-----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, Rlbywn4myX8I5aFMf6IWJeC8cPRQ5M1YGos0JEWVFQsxAInIbBmeHSp9HmL0R+0M JChxtOBpuFw3ZCZjV+kzEA== 0000912057-97-005136.txt : 19970222 0000912057-97-005136.hdr.sgml : 19970222 ACCESSION NUMBER: 0000912057-97-005136 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970214 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SUPERGEN INC CENTRAL INDEX KEY: 0000919722 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943132190 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: 1934 Act SEC FILE NUMBER: 005-48769 FILM NUMBER: 97531980 BUSINESS ADDRESS: STREET 1: 6400 HOLLIS ST STE 8 CITY: EMERYVILLE STATE: CA ZIP: 94608 MAIL ADDRESS: STREET 2: 6450 HOLLIS ST CITY: EMERYVILLE STATE: CA ZIP: 94608 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: RUBINFELD JOSEPH CENTRAL INDEX KEY: 0001033369 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: 6450 HOLLIS ST CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5106551075 MAIL ADDRESS: STREET 1: 6450 HOLLIS ST CITY: EMERYVILLE STATE: CA ZIP: 94608 SC 13G 1 SCHEDULE 13G UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G Under the Securities Exchange Act of 1934 (Amendment No. )* ------ SuperGen, Inc. ---------------------------------- (Name of Issuer) Common Stock ---------------------------------- (Title of Class of Securities) 868 059 106 ---------------------------------- (CUSIP Number) *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 6 Pages CUSIP No. 868 059 106 13G Page 2 of 6 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Joseph Rubinfeld - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States of America - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 55,000**(BENEFICIAL OWNERSHIP OF Owned by 35,000 OF THESE SHARES IS Each Reporting DISCLAIMED) Person With -------------------------------------------------- (6) Shared Voting Power 1,677,500 -------------------------------------------------- (7) Sole Dispositive Power 55,000**(BENEFICIAL OWNERSHIP OF 35,000 OF THESE SHARES IS DISCLAIMED) -------------------------------------------------- (8) Shared Dispositive Power 1,677,500 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,982,500**(BENEFICIAL OWNERSHIP OF 35,000 OF THESE SHARES IS DISCLAIMED) - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 11.7% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! **SEE ITEM 4(c) CUSIP No. 868 059 106 13G Page 3 of 6 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Loretta Rubinfeld - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group* (b) /X/ - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Citizenship or Place of Organization United States of America - ------------------------------------------------------------------------------- Number of Shares (5) Sole Voting Beneficially Power 0 Owned by -------------------------------------------------- Each Reporting (6) Shared Voting Person With Power 1,677,500 -------------------------------------------------- (7) Sole Dispositive Power 0 -------------------------------------------------- (8) Shared Dispositive Power 1,677,500 - ------------------------------------------------------------------------------- (9) Aggregate Amount Beneficially Owned by Each Reporting Person 1,712,500**(BENEFICIAL OWNERSHIP OF 35,000 OF THESE SHARES IS DISCLAIMED) - ------------------------------------------------------------------------------- (10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares* - ------------------------------------------------------------------------------- (11) Percent of Class Represented by Amount in Row (9) 10.1% - ------------------------------------------------------------------------------- (12) Type of Reporting Person* IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! **SEE ITEM 4(c) CUSIP No. 868 059 106 Page 4 of 6 Pages ITEM 1(A). NAME OF ISSUER SuperGen, Inc. - ------------------------------------------------------------------------------- ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES 6450 Hollis Street, Emeryville, CA 94608 - ------------------------------------------------------------------------------- ITEM 2(A). NAME OF PERSON(S) FILING Joseph Rubinfeld and Loretta Rubinfeld, husband and wife - ------------------------------------------------------------------------------- ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE 6450 Hollis Street, Emeryville, CA 94608 - ------------------------------------------------------------------------------- ITEM 2(C). CITIZENSHIP United States of America - ------------------------------------------------------------------------------- ITEM 2(D). TITLE OF CLASS OF SECURITIES Common Stock - ------------------------------------------------------------------------------- ITEM 2(E). CUSIP NUMBER 868 059 106 - ------------------------------------------------------------------------------- ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON FILING