Amended Statement of Ownership (sc 13g/a)
February 11 2021 - 5:10PM
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)
|
*
|
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 (“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. 14817C107
|
|
13G
|
|
Page 1 of 5
|
|
|
|
|
|
|
|
|
|
1.
|
|
NAMES OF REPORTING PERSONS
Thomas A. Satterfield, Jr.
|
|
2.
|
|
CHECK THE APPROPRIATE BOX
IF A MEMBER OF A GROUP
(a) ☐ (b) ☐
|
|
3.
|
|
SEC USE ONLY
|
|
4.
|
|
CITIZENSHIP OR PLACE OF
ORGANIZATION
United States of
America
|
|
|
|
|
|
|
|
|
|
NUMBER OF SHARES
BENEFICIALLY OWNED BY EACH REPORTING
PERSON
WITH
|
|
5.
|
|
SOLE VOTING POWER
50,000
|
|
|
6.
|
|
SHARED VOTING POWER
400,000
|
|
|
7.
|
|
SOLE DISPOSITIVE POWER
50,000
|
|
|
8.
|
|
SHARED DISPOSITIVE POWER
400,000
|
|
|
|
|
|
|
|
|
|
9.
|
|
AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
450,000
|
|
10.
|
|
CHECK BOX IF THE AGGREGATE
AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES
☐
|
|
11.
|
|
PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW 9
1.8%*
|
|
12.
|
|
TYPE OF REPORTING
PERSON
IN
|
|
*
|
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.
|
|
|
|
|
|
|
|
CUSIP No. 14817C107
|
|
13G
|
|
Page 2 of 5
|
SCHEDULE 13G
Cassava Sciences, Inc.
|
|
(b)
|
Address of Issuer’s Principal Executive Offices:
|
7801 N. Capital of Texas Highway, Suite 260
Austin, Texas 78731
|
|
(a)
|
Name of Person Filing:
|
Thomas A. Satterfield, Jr.
|
|
(b)
|
Address of Principal Business Office or, if none, Residence:
|
Thomas A. Satterfield, Jr.
2609
Caldwell Mill Lane
Birmingham, Alabama 35243
Incorporated by reference from Item 4 of the Cover Page.
|
|
(d)
|
Title of Class of Securities:
|
Incorporated by reference from the Cover Page.
Incorporated by reference from the Cover Page.
|
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.
|
|
(a)
|
Amount beneficially owned:
|
Incorporated by reference from Item 9 of the Cover Page.
Incorporated by reference from Item 11 of the Cover Page.
|
|
|
|
|
|
|
CUSIP No. 14817C107
|
|
13G
|
|
Page 3 of 5
|
|
|
(c)
|
Number of shares as to which such person has:
|
|
|
(i)
|
Sole power to vote or to direct the vote
|
Incorporated by reference from Item 5 of the Cover Page.
|
|
(ii)
|
Shared power to vote or to direct the vote
|
Incorporated by reference from Item 6 of the Cover Page.
|
|
(iii)
|
Sole power to dispose or to direct the disposition of
|
Incorporated by reference from Item 7 of the Cover Page.
|
|
(iv)
|
Shared power to dispose or to direct the disposition of
|
Incorporated by reference from Item 8 of the Cover Page.
|
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 5 percent of the class of securities, check the following ☒.
|
Item 6.
|
Ownership of More than Five Percent on Behalf of Another Person.
|
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.
|
Not Applicable.
|
Item 8.
|
Identification and Classification of Members of the Group.
|
Not Applicable.
|
Item 9.
|
Notice of Dissolution of Group.
|
Not Applicable.
|
|
|
|
|
|
|
CUSIP No. 14817C107
|
|
13G
|
|
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.
|
|
|
|
|
|
|
CUSIP No. 14817C107
|
|
13G
|
|
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.
|
|
|
February 11, 2021
|
|
Date
|
|
|
|
/s/ Thomas A. Satterfield, Jr.
|
|
Thomas A. Satterfield, Jr.
|
Cassava Sciences (NASDAQ:SAVA)
Historical Stock Chart
From Mar 2024 to Apr 2024
Cassava Sciences (NASDAQ:SAVA)
Historical Stock Chart
From Apr 2023 to Apr 2024
