-----BEGIN PRIVACY-ENHANCED MESSAGE----- Proc-Type: 2001,MIC-CLEAR Originator-Name: webmaster@www.sec.gov Originator-Key-Asymmetric: MFgwCgYEVQgBAQICAf8DSgAwRwJAW2sNKK9AVtBzYZmr6aGjlWyK3XmZv3dTINen TWSM7vrzLADbmYQaionwg5sDW3P6oaM5D3tdezXMm7z1T+B+twIDAQAB MIC-Info: RSA-MD5,RSA, DivJNxE2Dz2FOKidsChiaoi1RmHbIeN98jCOgMzUAv/XtD1Pra7t5QS0Wti3K27J m2k8yLoOiLcAtmuXleIbOQ== 0001144204-08-050996.txt : 20080903 0001144204-08-050996.hdr.sgml : 20080903 20080903135319 ACCESSION NUMBER: 0001144204-08-050996 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080903 DATE AS OF CHANGE: 20080903 GROUP MEMBERS: SUSAN SMITH SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: RESPONSE GENETICS INC CENTRAL INDEX KEY: 0001124608 STANDARD INDUSTRIAL CLASSIFICATION: IN VITRO & IN VIVO DIAGNOSTIC SUBSTANCES [2835] IRS NUMBER: 000000000 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-83739 FILM NUMBER: 081053489 BUSINESS ADDRESS: STREET 1: 1640 MARENGO ST., STREET 2: 6TH FLOOR CITY: LOS ANGELES, STATE: CA ZIP: 90033 BUSINESS PHONE: (323) 224-3900 MAIL ADDRESS: STREET 1: 1640 MARENGO ST., STREET 2: 6TH FLOOR CITY: LOS ANGELES, STATE: CA ZIP: 90033 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: Smith David Michael CENTRAL INDEX KEY: 0001401906 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: (323) 224-3900 MAIL ADDRESS: STREET 1: C/O RESPONSE GENETICS, INC. STREET 2: 1640 MARENGO ST., 6TH FLOOR CITY: LOS ANGELES STATE: CA ZIP: 90033 SC 13G 1 v125489_sc13g.txt 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(b) (Amendment No. )* Response Genetics, Inc. ----------------------------------------------------------------- (Name of Issuer) Common Stock, $0.01 par value ----------------------------------------------------------------- (Title of Class of Securities) 761230105 ----------------------------------------------------------------- (CUSIP Number) December 31, 2007 ----------------------------------------------------------------- (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) |X| 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. 761230105 13G Page 2 of 7 Pages =================== ================= ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) David M. Smith - -------------------------------------------------------------------------------- 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 ================================================================================ 5 SOLE VOTING POWER NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 1,922,393 EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,922,393 ================================================================================ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,922,393 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 18.77% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN ================================================================================ Page 2 of 7 pages =================== ================= CUSIP NO. 761230105 13G Page 3 of 7 Pages =================== ================= ================================================================================ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) Susan Smith - -------------------------------------------------------------------------------- 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 ================================================================================ 5 SOLE VOTING POWER NUMBER OF SHARES -------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 1,922,393 EACH -------------------------------------------------------- REPORTING 7 SOLE DISPOSITIVE POWER PERSON WITH -------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,922,393 ================================================================================ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,922,393 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* |_| - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 18.77% - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON IN ================================================================================ Page 3 of 7 pages =================== ================= CUSIP NO. 761230105 13G Page 4 of 7 Pages =================== ================= Item 1(a). Name of Issuer: Response Genetics, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 1640 Marengo Street, Los Angeles, CA 90033 Item 2(a). Name of Person Filing: David M. Smith Item 2(b). Address of Principal Business Office or, if None, Residence: 1640 Marengo Street, Los Angeles, CA 90033 Item 2(c). Citizenship: United States Item 2(d). Title of Class of Securities: Common Stock, $0.01 par value Item 2(e). CUSIP Number: 761230105 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: (a) |_| Broker or dealer registered under Section 15 of the Exchange Act. (b) |_| Bank as defined in Section 3(a)(6) of the Exchange Act. (c) |_| Insurance company as defined in Section 3(a)(19) of the Exchange Act. (d) |_| Investment company registered under Section 8 of the Investment Company Act. (e) |_| An investment adviser in accordance with Rule 13d-1(b)(1)(ii)(E). (f) |_| An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F). (g) |_| A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G). (h) |_| A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act. Page 4 of 7 Pages =================== ================= CUSIP NO. 761230105 13G Page 5 of 7 Pages =================== ================= (i) |_| A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act. (j) |_| Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. |_| Item 4. Ownership (i) David Smith (a) Amount beneficially owned:1,922,393 Includes 536,164 shares of common stock owned by his mother, Susan Smith, as to which Mr. Smith disclaims beneficial ownership. (b) Percent of class: 18.77% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 1,922,393 (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 1,922,393 (ii) Susan Smith (a) Amount beneficially owned: 1,922,393 Includes 1,386,229 shares of common stock owned by her son, David M. Smith, as to which Mrs. Smith disclaims beneficial ownership. (b) Percent of class: 18.77% (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: 0 (ii) shared power to vote or to direct the vote: 1,922,393 (iii) sole power to dispose or to direct the disposition of: 0 (iv) shared power to dispose or to direct the disposition of: 1,922,393 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 |_|. Page 5 of 7 Pages =================== ================= CUSIP NO. 761230105 13G Page 6 of 7 Pages =================== ================= Item 6. Ownership of More than Five Percent on Behalf of Another Person N/A Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on by the Parent Holding Company N/A Item 8. Identification and Classification of Members of the Group N/A Item 9. Notice of Dissolution of Group N/A Item 10. Certification By signing below each of the undersigned certifies that, to the best of his/her 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. Page 6 of 7 Pages =================== ================= CUSIP NO. 761230105 13G Page 7 of 7 Pages =================== ================= 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. Date: August 28, 2008 /s/ David M. Smith -------------------------------- David M. Smith Date: August 28, 2008 /s/ Susan Smith -------------------------------- Susan Smith Page 7 of 7 Pages -----END PRIVACY-ENHANCED MESSAGE-----