Amended Statement of Ownership (sc 13g/a)
15 February 2020 - 1:03AM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, DC 20549
SCHEDULE 13G
(Rule 13d-102)
INFORMATION TO BE INCLUDED IN STATEMENTS
FILED PURSUANT
TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS
THERETO FILED
PURSUANT TO RULE 13d-2(b)
(Amendment No. 1) *
Plus
Therapeutics, Inc.
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
72941H400
(CUSIP Number)
December 31, 2019
(Date of Event Which Requires Filing of
this Statement)
Check the appropriate box to designate
the rule pursuant to which this Schedule is filed:
☐ Rule 13d-1(b)
☒ Rule 13d-1(c)
☐ Rule 13d-1(d)
(Page 1 of 8 Pages)
________________________________________________
* 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 the disclosures provided in a prior cover page.
The information required
in 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 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.
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72941H400
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13G
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Page 2 of 8 Pages
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1.
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NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Schonfeld Strategic Advisors LLC
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2.
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
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(a)
☐
(b) ☒
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3.
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SEC USE ONLY
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4.
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CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
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5.
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SOLE VOTING POWER
0
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6.
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SHARED VOTING POWER
3,798
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7.
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SOLE DISPOSITIVE POWER
0
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8.
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SHARED DISPOSITIVE POWER
3,798
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,798
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10.
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CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
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☐
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.10%
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12.
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TYPE OF REPORTING PERSON*
IA
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CUSIP No.
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72941H400
|
13G
|
Page 3 of 8 Pages
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1.
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NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY)
Sassicaia Capital Advisers LLC
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2.
|
CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
|
(a)
☐
(b) ☒
|
3.
|
SEC USE ONLY
|
4.
|
CITIZENSHIP OR PLACE OF ORGANIZATION
Delaware
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NUMBER OF
SHARES
BENEFICIALLY
OWNED BY
EACH
REPORTING
PERSON
WITH
|
5.
|
SOLE VOTING POWER
0
|
|
6.
|
SHARED VOTING POWER
0
|
|
7.
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SOLE DISPOSITIVE POWER
0
|
|
8.
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SHARED DISPOSITIVE POWER
0
|
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9.
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
0
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10.
|
CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
|
☐
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11.
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
0.00%
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12.
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TYPE OF REPORTING PERSON*
OO
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CUSIP No.
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72941H400
|
13G
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Page 4 of 8 Pages
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Item 1(a).
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Name of Issuer:
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Plus
Therapeutics, Inc.
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Item 1(b).
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Address of Issuer's Principal Executive Offices:
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4200 Marathon Blvd., Suite 200
Austin, Texas 78756
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Item 2(a).
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Name of Person Filing:
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Schonfeld
Strategic Advisors LLC and Sassicaia Capital Advisers LLC
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Item 2(b).
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Address of Principal Business Office, or if None, Residence:
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Schonfeld
Strategic Advisors LLC, 460 Park Avenue, New York, New York, 10022
Sassicaia
Capital Advisers LLC, 2 Jericho Plaza, Suite 300, Jericho, New York, 11753
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Item 2(c).
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Citizenship:
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Schonfeld
Strategic Advisors LLC and Sassicaia Capital Advisers LLC - Delaware limited liability companies
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Item 2(d).
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Title of Class of Securities:
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Common
Stock, par value $0.001 per share
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Item 2(e).
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CUSIP Number:
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72941H400
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Item 3.
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If This Statement is Filed Pursuant to
Rule 13d-1(b), or 13d-2(b) or (c), Check Whether the Person Filing is a:
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(a)
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☐
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Broker or dealer registered under Section 15 of the
Exchange Act.
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(b)
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☐
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Bank as defined in Section 3(a)(6) of the Exchange Act.
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(c)
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☐
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Insurance company as defined in Section 3(a)(19) of
the Exchange Act.
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(d)
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☐
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Investment company registered under Section 8 of the
Investment Company Act.
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(e)
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☒
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An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E);
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CUSIP No.
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72941H400
|
13G
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Page 5 of 8 Pages
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(f)
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☐
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An employee benefit plan or endowment fund in accordance
with Rule 13d-1(b)(1)(ii)(F);
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(g)
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☐
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A parent holding company or control person in accordance
with Rule 13d-1(b)(1)(ii)(G);
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(h)
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☐
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A savings association as defined in Section 3(b) of
the Federal Deposit Insurance Act;
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(i)
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☐
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A church plan that is excluded from the definition
of an investment company under Section 3(c)(14) of the Investment Company Act;
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(j)
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☐
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A non-U.S. institution in accordance with Rule 13d-1(b)(1)(ii)(J);
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(k)
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☐
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Group, in accordance with Rule 13d-1(b)(1)(ii)(K).
