-----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, NK807nfOex8KVXQ+OmNspMU12a2jwT6lG7LI9Cy+NjuY4Pd95oHeoUQ7ooCSOANJ cQxdxBvqTaL4IeepVzh0Rg== 0000950134-06-002521.txt : 20060210 0000950134-06-002521.hdr.sgml : 20060210 20060210164837 ACCESSION NUMBER: 0000950134-06-002521 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20060210 DATE AS OF CHANGE: 20060210 GROUP MEMBERS: PINEHURST INVESTMENT PARTNERS GROUP MEMBERS: RAINBOW FUTURES PARTNERS LTD GROUP MEMBERS: RAINBOW INVESTORS GROUP MEMBERS: RAINBOW TRADING CORPORATION GROUP MEMBERS: RAINBOW TRADING SYSTEMS INC GROUP MEMBERS: STINGRAY PARTNERS FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FINNEY STANFORD C JR CENTRAL INDEX KEY: 0001267266 FILING VALUES: FORM TYPE: SC 13G/A MAIL ADDRESS: STREET 1: C/O GENITOPE CORP STREET 2: 525 PENOBSCOT DRIVE CITY: REDWOOD CITY STATE: CA ZIP: 94063 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENITOPE CORP CENTRAL INDEX KEY: 0001028358 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 770436313 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79329 FILM NUMBER: 06599310 BUSINESS ADDRESS: STREET 1: 525 PENOBSCOT DR CITY: REDWOOD CITY STATE: CA ZIP: 94063 BUSINESS PHONE: 6504822000 MAIL ADDRESS: STREET 1: 525 PENOBSCOT DR CITY: REDWOOD CITY STATE: CA ZIP: 94063 SC 13G/A 1 f17274a2sc13gza.htm AMENDMENT TO SCHEDULE 13G sc13gza
 

     
 
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934
(Amendment No. 2)*

GENITOPE CORPORATION
(Name of Issuer)
Common Stock, par value $0.001 per share
(Title of Class of Securities)
37229P 50 7
(CUSIP Number)
December 31, 2005
(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

     o Rule 13d-1(b)

     o Rule 13d-1(c)

     þ 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).

Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.

 
 


 

                     
CUSIP No.
 
37229P 50 7 
  Page  
  of   
13 

 

           
1   NAMES OF REPORTING PERSONS:
Stanford C. Finney, Jr.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (SEE INSTRUCTIONS):

  (a)   o
  (b)   þ
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  USA
       
  5   SOLE VOTING POWER:
     
NUMBER OF   2,110,527
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   2,110,527
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  2,110,5271
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  7.4%
     
12   TYPE OF REPORTING PERSON* (SEE INSTRUCTIONS):
   
  IN
     *SEE INSTRUCTIONS BEFORE FILLING OUT!
 
1   Stanford C. Finney, Jr. has sole voting power with regard to 2,110,527 shares of Common Stock he beneficially owns which includes: (1) 230,000 shares of Common Stock beneficially owned by Rainbow Futures Partners, Ltd., of which Rainbow Trading Corporation is the general partner, of which Mr. Finney is the President; (2) 353,121 shares of Common Stock beneficially owned by Rainbow Investors, of which Mr. Finney is a general partner; (3) 357,193 shares of Common Stock beneficially owned by Rainbow Trading Corporation, of which Mr. Finney is the President; (4) 345,503 shares of Common Stock beneficially owned by Rainbow Trading Systems, Inc. of which Mr. Finney is the President; (5) 23,000 shares of Common Stock beneficially owned by Stingray Partners, of which Mr. Finney is a general partner; (6) 20,000 shares of Common Stock beneficially owned by Pinehurst Investment Partners, of which Mr. Finney is a general partner; (7) 486,350 shares of Common Stock owned by Mr. Finney in his individual capacity, (8) 259,333 shares of Common Stock issuable to Mr. Finney upon the exercise of an outstanding warrant; and (9) 36,027 shares of Common Stock issuable to Mr. Finney upon the exercise of outstanding vested options.

 


 

                     
CUSIP No.
 
37229P 50 7 
  Page  
  of   
13 

 

           
1   NAMES OF REPORTING PERSONS:
Rainbow Futures Partners, Ltd.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (SEE INSTRUCTIONS):

  (a)   o
  (b)   þ
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   230,000
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   230,000
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  230,000
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  0.8%
     
12   TYPE OF REPORTING PERSON* (SEE INSTRUCTIONS):
   
  PN
     *SEE INSTRUCTIONS BEFORE FILLING OUT!


 

                     
CUSIP No.
 
37229P 50 7 
  Page  
  of   
13 

 

           
1   NAMES OF REPORTING PERSONS:
Rainbow Investors
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (SEE INSTRUCTIONS):

  (a)   o
  (b)   þ
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   353,121
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   353,121
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  353,121
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  1.2%
     
12   TYPE OF REPORTING PERSON* (SEE INSTRUCTIONS):
   
  PN
     *SEE INSTRUCTIONS BEFORE FILLING OUT!

