVE POWER 00,000 | |||
| 8. | SHARED
DISPOSITIVE POWER |
| 9. | AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 230,769 (See Item 4) |
|||
| 10. | CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) o |
|||
| 11. | PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.61% |
|||
| 12. | TYPE OF
REPORTING PERSON (see instructions) IN |
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| CUSIP No. 72941H400 | 13G | Page 4 of 8 Pages | ||
| 1. | NAMES
OF REPORTING PERSONS William Phillips |
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| 2. | CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) o (b) o |
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| 3. | SEC USE ONLY
|
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| 4. | CITIZENSHIP
OR PLACE OF ORGANIZATION United States |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE
VOTING POWER 00,000 | ||
| 6. | SHARED
VOTING POWER 230,769 | |||
| 7. | SOLE
DISPOSITIVE POWER 00,000 | |||
| 8. | SHARED
DISPOSITIVE POWER |
| 9. | AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 230,769 (See Item 4) |
|||
| 10. | CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) o |
|||
| 11. | PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.61% |
|||
| 12. | TYPE OF
REPORTING PERSON (see instructions) IN |
|||
| CUSIP No. 72941H400 | 13G | Page 5 of 8 Pages | ||
| 1. | NAMES
OF REPORTING PERSONS Ande Bao |
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| 2. | CHECK
THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions) (a) o (b) o |
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| 3. | SEC USE ONLY
|
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| 4. | CITIZENSHIP
OR PLACE OF ORGANIZATION United States |
| NUMBER OF SHARES BENEFICIALLY OWNED BY EACH REPORTING PERSON WITH | 5. | SOLE
VOTING POWER 00,000 | ||
| 6. | SHARED
VOTING POWER 230,769 | |||
| 7. | SOLE
DISPOSITIVE POWER 00,000 | |||
| 8. | SHARED
DISPOSITIVE POWER |
| 9. | AGGREGATE
AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 230,769 (See Item 4) |
|||
| 10. | CHECK
IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instruct ions) o |
|||
| 11. | PERCENT
OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.61% |
|||
| 12. | TYPE OF
REPORTING PERSON (see instructions) IN |
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| CUSIP No. 72941H400 | 13G | Page 6 of 8 Pages | ||
Item 1.
| (a) | Name of Issuer Plus Therapeutics, Inc. (the “Issuer”) | |
| (b) | Address
of Issuer’s Principal Executive Offices 4200 Marathon Blvd., Suite 200 Austin, Texas 78756 | |
Item 2.
| (a) | Name of Person Filing | |
| (b) | Address of the Principal Office or, if none, residence | |
| (c) | Citizenship This Schedule 13G is being filed on behalf of (i) Dr. Andrew Brenner, an individual who is a citizen of the United States of America (“Dr. Brenner”), (ii) Dr. William Phillips, an individual who is a citizen of the United States of America (“Dr. Phillips”), (iii) Dr. Ande Bao, an individual who is a citizen of the United States of America (“Dr. Bao”), and (iv) NanoTx, Corp., a Delaware corporation (“NanoTx” and together with Dr. Brenner, Dr. Phillips and Dr. Bao, collectively the “Reporting Persons”).
The Reporting Persons have entered into a Joint Filing Agreement, a copy of which is filed with this Schedule 13G as Exhibit 1, pursuant to which the Reporting Persons have agreed to file this Schedule 13G jointly in accordance with the provisions of Rule 13d-1(k) of the Securities Exchange Act of 1934, as amended.
The principal business office of the Reporting Persons is 6500 River Place Blvd, Bldg 7, Ste 250, Austin, TX 78730. | |
| (d) | Title
of Class of Securities Common stock, $0.001 par value per share, of the Issuer (the “Common Stock”). | |
| (e) | CUSIP
Number 72941H400 | |
Item 3. If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:
Not applicable.
Item 4. Ownership.
| The information required by Items 4(a) – (c) is set forth in Rows (5) – (11) of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person. | ||
| The Issuer’s Annual Report on Form 10-K for the annual period ended December 31, 2019 filed with the Securities and Exchange Commission on March 30, 2020, discloses that the total number of outstanding shares of Common Stock as of March 20, 2020 was 3,880,588. The percentages set forth on row (11) are based on the Issuer’s total number of outstanding shares of Common Stock plus the 230,769 shares which may be deemed to be beneficially owned by the Reporting Persons. |
| CUSIP No. 72941H400 | 13G | Page 7 of 8 Pages | ||
| Dr. Brenner, Dr. Phillips and Dr. Bao serve as Directors of NanoTx, in whose name the Common Stock is held. As such, they may be deemed to be beneficial owners of the Common Stock. Dr. Brenner, Dr. Phillips and Dr. Bao disclaim beneficial ownership of these securities. | ||
Item 5. Ownership of Five Percent or Less of a Class.
Not applicable.
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.
Not applicable.
Item 8. Identification and Classification of Members of the Group.
Not applicable.
Item 9. Notice of Dissolution of Group.
Not applicable.
Item 10. Certification.
| By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were not acquired and are not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect. |
| CUSIP No. 72941H400 | 13G | Page 8 of 8 Pages | ||
After reasonable inquiry and to the best of my knowledge and belief, I certify that the information set forth in this statement is true, complete and correct.
Date: May 13, 2020
/s/ Andrew Brenner Dr. Andrew Brenner | |
|
/s/ William Phillips Dr. William Phillips | |
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/s/ Ande Bao Dr. Ande Bao | |
NanoTx, Corp., by:
/s/ Andrew Brenner Dr. Andrew Brenner, President |