-----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, Jg4q3EEGqPAeMCMPnOZAUd4iWhM5UdV703kk4DohRsl6v4SBpI73XgJBw/AGdXQJ aLe4hpC7x3hPdOKGXS2/PQ== 0000936392-04-000142.txt : 20040213 0000936392-04-000142.hdr.sgml : 20040213 20040213150155 ACCESSION NUMBER: 0000936392-04-000142 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20040213 GROUP MEMBERS: DONALD L. MORTON FAMILY TRUST GROUP MEMBERS: DONALD L. MORTON, M.D., GRANTOR RETAINED ANNUITY TRUST GROUP MEMBERS: ONCOVAC, INC., A CALIFORNIA CORPORATION SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: CANCERVAX CORP CENTRAL INDEX KEY: 0001131907 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 522243564 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-79337 FILM NUMBER: 04598095 BUSINESS ADDRESS: STREET 1: 2110 RUTHERFORD STREET 2: ROAD CITY: CARLSBAD STATE: CA ZIP: 92008 BUSINESS PHONE: 7604944200 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MORTON DONALD L CENTRAL INDEX KEY: 0001265799 FILING VALUES: FORM TYPE: SC 13G MAIL ADDRESS: STREET 1: C/O CANCER VAX CORP STREET 2: 2110 RUTHERFORD ROAD CITY: CARLSBAD STATE: CA ZIP: 92008 SC 13G 1 a96528sc13g.txt SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. __) CANCERVAX CORPORATION (Name of Issuer) COMMON STOCK, PAR VALUE $0.00004 PER SHARE (Title of Class of Securities) 13738Y107 (CUSIP Number) DECEMBER 31, 2003 (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) [X] Rule 13d-1(c) [ ] Rule 13d-1(d) - --------------------------------- -------------------------- CUSIP No. 13738Y108 13G Page 2 of 10 Pages - --------------------------------- -------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) DONALD L. MORTON, M.D. - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION UNITED STATES - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 4,461,633 SHARES -------------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY 719,849 (1) -------------------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER 4,461,633 REPORTING -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON WITH 719,849 (1) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,181,482 (1) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ] EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.4% (2) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Shares owned by Donald L. Morton, M.D., Grantor Retained Annuity Trust, dated September 6, 2002, for which Dr. Morton disclaims beneficial ownership. (2) Based on 26,675,374 shares of common stock outstanding. - --------------------------------- -------------------------- CUSIP No. 13738Y108 13G Page 3 of 10 Pages - --------------------------------- -------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) DONALD L. MORTON FAMILY TRUST DATED JUNE 2, 1989, DONALD L. MORTON TRUSTEE - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA, UNITED STATES - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 4,461,633 SHARES -------------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY 719,849 (1) -------------------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER 4,461,633 REPORTING -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON WITH 719,849 (1) - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 5,181,482 (1) - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ] EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 19.4 % (2) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Shares owned by Donald L. Morton, M.D., Grantor Retained Annuity Trust, dated September 6, 2002, for which the Reporting Person disclaims beneficial ownership. (2) Based on 26,675,374 shares of common stock outstanding. - --------------------------------- -------------------------- CUSIP No. 13738Y108 13G Page 4 of 10 Pages - --------------------------------- -------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) ONCOVAC, INC., A CALIFORNIA CORPORATION - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA, UNITED STATES - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 98,814 SHARES -------------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY NONE -------------------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER 98,814 REPORTING -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON WITH NONE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 98,814 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ] EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) .4 % (1) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* CO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Based on 26,675,374 shares of common stock outstanding. - --------------------------------- -------------------------- CUSIP No. 13738Y108 13G Page 5 of 10 Pages - --------------------------------- -------------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) DONALD L. MORTON, M.D., GRANTOR RETAINED ANNUITY TRUST DATED SEPTEMBER 6, 2002 - -------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF MEMBER OF A GROUP* (a) [ ] (b) [ ] - -------------------------------------------------------------------------------- 3 SEC USE ONLY - -------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION CALIFORNIA, UNITED STATES - -------------------------------------------------------------------------------- NUMBER OF 5 SOLE VOTING POWER 719,849 SHARES -------------------------------------------------------------- 6 SHARED VOTING POWER BENEFICIALLY NONE -------------------------------------------------------------- OWNED BY EACH 7 SOLE DISPOSITIVE POWER 719,849 REPORTING -------------------------------------------------------------- 8 SHARED DISPOSITIVE POWER PERSON WITH NONE - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 719,849 - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) [ ] EXCLUDES CERTAIN SHARES* - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 2.7 % (1) - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! (1) Shares owned by Donald L. Morton, M.D., Grantor Retained Annuity Trust, dated September 6, 2002, for which the Reporting Person disclaims beneficial ownership. (2) Based on 26,675,374 shares of common stock outstanding. CUSIP No. 13738Y107 ITEM 1(a). NAME OF ISSUER: CancerVax Corporation ITEM 1(b). