Amended Statement of Ownership (sc 13g/a)
February 16 2021 - 08:04AM
Edgar (US Regulatory)
UNITED
STATES
SECURITIES AND
EXCHANGE COMMISSION
Washington, D.C.
20549
SCHEDULE
13G
(Rule
13d-102)
Under the Securities Exchange Act of 1934
(Amendment
No. 16) *
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,
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
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
1,532,888
|
6
|
SHARED VOTING
POWER
482,894
|
7
|
SOLE DISPOSITIVE
POWER
1,532,888
|
8
|
SHARED DISPOSITIVE
POWER
482,894
|
9.
|
|
AGGREGATE AMOUNT
BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,015,782
|
10
|
|
CHECK IF THE
AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES (see
instructions) ☐
|
11
|
|
PERCENT OF CLASS
REPRESENTED BY AMOUNT IN ROW (9)
5.6%
|
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: 2,015,782
(b) Percent
of class: 5.6%
(c) Number
of shares as to which the person has:
(i) Sole
power to vote or to direct the vote 1,532,888
(ii) Shared
power to vote or to direct the vote 482,894
(iii) Sole power to dispose or to direct the
disposition of 1,532,888
(iv) Shared power to dispose or to direct the
disposition of 482,894
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 16,
2021
|
|
|
Date
|
|
|
|
|
|
/s/ Remi Barbier
|
|
|
Signature
|
|
|
|
|
|
Remi Barbier,
President, Chief Executive Officer and Chairman of the
Board of Directors
|
|
|
Name and Title
|
|
|
|
|
|
|