 


 

                     
CUSIP No.
 
37229P 50 7 
  Page  
  of   
13 

 

           
1   NAMES OF REPORTING PERSONS:
Rainbow Trading Corporation
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (SEE INSTRUCTIONS):

  (a)   o
  (b)   þ
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   587,193
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   587,193
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  587,1932
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  2.1%
     
12   TYPE OF REPORTING PERSON* (SEE INSTRUCTIONS):
   
  CO
     *SEE INSTRUCTIONS BEFORE FILLING OUT!
 
2   Rainbow Trading Corporation has sole voting and dispositive power with regard to 587,193 shares of Common Stock it beneficially owns which includes: (1) 230,000 shares of Common Stock beneficially owned by Rainbow Futures Partners, Ltd., of which Rainbow Trading Corporation is the general partner and (2) 357,193 shares of Common Stock which it owns directly.

 


 

                     
CUSIP No.
 
37229P 50 7 
  Page  
  of   
13 

 

           
1   NAMES OF REPORTING PERSONS:
Rainbow Trading Systems, Inc.
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (SEE INSTRUCTIONS):

  (a)   o
  (b)   þ
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   345,503
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   345,503
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  345,503
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  1.2%
     
12   TYPE OF REPORTING PERSON* (SEE INSTRUCTIONS):
   
  CO
     *SEE INSTRUCTIONS BEFORE FILLING OUT!

 


 

                     
CUSIP No.
 
37229P 50 7 
  Page  
  of   
13 

 

           
1   NAMES OF REPORTING PERSONS:
Stingray Partners
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (SEE INSTRUCTIONS):

  (a)   o
  (b)   þ
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   23,000
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   23,000
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  23,000
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  0.1%
     
12   TYPE OF REPORTING PERSON* (SEE INSTRUCTIONS):
   
  PN
     *SEE INSTRUCTIONS BEFORE FILLING OUT!

 


 

                     
CUSIP No.
 
37229P 50 7 
  Page  
  of   
13 

 

           
1   NAMES OF REPORTING PERSONS:
Pinehurst Investment Partners
   
  I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY): 
   
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (SEE INSTRUCTIONS):

  (a)   o
  (b)   þ
     
3   SEC USE ONLY:
   
   
     
4   CITIZENSHIP OR PLACE OF ORGANIZATION:
   
  Texas
       
  5   SOLE VOTING POWER:
     
NUMBER OF   20,000
       
SHARES 6   SHARED VOTING POWER:
BENEFICIALLY    
OWNED BY   0
       
EACH 7   SOLE DISPOSITIVE POWER:
REPORTING    
PERSON   20,000
       
WITH: 8   SHARED DISPOSITIVE POWER:
     
    0
     
9   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON:
   
  20,0003
     
10   CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* (SEE INSTRUCTIONS):
   
  o
     
11   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9):
   
  0.1%
     
12   TYPE OF REPORTING PERSON* (SEE INSTRUCTIONS):
   
  PN
     *SEE INSTRUCTIONS BEFORE FILLING OUT!
 
3   Represents shares remaining after pro rata partnership distribution of 27,724 shares, of which 11,362 shares were distributed to Stanford C. Finney, Jr.

 


 

STATEMENT ON SCHEDULE 13G
     
Item 1(a).
  Name of Issuer:
 
   
 
  Genitope Corporation
 
   
Item 1(b).
  Address of Issuer’s Principal Executive Offices:
 
   
 
  527 Penobscot Drive, Redwood City, CA 94063
 
   
Item 2(a).
  Names of Person Filing:
 
   
 
  Stanford C. Finney, Jr.
 
  Rainbow Futures Partners, Ltd.
 
  Rainbow Investors
 
  Rainbow Trading Corporation
 
  Rainbow Trading Systems, Inc.
 
  Stingray Partners
 
  Pinehurst Investment Partners
 
   
Item 2(b).
  Business Mailing Address for the Person Filing:
 
   
 
  c/o Spyglass Trading LP
 
  8201 Preston Road, LB21, Ste. 440
 
  Dallas, TX 75225
 
   
Item 2(c).
  Citizenship:
 
   
 
  Stanford C. Finney, Jr. is a citizen of the United States of America.
 
  Rainbow Futures Partners, Ltd. is a Texas limited partnership.
 
  Rainbow Investors is a Texas general partnership.
 
  Rainbow Trading Corporation is a Texas corporation.
 
  Rainbow Trading Systems, Inc. is a Texas corporation.
 
  Stingray Partners is a Texas general partnership.
 
  Pinehurst Investment Partners is a Texas general partnership.
 
   
Item 2(d).
  Title of Class of Securities:
 
   
 
  Common Stock, $0.001 par value per share (the “Common Stock”) of the Issuer.
 
