-----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, FdA6OTDUM5yhOQYvVtQlH1QrlCIEqyGfptGLEtDpwLvb7O8webz7kE7vWE+F+WzV SBjXmoEGeRpRdriecuigZw== 0001047469-98-005575.txt : 19980217 0001047469-98-005575.hdr.sgml : 19980217 ACCESSION NUMBER: 0001047469-98-005575 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980212 SROS: NASD GROUP MEMBERS: ELLEN GUNN FINEMAN GROUP MEMBERS: FINEMAN DAVID M SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SUPERGEN INC CENTRAL INDEX KEY: 0000919722 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 911841574 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-48769 FILM NUMBER: 98535618 BUSINESS ADDRESS: STREET 1: TWO ANNABLE LANE STE 220 CITY: SAN RAMON STATE: CA ZIP: 94583 BUSINESS PHONE: 5103270200 MAIL ADDRESS: STREET 1: TWO ANNABEL LANE STE 220 CITY: SAN RAMON STATE: CA ZIP: 94583 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: FINEMAN DAVID M CENTRAL INDEX KEY: 0001033372 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 6450 HOLLIS ST CITY: EMERYVILLE STATE: CA ZIP: 94608 BUSINESS PHONE: 5104501947 MAIL ADDRESS: STREET 1: 6450 HOLLIS ST CITY: EMERYVILLE STATE: CA ZIP: 94608 SC 13G/A 1 SCHEDULE 13G/A
UNITED STATES --------------------------------------------- SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL WASHINGTON, D.C. 20549 --------------------------------------------- OMB Number: 3235-0145 Expires: December 31, 1997 Estimated average burden hours per response......................14.90 ---------------------------------------------
SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 2 )* ---------------- 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 of 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). SEC 1745 (2-95) Page 1 of 7 Pages - ----------------------- ------------------- CUSIP NO. 868 059 106 13G PAGE 2 OF 7 PAGES - ----------------------- ------------------- - ------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON David M. Fineman - ------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ - ------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 15,750** BENEFICIALLY ----------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH REPORTING 1,366,500 PERSON WITH ----------------------------------------------------- 7 SOLE DISPOSITIVE POWER 15,750** ----------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,366,500 ----------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,384,750**(BENEFICIAL OWNERSHIP OF 2,500 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 7.2%** - ------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT - ----------------------- ------------------- CUSIP NO. 868 059 106 13G PAGE 3 OF 7 PAGES - ----------------------- ------------------- - ------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Ellen Gunn Fineman - ------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) / / (b) /X/ - ------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 0 SHARES ----------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY EACH 1,366,500 REPORTING ----------------------------------------------------- PERSON WITH 7 SOLE DISPOSITIVE POWER 0 ----------------------------------------------------- 8 SHARED DISPOSITIVE POWER 1,366,500 - ------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,384,750**(BENEFICIAL OWNERSHIP OF 2,500 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 7.2%** - ------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - ------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT CUSIP No. 868 059 106 Page 4 of 7 Pages ITEM 1. (a) Name of Issuer SuperGen, Inc. (b) Address of Issuer's Principal Executive Offices Two Annabel Lane, Suite 220 San Ramon, CA 94583 ITEM 2. (a) Name of Person Filing David M. Fineman and Ellen Gunn Fineman, husband and wife, as trustees of the Fineman Revocable Trust dated February 12, 1997 (b) Address of Principal Business Office or, if none, Residence SuperGen, Inc. Two Annabel Lane, Suite 220 San Ramon, CA 94583 (c) Citizenship United States of America (d) Title of Class of Securities Common Stock (e) CUSIP Number 868 059 106 ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b), CHECK WHETHER THE PERSON 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 Section 240.13d-1(b)(1)(ii)(F) (g) / / Parent Holding Company, in accordance with Section 240.13d-1(b)(ii)(G) (Note: See Item 7) (h) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(H) CUSIP No. 868 059 106 Page 5 of 7 Pages ITEM 4. OWNERSHIP (a) Amount Beneficially Owned David M. Fineman--1,384,750 shares** Ellen Gunn Fineman--1,384,750 shares** (b) Percent of Class David M. Fineman--7.2%** of the outstanding shares of Common Stock of Issuer, based on 19,216,371 shares of Issuer's Common Stock outstanding as of October 30, 1997, according to Issuer's quarterly report on Form 10-Q for the quarter ended September 30, 1997, filed November 14, 1997 (the "Third Quarter 10-Q"). Ellen Gunn Fineman--7.2%** of the outstanding shares of Common Stock of Issuer, based on 19,216,371 shares of Issuer's Common Stock outstanding as of October 30, 1997, according to the Third Quarter 10-Q. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote David M. Fineman 15,750 SHARES** Ellen Gunn Fineman 0 SHARES (ii) shared power to vote or to direct the vote David M. Fineman 1,366,500 SHARES Ellen Gunn Fineman 1,366,500 SHARES (iii) sole power to dispose or direct the disposition of David M. Fineman 15,750 SHARES** Ellen Gunn Fineman 0 SHARES (iv) shared power to dispose or direct the disposition of David M. Fineman 1,366,500 SHARES Ellen Gunn Fineman 1,366,500 SHARES **1,366,500 SHARES ARE HELD BY DAVID M. FINEMAN AND ELLEN GUNN FINEMAN AS TRUSTEES OF THE FINEMAN REVOCABLE TRUST DATED FEBRUARY 12, 1997. 15,750 SHARES ARE REGISTERED TO DAVID M. FINEMAN, TRUSTEE OF THE GUNN-FINEMAN INCORPORATED PROFIT SHARING MONEY PURCHASE PENSION TRUST. 2,500 SHARES ARE HELD BY CLAIRE GUNN AS CUSTODIAN FOR MINOR CHILDREN OF DAVID M. FINEMAN AND ELLEN GUNN FINEMAN. 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 / /. CUSIP No. 868 059 106 Page 6 of 7 Pages 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 CUSIP No. 868 059 106 Page 7 of 7 Pages ITEM 10. Not applicable 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 9, 1998 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 9, 1998 ------------------------------------------- Date /s/ David M. Fineman ------------------------------------------- Signature David M. Fineman, Director ------------------------------------------- Name/Title February 9, 1998 ------------------------------------------- Date /s/ Ellen Gunn Fineman ------------------------------------------- Signature Ellen Gunn Fineman ------------------------------------------- Name/Title -----END PRIVACY-ENHANCED MESSAGE-----