-----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, UPMjmoLx9qc0/ueFg25GYvG6lc3iV2apjLgvmGO9OkfTKRctijzfiV+Cm3k31nWB 0Yb0Zto5az/HtD0fh+CKRQ== 0000891618-97-000383.txt : 19970221 0000891618-97-000383.hdr.sgml : 19970221 ACCESSION NUMBER: 0000891618-97-000383 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970210 SROS: NASD GROUP MEMBERS: JARED DAVID MILLER TRUST GROUP MEMBERS: JORDAN ANDREW MILLER TRUST GROUP MEMBERS: MILLER RICHARD A MD GROUP MEMBERS: MILLER-HORNING FAMILY TRUST GROUP MEMBERS: SANDRA J. HORNING SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: PHARMACYCLICS INC CENTRAL INDEX KEY: 0000949699 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943148201 STATE OF INCORPORATION: DE FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-46749 FILM NUMBER: 97522737 BUSINESS ADDRESS: STREET 1: 995 EAST ARQUES AVE CITY: SUNNYVALE STATE: CA ZIP: 94086 BUSINESS PHONE: 4087743345 MAIL ADDRESS: STREET 1: 995 EAST ARQUES AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94086 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: MILLER RICHARD A MD CENTRAL INDEX KEY: 0001031847 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 995 EAST ARQUES AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94086-4593 BUSINESS PHONE: 4087740330 MAIL ADDRESS: STREET 1: 995 EAST ARQUES AVENUE CITY: SUNNYVALE STATE: CA ZIP: 94806-4593 SC 13G/A 1 SCHEDULE 13 G/A (AMENDMENT #1) 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13G INFORMATION STATEMENT PURSUANT TO RULES 13d-1 AND 13d-2 UNDER THE SECURITIES EXCHANGE ACT OF 1934 (Amendment No. 1) (1) PHARMACYCLICS, INC. ----------------------------------------- (Name of Issuer) COMMON STOCK ----------------------------------------- (Title of Class of Securities) 716933 10 6 ----------------------------------------- (CUSIP Number) (CONTINUED ON FOLLOWING PAGE(S)) (Page 1 of 10 Pages) (1) 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 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). 2 CUSIP No. 716933 10 6 13G PAGE 2 OF 10 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSONS S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS Richard A. Miller - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER 220,000 shares of Common Stock issuable upon exercise of stock options NUMBER OF ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 305,676 shares, includes 279,008 shares held OWNED BY directly by the Miller-Horning Family Trust of EACH which Richard A. Miller and Sandra J. Horning REPORTING are the sole Trustees PERSON ---------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 220,000 shares of Common Stock issuable upon exercise of stock options ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 305,676 shares, includes 279,008 shares held directly by the Miller-Horning Family Trust of which Richard A. Miller and Sandra J. Horning are the sole Trustees - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 220,000 shares of Common Stock issuable upon exercise of stock options - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.35% as of December 31, 1996 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 CUSIP No. 716933 10 6 13G PAGE 3 OF 10 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Miller-Horning Family Trust - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 279,008 shares of Common Stock of which Richard SHARES A. Miller and Sandra J. Horning are the sole BENEFICIALLY Trustees and may be deemed to have shared OWNED BY power to vote the shares EACH ---------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON See response to row 5 WITH ---------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 279,008 shares of Common Stock of which Richard A. Miller and Sandra J. Horning are the sole Trustees and may be deemed to have shared power to vote the shares ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 279,008 shares of Common Stock - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 2.98% as of December 31, 1996 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* 00 - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 CUSIP No. 716933 10 6 13G PAGE 4 OF 10 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jordon Andrew Miller Trust - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 13,334 shares of Common Stock of which Michael J. SHARES Miller is the sole Trustee and may be deemed to BENEFICIALLY have individual power to vote the shares OWNED BY EACH ---------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON See response to row 5 WITH ---------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 13,334 shares of Common Stock of which Michael J. Miller is the sole Trustee and may be deemed to have individual power to vote the shares ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,334 shares of Common Stock - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.15% as of December 31, 1996 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 5 CUSIP No. 716933 10 6 13G PAGE 5 OF 10 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Jared David Miller Trust - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 13,334 shares of Common Stock of which Michael J. SHARES Miller is the sole Trustee and may be deemed to BENEFICIALLY have individual power to vote the shares OWNED BY EACH ---------------------------------------------------------- REPORTING 6 SHARED VOTING POWER PERSON See response to row 5 WITH ---------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 13,334 shares of Common Stock of which Michael J. Miller is the sole Trustee and may be deemed to have individual power to vote the shares ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER See response to row 7 - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 13,334 shares of Common Stock - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0.15% as of December 31, 1996 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 6 CUSIP No. 716933 