   
Item 2(e).
  CUSIP Number:
 
   
 
  37229P 50 7
 
   
Item 3.
  If this statement is filed pursuant to Rules 13d-1(b), or 13d-2(b), check whether the person filing is a:
 
   
 
  Not Applicable
         
 
       
Item 4.   Ownership:
 
       
 
  (a)   Amount Beneficially Owned:
 
       
 
      The description of ownership set forth in Cover Sheet Box 9 is incorporated herein by reference for the following reporting persons:

 


 

         
 
      Stanford C. Finney, Jr.
 
      Rainbow Futures Partners, Ltd.
 
      Rainbow Investors
 
      Rainbow Trading Corporation
 
      Rainbow Trading Systems, Inc.
 
      Stingray Partners
 
      Pinehurst Investment Partners
 
       
 
  (b)   Percent of Class Owned:
 
       
 
      The description of percent of class set forth in Cover Sheet Box 11 is incorporated herein by reference for the following reporting persons:
 
       
 
      Stanford C. Finney, Jr.
 
      Rainbow Futures Partners, Ltd.
 
      Rainbow Investors
 
      Rainbow Trading Corporation
 
      Rainbow Trading Systems, Inc.
 
      Stingray Partners
 
      Pinehurst Investment Partners
 
       
 
  (c)   Number of shares as to which such person has:
 
       
 
      (i)     sole power to vote or to direct the vote:
 
       
 
      The description of the number of shares subject to sole voting power set forth in Cover Sheet Box 5 is incorporated herein by reference for the following reporting persons:
 
       
 
      Stanford C. Finney, Jr.
 
      Rainbow Futures Partners, Ltd.
 
      Rainbow Investors
 
      Rainbow Trading Corporation
 
      Rainbow Trading Systems, Inc.
 
      Stingray Partners
 
      Pinehurst Investment Partners

 


 

         
 
      (ii)     shared power to vote or to direct the vote:
 
       
 
      The description of the number of shares subject to shared voting power set forth in Cover Sheet Box 6 is incorporated herein by reference for the following reporting persons:
 
       
 
      Stanford C. Finney, Jr.
 
      Rainbow Futures Partners, Ltd.
 
      Rainbow Investors
 
      Rainbow Trading Corporation
 
      Rainbow Trading Systems, Inc.
 
      Stingray Partners
 
      Pinehurst Investment Partners
 
       
 
      (iii)     sole power to dispose or to direct the disposition of:
 
       
 
      The description of the number of shares subject to sole dispositive power set forth in Cover Sheet Box 7 is incorporated herein by reference for the following reporting persons:
 
       
 
      Stanford C. Finney, Jr.
 
      Rainbow Futures Partners, Ltd.
 
      Rainbow Investors
 
      Rainbow Trading Corporation
 
      Rainbow Trading Systems, Inc.
 
      Stingray Partners
 
      Pinehurst Investment Partners
 
       
 
      (iv) shared power to dispose or to direct the disposition of:
 
       
 
      The description of the number of shares subject to shared dispositive power set forth in Cover Sheet Box 8 is incorporated herein by reference for the following reporting persons:
 
       
 
      Stanford C. Finney, Jr.
 
      Rainbow Futures Partners, Ltd.
 
      Rainbow Investors
 
      Rainbow Trading Corporation
 
      Rainbow Trading Systems, Inc.
 
      Stingray Partners
 
      Pinehurst Investment Partners
     
 
   
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:
 
   
 
  Not Applicable.

 


 

     
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
 
   
Item 10.
  Certification:
 
   
 
  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. 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.
         
 
       
 
  February 9, 2006    
 
       
 
  (Date)              
 
       
 
  Stanford C. Finney, Jr.    
 
       
 
  /s/ Stanford C. Finney, Jr.    
 
       
 
  Stanford C. Finney, Jr.    
 
       
 
       
 
  Rainbow Futures Partners, Ltd.    
 
       
 
  By: Rainbow Trading Corporation
Its General Partner
   
 
       
 
       
 
  By: Stanford C. Finney, Jr.    
 
       
 
  Name: Stanford C. Finney, Jr.    
 
  Title: President    

 


 

         
 
  Rainbow Investors    
 
       
 
  By: /s/ Stanford C. Finney, Jr.    
 
       
 
  Name: Stanford C. Finney, Jr.
Title: General Partner
   
 
       
 
  Rainbow Trading Corporation    
 
       
 
  By: /s/ Stanford C. Finney, Jr.    
 
       
 
  Name: Stanford C. Finney, Jr.
Title: President
   
 
       
 
  Rainbow Trading Systems, Inc.    
 
       
 
  By: /s/ Stanford C. Finney, Jr.    
 
       
 
  Name: Stanford C. Finney, Jr.
Title: President
   
 
       
 
  Stingray Partners    
 
       
 
  By: /s/ Stanford C. Finney, Jr.    
 
       
 
  Name: Stanford C. Finney, Jr.
Title: General Partner
   
 
       
 
  Pinehurst Investment Partners    
 
       
 
  By: /s/ Stanford C. Finney, Jr.    
 
       
 
  Name: Stanford C. Finney, Jr.
Title: General Partner
   

 

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