-----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, Q9pR/lngX75Dd3kHT5pFFJWCbb54udNCab9nn+2kIXKuBstlXs21uOap60jS9Mg+ PrS+bYxTG3N+J1iHYGuICA== 0001193125-09-008080.txt : 20090120 0001193125-09-008080.hdr.sgml : 20090119 20090120105344 ACCESSION NUMBER: 0001193125-09-008080 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090120 DATE AS OF CHANGE: 20090120 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: HOLLIS EDEN PHARMACEUTICALS INC /DE/ CENTRAL INDEX KEY: 0000899394 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 133697002 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-53005 FILM NUMBER: 09533295 BUSINESS ADDRESS: STREET 1: 4435 EASTGATE MALL STREET 2: SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92121 BUSINESS PHONE: 858-587-9333 MAIL ADDRESS: STREET 1: 4435 EASTGATE MALL STREET 2: SUITE 400 CITY: SAN DIEGO STATE: CA ZIP: 92121 FORMER COMPANY: FORMER CONFORMED NAME: INITIAL ACQUISITION CORP DATE OF NAME CHANGE: 19930329 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: HOLLIS RICHARD B CENTRAL INDEX KEY: 0001056208 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: BUSINESS PHONE: 6195879333 MAIL ADDRESS: STREET 1: 9333 GENESEE AVENUE STREET 2: SUITE 110 CITY: SAN DIEGO STATE: CA ZIP: 92121 SC 13G 1 dsc13g.htm SCHEDULE 13G Schedule 13G

UNITED STATES

SECURITIES AND EXCHANGE COMMISSION

WASHINGTON, D.C. 20549

 

SCHEDULE 13G

(Rule 13d-102)

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO RULES 13d-11(b)(c), AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2(b)

(Amendment No.         )*

 

 

 

 

HOLLIS-EDEN PHARMACEUTICALS, INC.

(Name of Issuer)

 

 

Common Stock, par value $.01

(Title of Class of Securities)

 

 

435902 10 1

(CUSIP Number)

 

 

12/31/08

(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).

 

Page 1 of 4 pages

CUSIP No. 435902 10 1    13G    Page 2 of 4 Pages

 

 

  1  

NAMES OF REPORTING PERSONS

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

 

            RICHARD B. HOLLIS

    
  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

    

 

NUMBER OF  

SHARES  

BENEFICIALLY  

OWNED BY  

EACH  

REPORTING  

PERSON  

WITH  

 

  

  5    SOLE VOTING POWER

 

                3,881,938 (1)

 

  6    SHARED VOTING POWER

 

                0

 

  7    SOLE DISPOSITIVE POWER

 

                3,881,938 (1)

 

  8    SHARED DISPOSITIVE POWER

 

                0

  9  

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

            3,881,938 (1)

    
10  

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES

 

 

  

¨

 

11  

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9

 

            12.6%

    
12  

TYPE OF REPORTING PERSON

 

            IN

    

 

(1) INCLUDES 1,591,439 SHARES ISSUABLE UPON EXERCISE OF OPTIONS TO PURCHASE COMMON STOCK WITHIN 60 DAYS OF DECEMBER 31, 2008 AND 24,000 RESTRICTED SHARES PLUS 2,158 SHARES HELD UNDER THE HOLLIS EDEN PHARMACEUTICALS 401(K) PLAN.

 

Page 2 of 4 pages

Item 1(a).    Name of Issuer:
   Hollis-Eden Pharmaceuticals, Inc.
Item 1(b).    Address of Issuer’s Principal Executive Offices:
   4435 Eastgate Mall, Suite 400
   San Diego, CA 92121
Item 2(a).    Name of Person Filing:
   Richard B. Hollis
Item 2(b).    Address of Principal Business Office or, if none, Residence:
   4435 Eastgate Mall, Suite 400
   San Diego, CA 92121
Item 2(c).    Citizenship:
   United States
Item 2(d).    Title of Class of Securities:
   Common Stock, par value $.01
Item 2(e).    CUSIP Number:
   435902 10 1
Item 3.    Not applicable.
Item 4.    Ownership.
  

(a)       Amount Beneficially Owned:

  

3,881,938 shares, including 1,591,439 shares issuable upon exercise of options within 60 days of 12/31/08 and 24,000 restricted shares plus 2,158 shares held under the Hollis Eden Pharmaceuticals 401(k) Plan.

  

(b)      Percent of Class: 12.6%

  

(c)       Number of shares as to which such person has:

  

(i)       sole power to vote or to direct the vote: 3,881,938

  

(ii)      shared power to vote or to direct the vote: 0

  

(iii)     sole power to dispose or to direct the disposition of: 3,881,938

  

(iv)     shared power to dispose or to direct the disposition of: 0

 

Page 3 of 4 pages

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.
   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.
   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.

 

January 20, 2009

Date

/s/    Richard B. Hollis

Signature

Richard B. Hollis

Name

 

Page 4 of 4 pages

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