10 6 13G PAGE 6 OF 10 PAGES - -------------------------------------------------------------------------------- 1 NAME OF REPORTING PERSON S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON Sandra J. Horning - -------------------------------------------------------------------------------- 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 - -------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF 0 shares of Common Stock SHARES --------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 279,008 shares held directly by the Miller-Horning EACH Family Trust of which Sandra J. Horning is one of REPORTING of the sole Trustees PERSON ---------------------------------------------------------- WITH 7 SOLE DISPOSITIVE POWER 0 shares ---------------------------------------------------------- 8 SHARED DISPOSITIVE POWER 279,008 shares held directly by the Miller- Horning Family Trust of which Sandra J. Horning is one of the sole Trustees - -------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 0 shares of Common Stock - -------------------------------------------------------------------------------- 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [ ] - -------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9 0% as of December 31, 1996 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 7 CUSIP NO. 716933 10 6 13G Page 7 of 10 Pages ITEM 1(a) Name of Issuer: Pharmacyclics, Inc. ITEM 1(b) Address of Issuer's Principal Executive Offices: 995 East Arques Avenue Sunnyvale, CA 94086 ITEM 2(a) Name of Person Filing: This statement is filed by Richard A. Miller(2), Sandra J. Horning, Miller-Horning Family Trust, Jordan Andrew Miller Trust and Jared David Miller Trust sometimes collectively referred to as the "Reporting Persons." The Reporting Persons may be deemed to be a "group" for the purposes of Sections 13(d) and 13(g) of the Securities Exchange Act of 1934 and the rules thereunder (the "Act"), although each expressly disclaims any assertion or presumption that it or any of the other persons on whose behalf this statement is filed constitutes a "group." The filing of this Statement and the Agreement attached as Exhibit 1 hereto should not be construed to be an admission that any of the Reporting Persons is a member of a "group" consisting of one or more persons. ITEM 2(b) Address of Principal Business Office or, if none, Residence: 995 East Arques Avenue Sunnyvale, CA 94086 ITEM 2(c) Citizenship: United States (2) Dr. Miller is the President and Chief Executive Officer of Issuer. 8 CUSIP NO. 716933 10 6 13G Page 8 of 10 Pages ITEM 2(d) Title of Class of Securities: Common Stock ITEM 2(e) CUSIP Number: 716933 10 6 ITEM 3. If this statement is filed pursuant to Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: Not Applicable ITEM 4. Ownership. (a) Amount Beneficially Owned: See Row 9 of cover page for each individual or entity. (b) Percent of Class: See Row 11 of cover page for each individual or entity. (c) Number of shares as to which such person has: (i) sole power to vote or to direct the vote: See Row 5 of cover page for each individual or entity. (ii) shared power to vote or to direct the vote: See Row 6 of cover page for each individual or entity. (iii) sole power to dispose or to direct the disposition of: See Row 7 of cover page for each individual or entity. (iv) shared power to dispose or to direct the disposition of: See Row 8 of cover page for each individual or entity. 9 CUSIP NO. 716933 10 6 13G Page 9 of 10 Pages ITEM 5. Ownership of Five Percent or Less of a Class. Not Applicable 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 The Reporting Person may be deemed to be a "group" for the purposes of Section 13(d) and 13(g) of the Act and the rules thereunder, although each expressly disclaims any assertion or presumption that it or the other persons on whose behalf this statement is filed constitutes a "group." The filing of this statement should not be construed to be an admission that any of the Reporting Persons is a member of a "group" consisting of one or more persons. ITEM 9. Notice of Dissolution of Group. Not Applicable. ITEM 10. Certification. By signing below I certify that, to the best of my knowledge and belief, the securities referred to above were acquired in the ordinary course of business and were not acquired for the purpose of and do not have the effect of changing or influencing the control of the issuer of such securities and were not acquired in connection with or as a participant in any transaction having such purposes or effect. 10 CUSIP NO. 716933 10 6 13G Page 10 of 10 Pages 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. Date: February 5, 1997 /s/ RICHARD A. MILLER --------------------- Richard A. Miller /s/ SANDRA J. HORNING --------------------- Sandra J. Horning MILLER-HORNING FAMILY TRUST By: /s/ RICHARD A. MILLER --------------------- Title: Trustee ------------------ JORDAN ANDREW MILLER TRUST By: /s/ MICHAEL J. MILLER --------------------- Title: TTEE ------------------ JARED DAVID MILLER TRUST By: /s/ MICHAEL J. MILLER --------------------- Title: TTEE ------------------ 11 Exhibit 1 AGREEMENT RELATING TO JOINT FILING OF SCHEDULE 13G The undersigned hereby agree that a single Schedule 13G (or any amendment thereto) relating to the Common Stock of Pharmacyclics, Inc. shall be filed on behalf of each of the undersigned and that this Agreement shall be filed as an exhibit to such Schedule 13G. Date: February 5, 1997 /s/ RICHARD A. MILLER --------------------- Richard A. Miller /s/ SANDRA J. HORNING --------------------- Sandra J. Horning MILLER-HORNING FAMILY TRUST By: /s/ RICHARD A. MILLER --------------------- Title: Trustee ------------------ JORDAN ANDREW MILLER TRUST By: /s/ MICHAEL J. MILLER --------------------- Title: TTEE ------------------ JARED DAVID MILLER TRUST By: /s/ MICHAEL J. MILLER --------------------- Title: TTEE ------------------ -----END PRIVACY-ENHANCED MESSAGE-----