IS A (a) / / Broker or Dealer registered under Section 15 of the Act (b) / / Bank as defined in section 3(a)(6) of the Act (c) / / Insurance Company as defined in section 3(a)(19) of the Act (d) / / Investment Company registered under section 8 of the Investment Company Act (e) / / Investment Adviser registered under section 203 of the Investment Advisers Act of 1940 (f) / / Employee Benefit Plan, Pension Fund which is subject to the provisions of the Employee Retirement Income Security Act of 1974 or Endowment Fund; see Rule 13d-1(b)(1)(ii)(F) (g) / / Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) (Note: See Item 7) (h) / / Group, in accordance with Rule 13d-1(b)(1)(ii)(H) ITEM 4. OWNERSHIP (a) Amount Beneficially Owned: (i) Joseph Rubinfeld--1,982,500 shares** (ii) Loretta Rubinfeld--1,712,500 shares** --------------------------------------------------------------------------- (b) Percent of Class: (i) Joseph Rubinfeld--11.7%** of the outstanding shares of Common Stock of Issuer, based on 16,924,042 shares of Issuer's Common Stock outstanding as of November 7, 1996, according to Issuer's quarterly report on Form 10-Q for the quarter ended September 30, 1996, filed November 14, 1996. (ii) Loretta Rubinfeld--10.1%** of the outstanding shares of Common Stock of Issuer, based on 16,924,042 shares of Issuer's Common Stock outstanding as of November 7, 1996, according to Issuer's quarterly report on Form 10-Q for the quarter ended September 30, 1996, filed November 14, 1996. --------------------------------------------------------------------------- CUSIP No. 868 059 106 Page 5 of 6 Pages (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote Joseph Rubinfeld 55,000 shares** Loretta Rubinfeld 0 shares ----------------------------------------------------------------- (ii) shared power to vote or to direct the vote Joseph Rubinfeld 1,677,500 shares Loretta Rubinfeld 1,677,500 shares ----------------------------------------------------------------- (iii) sole power to dispose or to direct the disposition of Joseph Rubinfeld 55,000 shares** Loretta Rubinfeld 0 shares ----------------------------------------------------------------- (iv) shared power to dispose or to direct the disposition of Joseph Rubinfeld 1,677,500 shares Loretta Rubinfeld 1,677,500 shares ----------------------------------------------------------------- **BENEFICIAL OWNERSHIP OF 35,000 OF THESE SHARES REGISTERED IN THE NAME OF JOSEPH AND LORETTA RUBINFELD AS CUSTODIANS UNDER THE CALIFORNIA UNIFORM TRANSFERS TO MINORS ACT IS DISCLAIMED AS SET FORTH ON PAGES 2 AND 3 OF THIS STATEMENT. 20,000 SHARES ARE REGISTERED TO JOSEPH RUBINFELD, INDIVIDUALLY, AND THESE SHARES ARE NOT INCLUDED IN THE AGGREGATE NUMBER OF SHARES BENEFICIALLY OWNED BY LORETTA RUBINFELD, HIS WIFE, NOTWITHSTANDING THE COMMUNITY PROPERTY LAWS OF THE STATE OF CALIFORNIA. 1,677,500 SHARES OWNED JOINTLY BY REPORTING PERSONS ARE REGISTERED TO JOSEPH AND LORETTA RUBINFELD. ALSO REPORTED IN THE AGGREGATE NUMBER OF SHARES BENEFICIALLY OWNED BY JOSEPH RUBINFELD BUT NOT BY LORETTA RUBINFELD IS AN OPTION TO PURCHASE 250,000 SHARES OF COMMON STOCK, FULLY VESTED AND EXERCISABLE WITHIN 60 DAYS AFTER DECEMBER 31, 1996 (PROVIDED, HOWEVER, THAT ALL OF SUCH OPTIONS (500,000) BECOME IMMEDIATELY FULLY VESTED AND EXERCISABLE IN THE EVENT OF THE EXERCISE OF ALL OF THE OUTSTANDING WARRANTS ISSUED IN CONNECTION WITH ISSUER'S INITIAL PUBLIC OFFERING OR IF A CHANGE OF CONTROL OF ISSUER OCCURS). 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 N/A. - ------------------------------------------------------------------------------- ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY N/A. - ------------------------------------------------------------------------------- ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP N/A. - ------------------------------------------------------------------------------- ITEM 9. NOTICE OF DISSOLUTION OF GROUP N/A. - ------------------------------------------------------------------------------- CUSIP No. 868 059 106 Page 6 of 6 Pages ITEM 10. CERTIFICATION N/A SIGNATURE Each of the undersigned hereby agrees that they are filing jointly pursuant to Rule 13d-1(f)(1) of the Securities Exchange Act of 1934, as amended, the Statement dated February 12, 1996 containing the information required by Schedule 13G for the Shares of Common Stock of SuperGen, Inc. which they beneficially hold. 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 12, 1997 ---------------------------------------- Date /s/ Joseph Rubinfeld ---------------------------------------- Signature Joseph Rubinfeld, Chief Executive Officer, President, Chief Scientific Officer and Chairman of the Board ---------------------------------------- Name/Title February 12, 1997 ---------------------------------------- Date /s/ Loretta Rubinfeld ---------------------------------------- Signature Loretta Rubinfeld ---------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----