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    SEC Form SC 13G/A filed by Cassava Sciences Inc. (Amendment)

    2/3/22 5:05:59 PM ET
    $SAVA
    Biotechnology: Pharmaceutical Preparations
    Health Care
    Get the next $SAVA alert in real time by email
    SC 13G/A 1 sava-20220203sc13ga.htm SC 13G/A SC 13G-A 2022

     

    UNITED STATES

    SECURITIES AND EXCHANGE COMMISSION

    Washington, D.C. 20549

    

    SCHEDULE 13G

    (Rule 13d-102)

    Under the Securities Exchange Act of 1934

    (Amendment No. 17) *

    Cassava Sciences, Inc.

    (Name of Issuer)

    Common Stock, $0.001 per value share

    (Title of Class of Securities)

    14817C 107

    (CUSIP Number)

    Eric Schoen – Chief Financial Officer

    7801 N Capital of Texas Highway, Suite 260

    Austin, TX 78731

    (512) 501-2450

    (Name, Address and Telephone Number of Person

    Authorized to Receive Notices and Communications)

    December 31, 2021

    (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)

     

    *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. 14817C 107

    13G

    Page 2 of 5

     

    

     

     

     

     

     

     

    

     

     

     

     

     

     

    1.

     

    NAME OF REPORTING PERSONS

    Remi Barbier

    2.

     

    CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (see instructions)

    (a)   ☐         (b)   ☐

     

    3.

     

    SEC USE ONLY

     

    4.

     

    CITIZENSHIP OR PLACE OF ORGANIZATION

    U.S.A.

    NUMBER OF

    SHARES

    BENEFICIALLY

    OWNED BY

    EACH

    REPORTING

    PERSON WITH

    5

     

     

     

     

     

     

    SOLE VOTING POWER

     1,549,757

    6

     

     

    SHARED VOTING POWER

    516,230

    7

     

     

    SOLE DISPOSITIVE POWER

    1,549,757

    8

     

     

    SHARED DISPOSITIVE POWER

    516,230

    9.

     

    AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

    2,065,987

    10

     

    CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see instructions) ☐

     

    11

     

    PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9)

    5.0%

    12

     

    TYPE OF REPORTING PERSON (see instructions)

    IN

     


     

     

     

     

     

    CUSIP No. 14817C 107

    13G

    Page 3 of 5

     

    Item 1.  (a)      Name of Issuer

    

    Cassava Sciences, Inc.

    

    Item 1. (b)      Address of Issuer’s Principal Executive Offices

    

    7801 N Capital of Texas Highway, Suite 260, Austin, TX 78731

    

    Item 2. (a)      Name of Person Filing

    

    Remi Barbier

    

    Item 2. (b)      Address of the Principal Office or, if none, residence

    

    7801 N Capital of Texas Highway, Suite 260, Austin, TX 78731

    

    Item 2. (c)      Citizenship

    

    USA

    

    Item 2. (d)      Title of Class of Securities

    

    Common Stock

    

    Item 2. (e)      CUSIP Number

    

    14817C 107

    

    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:

     

    (a)      ☐  Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

    (b)      ☐  Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

    (c)      ☐  Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

    (d)      ☐  Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

    (e)      ☐  An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

    (f)       ☐  An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

    (g)      ☐  A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

    (h)      ☐  A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

    (i)       ☐  A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

    (j)       ☐  A non-U.S. institution in accordance with §240,13d-1(b)(1)(ii)(J);

    (k)      ☐  Group, in accordance with §240.13d-1(b)(1)(ii)(J).


     

     

     

     

     

    CUSIP No. 14817C 107

    13G

    Page 4 of 5

     

    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.

    

    (a)      Amount beneficially owned: 2,065,987

    (b)      Percent of class: 5.0%

    (c)      Number of shares as to which the person has:

    (i)      Sole power to vote or to direct the vote 1,549,757

    (ii)     Shared power to vote or to direct the vote 516,230

    (iii)    Sole power to dispose or to direct the disposition of 1,549,757

    (iv)    Shared power to dispose or to direct the disposition of 516,230

    

    Instruction. For computations regarding securities which represent a right to acquire an underlying security see §240.13d-3(d)(1).

    

    Item 5.      Ownership of Five Percent or Less of a Class.

    

    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   ☐.

    

    Instruction. Dissolution of a group requires a response to this item.

    

    Item 6.      Ownership of More than Five Percent on Behalf of Another Person.

    

    Item 7.      Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company.

    

    Item 8.      Identification and Classification of Members of the Group.

    

    Item 9.      Notice of Dissolution of Group.

    

    Item 10.    Certification.

    

    (a)      The following certification shall be included if the statement is filed pursuant to §240.13d-1(b):

    

    By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and 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.

    

    (b)      The following certification shall be included if the statement is filed pursuant to §240.13d-1(c):

    

    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.

    

    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.


     

     

     

     

     

    CUSIP No. 14817C 107

    13G

    Page 5 of 5

     

    

     

     

    

     

    February 3, 2022

    

     

    Date

    

     

     

    

     

    /s/ Remi Barbier

    

     

    Signature

    

     

     

    

     

    Remi Barbier, President, Chief Executive Officer and Chairman of the Board of Directors

    

     

    Name and Title

    

     

     

    

     

     

    


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