-----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, LQehDUm9O/Clu7Xe/f4Mqozubh3FCW3UtpWImntEhPdwqUFifrND+N6TOL5/TszF 3xXNwrBVF4Mtxkj1HSEfMw== 0000950134-02-001046.txt : 20020414 0000950134-02-001046.hdr.sgml : 20020414 ACCESSION NUMBER: 0000950134-02-001046 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20020212 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: INTROGEN THERAPEUTICS INC CENTRAL INDEX KEY: 0001018710 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 742704230 FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-61001 FILM NUMBER: 02535942 BUSINESS ADDRESS: STREET 1: 301 CONGRESS AVE STREET 2: SUITE 1850 CITY: AUSTIN STATE: TX ZIP: 78701 BUSINESS PHONE: 5127089310 MAIL ADDRESS: STREET 1: 301 CONGRESS AVE STREET 2: SUITE 1850 CITY: AUSTIN STATE: TX ZIP: 78701 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: KAPOOR JOHN N CENTRAL INDEX KEY: 0001033150 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 225 EAST DEERPATH RD STREET 2: SUITE 250 CITY: LAKE FOREST STATE: IL ZIP: 60045 BUSINESS PHONE: 7704429707 MAIL ADDRESS: STREET 1: 225 E DEERPATH RD STE 250 CITY: LAKE FOREST STATE: IL ZIP: 60045 SC 13G 1 d94158sc13g.txt SCHEDULE 13G Schedule 13G Page 1 of 4 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO.__)* Introgen Therapeutics, Inc. - -------------------------------------------------------------------------------- (Name of Issuer) Common Stock, $0.001 par value - -------------------------------------------------------------------------------- (Title of Class of Securities) 46119F 10 7 - -------------------------------------------------------------------------------- (CUSIP Number) December 31, 2001 - -------------------------------------------------------------------------------- (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) Schedule 13G Page 2 of 4 CUSIP No. 46119F 10 7 - -------------------------------------------------------------------------------- 1. Names of Reporting Persons. I.R.S. Identification Nos. of above persons (entities only). John N. Kapoor, Ph.D. - -------------------------------------------------------------------------------- 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 citizen - -------------------------------------------------------------------------------- Number of Shares Beneficially 5. Sole Voting Power 88,400 Owned by Each Reporting Person ------------------------------------------------------------- With 6. Shared Voting Power 3,482,955 ------------------------------------------------------------- 7. Sole Dispositive Power 88,400 ------------------------------------------------------------- 8. Shared Dispositive Power 3,482,955 - -------------------------------------------------------------------------------- 9. Aggregate Amount Beneficially Owned by Each Reporting Person 3,571,355 - -------------------------------------------------------------------------------- 10. Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions) - -------------------------------------------------------------------------------- 11. Percent of Class Represented by Amount in Row (9) 16.7% - -------------------------------------------------------------------------------- 12. Type of Reporting Person (See Instructions) IN - -------------------------------------------------------------------------------- Schedule 13G Page 3 of 4 ITEM 1. (a) Introgen Therapeutics, Inc., a Delaware corporation (b) 301 Congress Ave., Suite 1850, Austin, TX 78701 ITEM 2. (a) John N. Kapoor, Ph.D. (b) 225 E. Deerpath Rd., Suite 250, Lake Forest IL 60045 (c) USA (d) Common Stock, par value $0.001 per share (e) 46119F 10 7 ITEM 3. NOT APPLICABLE ITEM 4. OWNERSHIP (a) Amount beneficially owed: 3,571,355 ---------- (b) Percent of class: 16.7% ----- (c) Number of shares as to which the person has: (i) Sole power to vote or to direct the vote 88,400 ------------ (ii) Shared power to vote or to direct the vote 3,482,955 --------------- (iii) Sole power to dispose or to direct the disposition of 88,400 ------------ (iv) Shared power to dispose or to direct the disposition of 3,482,955 --------------- ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS NOT APPLICABLE ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON Reporting Person has the right to receive and the power to direct the receipt of dividends from or the proceeds from the sale of 3,482,955 shares by virtue of his position as the chairman of the board of directors of EJ Financial Enterprises, Inc., and his position as the chairman of the board of directors and president of Pharma Nevada, Inc., which in turn is the general partner of EJ Financial/Introgen Management, L.P. ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY NOT APPLICABLE ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP NOT APPLICABLE ITEM 9. NOTICE OF DISSOLUTION OF GROUP NOT APPLICABLE Schedule 13G Page 4 of 4 ITEM 10. CERTIFICATION (a) Not applicable. (b) Not applicable 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 5, 2002 ------------------------------------------ Date /s/ JOHN N. KAPOOR, PH.D. ------------------------------------------ Signature JOHN N. KAPOOR, PH.D. ------------------------------------------ Name/Title ATTENTION: INTENTIONAL MISSTATEMENTS OR OMISSIONS OF FACT CONSTITUTE FEDERAL CRIMINAL VIOLATIONS (SEE 18 U.S.C. 1001) -----END PRIVACY-ENHANCED MESSAGE-----