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: 2110 Rutherford Road, Carlsbad, California 92008 ITEM 2(a). NAME OF PERSON FILING: This Schedule 13G is being filed by the following persons: (i) Donald L. Morton, M.D. (ii) Donald L. Morton Family Trust dated June 2, 1989 (iii) Donald L. Morton, M.D., Grantor Retained Annuity Trust dated September 6, 2002 (iv) OncoVac, Inc, a California corporation ITEM 2(b). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE: (i) Donald L. Morton, M.D. c/o Valensi, Rose & Magaram 2029 Century Park East, Suite 2050 Los Angeles, CA 90067 (ii) Donald L. Morton Family Trust dated June 2, 1989 c/o Valensi, Rose & Magaram 2029 Century Park East, Suite 2050 Los Angeles, CA 90067 (iii) Donald L. Morton, M.D., Grantor Retained Annuity Trust c/o Valensi, Rose & Magaram 2029 Century Park East, Suite 2050 Los Angeles, CA 90067 (iv) OncoVac, Inc. c/o Valensi, Rose & Magaram 2029 Century Park East, Suite 2050 Los Angeles, CA 90067 ITEM 2(c). CITIZENSHIP: Donald L. Morton is a United States citizen; Donald L. Morton Family Trust dated June 2, 1989 is a trust organized under the laws of the state of California; Donald L. Morton, M.D., Grantor Retained Annuity Trust is a trust organized under the laws of the state of California; and OncoVac, Inc. is a corporation organized under the laws of the state of California. 6 ITEM 2(d). TITLE OF CLASS OF SECURITIES: Common Stock, Par Value $0.00004 Per Share ITEM 2(e). CUSIP NUMBER: 13738Y107 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; (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). This statement is being filed jointly by the Reporting Persons, although each of them expressly disaffirms membership in any group under Rule 13d-5 of the Exchange Act. ITEM 4. OWNERSHIP. (a) Amount Beneficially Owned: Donald L. Morton, M.D. is the grantor and sole current beneficiary of the Donald L. Morton Family Trust, a revocable trust, which is the record holder of 4,362,819 shares. The Donald L. Morton Family Trust is the sole stockholder of OncoVac, Inc., which is the record holder of 98,814 shares. Donald L. Morton, through such entities, may be deemed the beneficial owner of 4,362,819 shares of the common stock of the Issuer. Donald L. Morton is the grantor of the Donald L. Morton, M.D., Grantor Retained Annuity Trust, which is the record holder of 719,849 shares. By virtue of the relationships among these shareholders, Donald L. Morton may by deemed to own beneficially all of the shares. Each of the reporting persons expressly disclaims beneficial ownership, except to the extent of its pecuniary interest therein, if any, and except in the case of Donald L. Morton, M.D. and the Donald L. Morton Family Trust as to the shares held of record by the Donald L. Morton Family Trust and OncoVac, Inc. 7 (b) Percent of Class: Name No. of Shares Percent of Class Donald L. Morton, M.D. 5,181,482 19.4% Donald L. Morton Family Trust 5,181,482 19.4% OncoVac, Inc. 98,814 .4% Donald L. Morton, M.D. GRAT 719,849 2.7% The foregoing percentages are based upon 26,675,374 shares outstanding, as reflected on the Issuer's Form 10Q for the Quarter ended September 30, 2003, unless based on more recent information obtained directly from the Issuer (with beneficial ownership determined as set forth in Rule 13d-3 under the Exchange Act, but with beneficial ownership being expressly disclaimed). (c) Number of shares as to which such person has: (i) Sole power to vote or to direct the vote: Donald L. Morton 4,362,819 Donald L. Morton Family Trust 4,362,819 OncoVac, Inc. 98,814 Donald L. Morton, M.D. Grantor Retained Annuity Trust 719,849 (ii) Shared power to vote or to direct the vote: Donald L. Morton and Donald L. Morton Family Trust 719,849 (1) (iii) Sole power to dispose or to direct the disposition of: Donald L. Morton 4,362,819 Donald L. Morton Family Trust 4,362,819 OncoVac, Inc. 98,814 Donald L. Morton, M.D. Grantor Retained Annuity Trust 719,849 (iv) Shared power to dispose or to direct the disposition of: Donald L. Morton and Donald L. Morton Family Trust 719,849 (1) 8 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 OR CONTROL PERSON. Not Applicable ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. Not Applicable ITEM 9. NOTICE OF DISSOLUTION OF GROUP. Not Applicable. The reporting persons expressly disclaim membership in a "group" as defined in Rule 13d-1(b)(ii)(J). ITEM 10. CERTIFICATIONS. By signing below, the undersigned certify that, to the best of their 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. - -------------- (1) Shares owned by Donald L. Morton, M.D., Grantor Retained Annuity Trust, dated September 6, 2002, for which the Reporting Person disclaims beneficial ownership. 9 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. Dated: February 13, 2004 By: /s/ DONALD L. MORTON, M.D. -------------------------- Donald L. Morton, M.D. DONALD L. MORTON FAMILY TRUST /s/ DONALD L. MORTON, M.D. -------------------------- By: Donald L. Morton, M.D. Title: Trustee ONCOVAC, INC., A California corporation /s/ DONALD L. MORTON, M.D. -------------------------- By: Donald L. Morton, M.D. Title: President DONALD L. MORTON, M.D., GRANTOR RETAINED ANNUITY TRUST /s/ DONALD L. MORTON, M.D. -------------------------- By: Donald L. Morton, M.D. Title: Trustee 10 -----END PRIVACY-ENHANCED MESSAGE-----