Amended Statement of Ownership (sc 13g/a)
February 11 2021 - 05:10PM
Edgar (US Regulatory)
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 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
(Amendment No. 4)*
Cassava Sciences, Inc.
(Name of Issuer)
Common Stock
(Title of Class of Securities)
14817C107
(CUSIP Number)
December 31, 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:
☐ Rule 13d-1(b)
☒ Rule 13d-1(c)
☐ Rule 13d-1(d)
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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.
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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 (“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).
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| CUSIP No. 14817C107 |
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13G |
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Page 1 of 5 |
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1. |
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NAMES OF REPORTING PERSONS
Thomas A. Satterfield, Jr.
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2. |
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CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP
(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
United States of America
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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
50,000
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6. |
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SHARED VOTING POWER
400,000
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7. |
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SOLE DISPOSITIVE POWER
50,000
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8. |
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SHARED DISPOSITIVE POWER
400,000
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9. |
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AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING
PERSON
450,000
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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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11. |
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PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
1.8%*
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12. |
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TYPE OF REPORTING PERSON
IN
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Based on 25,578,673 shares of common stock of the
issuer outstanding as of November 5, 2020, as reported by the
issuer in its Quarterly Report on Form 10-Q for the quarterly period ended
September 30, 2020, filed with the Securities and Exchange
Commission on November 9, 2020.
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| CUSIP No. 14817C107 |
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13G |
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Page 2 of 5 |
SCHEDULE 13G
Cassava Sciences, Inc.
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(b) |
Address of Issuer’s Principal Executive
Offices:
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7801 N. Capital of Texas Highway, Suite 260
Austin, Texas 78731
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(a) |
Name of Person Filing:
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Thomas A. Satterfield, Jr.
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(b) |
Address of Principal Business Office or, if none,
Residence:
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Thomas A. Satterfield, Jr.
2609 Caldwell Mill Lane
Birmingham, Alabama 35243
Incorporated by reference from Item 4 of the Cover Page.
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(d) |
Title of Class of Securities:
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Incorporated by reference from the Cover Page.
Incorporated by reference from the Cover Page.
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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:
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Not Applicable.
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(a) |
Amount beneficially owned:
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Incorporated by reference from Item 9 of the Cover Page.
Incorporated by reference from Item 11 of the Cover Page.
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| CUSIP No. 14817C107 |
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13G |
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Page 3 of 5 |
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(c) |
Number of shares as to which such person has:
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(i) |
Sole power to vote or to direct the vote
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Incorporated by reference from Item 5 of the Cover Page.
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(ii) |
Shared power to vote or to direct the vote
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Incorporated by reference from Item 6 of the Cover Page.
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(iii) |
Sole power to dispose or to direct the disposition
of
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Incorporated by reference from Item 7 of the Cover Page.
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(iv) |
Shared power to dispose or to direct the disposition
of
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Incorporated by reference from Item 8 of the Cover Page.
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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 5 percent of the class of securities, check
the following ☒.
| Item 6. |
Ownership of More than Five Percent on Behalf of
Another Person.
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With respect to the beneficial ownership reported for Thomas A.
Satterfield, Jr., 75,000 shares are held by Tomsat
Investment & Trading Co., Inc., a corporation wholly owned
by Mr. Satterfield and of which he serves as President; and
175,000 shares are held by Caldwell Mill Opportunity Fund, which
fund is managed by an entity of which Mr. Satterfield owns a
50% interest and serves as Chief Investment Manager.
Additionally, Mr. Satterfield has a limited power of attorney
for voting and disposition purposes with respect to 150,000 shares
held by A.G. Family L.P., which entity has the right to receive or
the power to direct the receipt of the proceeds from the sale of
its shares.
| Item 7. |
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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Not Applicable.
| Item 8. |
Identification and Classification of Members of the
Group.
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Not Applicable.
| Item 9. |
Notice of Dissolution of Group.
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Not Applicable.
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| CUSIP No. 14817C107 |
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13G |
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Page 4 of 5 |
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. 14817C107 |
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13G |
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Page 5 of 5 |
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.
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February 11, 2021 |
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Date
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| /s/ Thomas
A. Satterfield, Jr. |
| Thomas A. Satterfield, Jr. |
