-----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, OLx5HAzdti2IiXRev9amS/qbN8yBjrAjeAyD5aX4/oj6igjIjg11BDyFj4DpAc3m 0aCC3Y3Ql33t+qeFje36Ag== 0000950123-08-009036.txt : 20080807 0000950123-08-009036.hdr.sgml : 20080807 20080807145651 ACCESSION NUMBER: 0000950123-08-009036 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20080807 DATE AS OF CHANGE: 20080807 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: MARSHALL EDWARDS INC CENTRAL INDEX KEY: 0001262104 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 510407811 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-79594 FILM NUMBER: 08998117 BUSINESS ADDRESS: STREET 1: 140 WICKS RD. CITY: NORTH RYDE STATE: C3 ZIP: NSW 2113 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: NOVOGEN LTD CENTRAL INDEX KEY: 0001075880 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 140 WICKS RD STREET 2: NORTH RYDE CITY: NEW SOUTH WALES 2113 STATE: C3 ZIP: 2113 BUSINESS PHONE: 01161298780088 MAIL ADDRESS: STREET 1: 107 NORTH RYDE CITY: SYDNEY STATE: C3 ZIP: 1670 SC 13D 1 y64967sc13d.htm SCHEDULE 13D SC 13D
 
 
UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
MARSHALL EDWARDS, INC.
 
(Name of Issuer)
Common Stock, par value $0.00000002 per share
 
(Title of Class of Securities)
572322303
 
(CUSIP Number)
David Seaton
Chief Financial Officer
Novogen Limited
140 Wicks Road
North Ryde, NSW 2113
Australia
(011) 61-2-8877-6196
 
(Name, Address and Telephone Number of Person
Authorized to Receive Notices and Communications)
July 28, 2008
 
(Date of Event Which Requires Filing of This Statement)
     If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(e), 13d-1(f) or 13d-1(g), check the following box. o
 
 

 


 

                     
CUSIP No.
 
572322303 
13D

 

           
1   NAME OF REPORTING PERSONS
I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY)

Novogen Limited                EIN:
     
     
2   CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP

  (a)   o 
  (b)   o 
     
3   SEC USE ONLY
   
   
     
4   SOURCE OF FUNDS
   
  WC
     
5   CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO ITEM 2(d) OR 2(e)
   
  o
     
6   CITIZENSHIP OR PLACE OF ORGANIZATION
   
  Novogen Limited is organized under the laws of Australia
       
  7   SOLE VOTING POWER
     
NUMBER OF   52,408,295
       
SHARES 8   SHARED VOTING POWER
BENEFICIALLY    
OWNED BY   0
       
EACH 9   SOLE DISPOSITIVE POWER
REPORTING    
PERSON   52,408,295
       
WITH 10   SHARED DISPOSITIVE POWER
     
    0
     
11   AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
   
  52,408,295
     
12   CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
   
  o
     
13   PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
   
  71.3%
     
14   TYPE OF REPORTING PERSON
   
  CO


 

Item 1. Security and Issuer
     This Schedule 13D relates to the common stock, par value $0.00000002 per share (“Common Stock”), of Marshall Edwards, Inc., a corporation organized under the laws of the State of Delaware (the “Company”). The principal executive office of the Company is located at 140 Wicks Road, North Ryde NSW 2113, Australia. Information given in response to each item below shall be deemed incorporated by reference in all other items below.
Item 2. Identity and Background
     (a) This Schedule 13D is being filed by Novogen Limited. (“Novogen”).
     (b) The principal business address and principal office address of Novogen is 140 Wicks Road, North Ryde NSW 2113, Australia. Novogen is biotechnology company specializing in the development of therapeutics based on a flavonoid technology platform.
     (c) Attached as Schedule A is the name, principal occupation, business address and citizenship of each executive officer and/or director of Novogen. Schedule A is incorporated into and made a part of this Schedule 13D.
     (d) During the last five years, neither Novogen nor any person listed on Schedule A has been convicted in a criminal proceeding (excluding traffic violations or similar misdemeanors).
     (e) During the last five years, neither Novogen nor any person listed on Schedule A has been a party to a civil proceeding of a judicial or administrative body of competent jurisdiction and as a result of such proceeding was or is subject to a judgment, decree or final order enjoining future violations of, or prohibiting or mandating activities subject to, federal or state securities laws or finding any violation with respect to such laws.
     (f) Novogen is organized under the laws of Australia. Schedule A sets forth the citizenship of each executive officer and/or director of Novogen.
Item 3. Source and Amount of Funds or Other Consideration
     Novogen utilized available cash assets to acquire beneficial ownership of the 52,408,295 shares of Common Stock reported herein. Funds for the purchase of beneficial ownership of such shares of Common Stock were derived from general working capital
Item 4. Purposes of Transactions
     The Company was formed as a wholly-owned subsidiary of Novogen in 2000.
     In May 2002, the Company sold 2,523,000 shares of Common Stock and warrants exercisable for 2,523,000 shares of Common Stock in a private placement. Following the sale, Novogen held 95.1% of the Company’s outstanding shares of Common Stock.
     In December 2003, the Company consummated its initial public offering (the “IPO”) in the U.S. selling 2,392,000 shares of Common Stock and warrants exercisable for 2,392,000 shares of Common Stock. Following the IPO, Novogen held 86.9% of the Company’s outstanding shares of Common Stock.
     In July 2006, the Company consummated a private placement selling 6,329,311 shares of

