13G Filing: Visium Asset Management and Sage Therapeutics, Inc. (SAGE)

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Page 6 of 11 SEC Filing


CUSIP No. 78667J108 Page
6
of 11 Pages
Item 3 If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b) or (c), check whether the person filing is a:
¨ Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
¨ Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).
¨ Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).
¨ Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C 1,561,899a-8).
x An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);*
¨ An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);
x A parent holding company or control person in accordance with § 240.13d-1(b)(1)(ii)(G);*
¨ A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);
¨ 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. 1,561,899a-3);
¨ Group, in accordance with §240.13d-1(b)(1)(ii)(J).
* VAM is an investment adviser as described above and JG Asset and Gottlieb are each a parent holding company or control person as described above.
Item 4 Ownership:

VAM

(a) Amount Beneficially Owned:

By virtue of its position as investment
manager to pooled investment vehicles, VAM may be deemed to beneficially own the 1,893,009 shares of the Companys Common Stock beneficially owned by the pooled investment vehicle.

(b) Percent of Class:

5.9%

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