Sarepta Thera.htm UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549SCHEDULE 13G
Under the Securities Exchange Act of 1934(Amendment No. 1)*
Sarepta Therapeutics, Inc.
(Name of Issuer)
Common Stock, $0.001 par value per share
(Title of Class of Securities)
803607100
(CUSIP Number)
December 31, 2013
(Date of Event Which Requires Filing of this Statement)
¨ Rule 13d-1(b)
ý 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).
(1)
Names of Reporting Persons.
Richard J. Barry
(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
UNITED STATES
NUMBER OF
SHARES
BENEFICIALLY
OWNED BY EACH
REPORTING
PERSON WITH
(5)
Sole Voting Power
3,081,321
(6)
Shared Voting Power
0
(7)
Sole Dispositive Power
3,081,321
(8)
Shared Dispositive Power
0
(9)
Aggregate Amount Beneficially Owned by Each Reporting Person
3,081,321
(10)
Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)
¨
(11)
Percent of Class Represented by Amount in Row (9)
8.19%
(12)
Type of Reporting Person (See Instructions)
IN
2
Item 1(a). Name of Issuer:
Sarepta Therapeutics, Inc.
Item 1(b). Address of Issuer’s Principal Executive Offices:
215 First Street, Suite 7
Cambridge, MA 02142
Item 2(a). Names of Persons Filing:
Richard J. Barry (“Rick Barry”)
The principal business address of the reporting person is c/o Sean Miot, Conifer Securities, LLC, One Ferry Building, Suite 255, San Francisco, CA 94111.
Item 2(c). Citizenship:
Reference is made to Item 4 of page 2 of this Schedule 13G (this “Schedule”), which Items are incorporated by reference herein.
Item 2(d). Title of Class of Securities:
Common Stock, $.001 par value per share
Item 2(e). CUSIP Number:
803607100
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);
3
¨ (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) Group, in accordance with §240.13d-1(b)(1)(ii)(J).
Item 4. Ownership.
Reference is hereby made to Items 5-9 and 11 of page 2 of this Schedule, which Items are incorporated by reference herein.
The calculation of percentage of beneficial ownership in Item 11 of page 2 was derived from the Issuer’s Quarterly Report on Form 10-Q filed with the Securities and Exchange Commission on November 12, 2013, in which the Issuer stated that the number of shares of its common stock outstanding as of October 31, 2013 was 37,582,309 shares.
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 [ ].
Item 6. Ownership of More than Five Percent on Behalf of Another Person.
Not Applicable.
Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company
Not Applicable.
4
Item 8. Identification and Classification of Members of the Group
Not Applicable.
Item 9. Notice of Dissolution of Group
Not Applicable.
Item 10. Certification
By signing below the undersigned certify that, to the best of their 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.
Signature
After reasonable inquiry and to the best of my knowledge and belief, the undersigned certifies that the information set forth in this statement is true, complete and correct.
Dated: February 13, 2013
By: /s/ Richard J. Barry
Richard J. Barry