 


 

Common Stock and warrants exercisable for 2,215,258 shares of Common Stock. Following this placement, Novogen held 78.1% of the Company’s outstanding shares of Common Stock.
     In August 2007, the Company consummated a second private placement selling 5,464,001 shares of Common Stock and warrants exercisable for 2,433,962 shares of Common Stock. Following this placement, Novogen held 71.9% of the Company’s outstanding shares of Common Stock.
     As described in Item 5(c) of this Schedule 13D, on July 28, 2008, Novogen purchased 2,908,295 shares of Common Stock from the Company in a registered direct offering at a purchase price of $2.17 per share for an aggregate purchase price of $6,311,000. Novogen entered into the foregoing transaction to acquire shares of the Company’s Common Stock for investment purposes. Concurrently with the sale to Novogen, the Company sold 1,700,000 shares of Common Stock to another investor in a registered direct offering. Following these two transactions, Novogen held 71.3% of the Company’s outstanding shares of Common Stock.
     At this time, none of Novogen or, to its knowledge, any of its respective directors or executive officers have plans to acquire or dispose of the Company’s securities. At this time, none of Novogen or, to its knowledge, any of its respective directors or executive officers, have plans or proposals to implement any plans or proposals with respect to any material change of the Company’s business or corporate structure or, generally, any other action referred to in instructions (a) through (j) of Item 4 to Schedule 13D.
     Novogen retains the right to change its investment intent, from time to time, to acquire additional shares of Common Stock, or to sell or otherwise dispose of all or part of the Common Stock, if any, beneficially owned by it, in any manner permitted by law.
Item 5. Interest in Securities of the Issuer
     (a) As of the date hereof, Novogen is the beneficial owner of 52,408,295 shares of Common Stock which constitutes approximately 71.3% of the Company’s 73,463,233 issued and outstanding shares of Common Stock.
     (b) Novogen has the sole power to vote or direct the vote and the sole power to dispose or direct the disposition of all of the shares reported above in this Item 5.
     (c) On July 28, 2008, Novogen purchased 2,908,295 additional shares of Common Stock from the Company in a registered direct offering at a purchase price of $2.17 per share for an aggregate purchase price of $6,311,000.
     (d) No other person is known to have the right to receive or the power to direct the receipt of dividends from, or the proceeds from the sale of, the Common Stock beneficially owned by Novogen.
     (e) Not applicable
     
Item 6.
  Contracts, Arrangements, Understandings or Relationships with Respect to Securities of Issuer
 
   
 
  None
     
Item 7.
  Material to Be Filed as Exhibits
 
   
 
  None

 


 

SIGNATURE
          After reasonable inquiry and to the best of the knowledge and belief of each of the undersigned, each of the undersigned certifies that the information set forth in this statement is true, complete and correct.
Dated: August 7, 2008
         
  NOVOGEN LIMITED
 
 
  By:   /s/ David R. Seaton  
    Name:   David R. Seaton   
    Title:   Chief Financial Officer   
 

 


 

SCHEDULE A
Novogen Limited
     Directors
                 
Name   Position   Principal Occupation   Business Address   Citizenship
Philip A. Johnston
  Non-Executive   Managing Director, Qualcare   Maderty River Road   Australia
 
  Chairman of the Board   Management Pty. Ltd.   Coonabarabran NSW    
 
  of Directors       2357    
 
          Australia    
 
               
Christopher Naughton
  Managing Director   Managing Director,
Novogen Limited
  140 Wicks Road
North Ryde, NSW 2113
Australia
  Australia
 
             
Paul J. Nestel
  Non-Executive Director   Medical Practitioner, Baker Heart   75 Commercial Rd   Australia
 
      Research Institute   Melbourne, VIC 3004,    
 
          Australia    
 
               
Peter B. Simpson
  Non-Executive Director   Chairman, Biogenerics Australia   10 Monomeath Avenue   Australia
 
      Pty Ltd.   Canterberry    
 
          Victoria 3126    
 
          Australia    
 
Geoffrey M. Leppinus
  Non-Executive Director   Former Senior Audit and Advisory   20 B Ayres Road   Australia
 
      Partner, KPMG   St. Ives NSW 2075    
 
          Australia    
 
               
Alan J. Husband
  Executive Director   Director of Research of Novogen   140 Wicks Road   Australia
 
      Limited   North Ryde, NSW 2113    
 
          Australia    
     Executive Officers
             
Name   Position   Business Address   Citizenship
David R. Seaton
  Chief Financial Officer   140 Wicks Road   Australia
 
      North Ryde, NSW 2113    
 
      Australia    
 
           
Warren Lancaster
  Vice President Commercial   59 Grove Street, Suite 2i   Australia
 
  and Corporate Development   New Canaan, CT 06840    
 
           
Bryan Palmer
  Operations General Manager   140 Wicks Road   Australia
 
      North Ryde, NSW 2113    
 
      Australia    
 
           
Craig Kearney
  General Manager Consumer
Business
  140 Wicks Road
North Ryde, NSW 2113
Australia
  Australia
 
           
Ron Erratt
  Company Secretary   140 Wicks Road   Australia
 
      North Ryde, NSW 2113    
 
      Australia    

 

-----END PRIVACY-ENHANCED MESSAGE-----