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If filing as a non-U.S. institution in accordance
with Rule 13d-1(b)(1)(ii)(J), please specify the type of institution: __________________________________________
Item 4. Ownership.
Provide the following
information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.
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(a)
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Amount beneficially owned**:
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Schonfeld
Strategic Advisors LLC – 3,798 shares
Sassicaia
Capital Advisers LLC – 0 shares
Schonfeld
Strategic Advisors LLC – 0.10%
Sassicaia
Capital Advisers LLC – 0.00%
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(c)
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Number of shares as to which such person has**:
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(i)
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Sole power to vote or to direct the vote
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Schonfeld
Strategic Advisors LLC – 0 shares
Sassicaia
Capital Advisers LLC – 0 shares
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(ii)
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Shared power to vote or to direct the vote
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Schonfeld
Strategic Advisors LLC – 3,798 shares
Sassicaia
Capital Advisers LLC – 0 shares
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(iii)
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Sole power to dispose or to direct the disposition of
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Schonfeld
Strategic Advisors LLC – 0 shares
Sassicaia
Capital Advisers LLC – 0 shares
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(iv)
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Shared power to dispose or to direct the disposition of
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Schonfeld
Strategic Advisors LLC – 3,798 shares
Sassicaia
Capital Advisers LLC – 0 shares
**See footnotes on cover pages which are
incorporated by reference herein.
CUSIP No.
|
72941H400
|
13G
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Page 6 of 8 Pages
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Item 5.
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Ownership of Five Percent or Less of a Class.
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If this statement
is being filed to report the fact that as of the date hereof the reporting person has ceased to be the beneficial owner of more
than five percent of the class of securities check the following ☒.
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Item 6.
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Ownership of More Than Five Percent on Behalf of Another Person.
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If any other person
is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of,
such securities, a statement to that effect should be included in response to this item and, if such interest relates to more
than five percent of the class, such person should be identified. A listing of the shareholders of an investment company registered
under the Investment Company Act of 1940 or the beneficiaries of employee benefit plan, pension fund or endowment fund is not
required.
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N/A
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Item 7.
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Identification and Classification of the Subsidiary
Which Acquired the Security Being Reported on by the Parent Holding Company or Control Person.
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If a parent holding
company or Control person has filed this schedule, pursuant to Rule 13d-1(b)(1)(ii)(G), so indicate under Item 3(g) and attach
an exhibit stating the identity and the Item 3 classification of the relevant subsidiary. If a parent holding company or control
person has filed this schedule pursuant to Rule 13d-1(c) or Rule 13d-1(d), attach an exhibit stating the identification of the
relevant subsidiary.
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N/A
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Item 8.
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Identification and Classification of Members of the Group.
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If a group has filed
this schedule pursuant to ss.240.13d-1(b)(1)(ii)(J), so indicate under Item 3(j) and attach an exhibit stating the identity and
Item 3 classification of each member of the group. If a group has filed this schedule pursuant to ss.240.13d-1(c) or ss.240.13d-1(d),
attach an exhibit stating the identity of each member of the group.
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N/A
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Item 9.
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Notice of Dissolution of Group.
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Notice of dissolution
of a group may be furnished as an exhibit stating the date of the dissolution and that all further filings with respect to transactions
in the security reported on will be filed, if required, by members of the group, in their individual capacity. See Item 5.
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N/A
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CUSIP No.
|
72941H400
|
13G
|
Page 7 of 8 Pages
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Item 10.
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Certifications.
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"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, other than activities
solely in connection with a nomination under § 240.14a-11."
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CUSIP No.
|
72941H400
|
13G
|
Page 8 of 8 Pages
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SIGNATURE
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.
SCHONFELD STRATEGIC ADVISORS LLC
By: /s/ Thomas Wynn
Name: Thomas Wynn
Title: Chief Compliance
Officer
SASSICAIA CAPITAL ADVISERS LLC
By: /s/ John Thurber
Name: John Thurber
Title: Chief Compliance
Officer
Date: January 14, 2020
Exhibit List
Exhibit A. Joint Filing Agreement.
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