-----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, IhMdb0DBD0+0JJO0qvPaGcW4zaj5VqXvyW5/EhBKiyiipSnXFGpj+BxSwq4oaKhb oGSrbELaaeNDnCFJXhzxPw== 0000891618-98-000749.txt : 19980218 0000891618-98-000749.hdr.sgml : 19980218 ACCESSION NUMBER: 0000891618-98-000749 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980217 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: SEC FILE NUMBER: 005-46749 FILM NUMBER: 98540659 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 AMENDMENT NO. 2 TO SCHEDULE 13G 1 SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 -------------------- SCHEDULE 13G (RULE 13d-102) INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT TO RULES 13d-1(b) AND (c) AND AMENDMENTS THERETO FILED PURSUANT TO 13d-2(b) (AMENDMENT NO. 2)(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 11 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 11 Pages - ------------------------ ----------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 NUMBER 222,067 SHARES OF COMMON STOCK ISSUABLE UPON OF EXERCISE OF STOCK OPTIONS SHARES ----------------------------------------------------------- BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 305,676 SHARES, INCLUDES 279,008 SHARES HELD EACH DIRECTLY BY THE MILLER-HORNING FAMILY TRUST OF REPORTING WHICH RICHARD A. MILLER AND SANDRA J. HORNING PERSON ARE THE SOLE TRUSTEES WITH ----------------------------------------------------------- 7 SOLE DISPOSITIVE POWER 222,067 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 222,067 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 2.18% AS OF DECEMBER 31, 1997 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 3 - ------------------------ ----------------------- CUSIP NO. 716933 10 6 13G Page 3 of 11 Pages - ------------------------ ----------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) 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 279,008 SHARES OF COMMON STOCK OF WHICH RICHARD OF A. MILLER AND SANDRA J. HORNING ARE THE SOLE SHARES TRUSTEES AND MAY BE DEEMED TO HAVE SHARED POWER BENEFICIALLY TO VOTE THE SHARES OWNED BY ---------------------------------------------------------- EACH 6 SHARED VOTING POWER REPORTING SEE RESPONSE TO ROW 5 PERSON ---------------------------------------------------------- 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 2.73% AS OF DECEMBER 31, 1997 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 4 - ------------------------ ----------------------- CUSIP NO. 716933 10 6 13G Page 4 of 11 Pages - ------------------------ ----------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSONS (ENTITIES ONLY) JORDAN 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 13,334 SHARES OF COMMON STOCK OF WHICH MICHAEL OF J. MILLER IS THE SOLE TRUSTEE AND MAY BE DEEMED SHARES TO HAVE INDIVIDUAL POWER TO VOTE THE SHARES BENEFICIALLY ---------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH SEE RESPONSE TO ROW 5 REPORTING ---------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 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 0.13% AS OF DECEMBER 31, 1997 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 5 - ------------------------ ----------------------- CUSIP NO. 716933 10 6 13G Page 5 of 11 Pages - ------------------------ ----------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) 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 13,334 SHARES OF COMMON STOCK OF WHICH MICHAEL OF J. MILLER IS THE SOLE TRUSTEE AND MAY BE DEEMED SHARES TO HAVE INDIVIDUAL POWER TO VOTE THE SHARES BENEFICIALLY ---------------------------------------------------------- OWNED BY 6 SHARED VOTING POWER EACH SEE RESPONSE TO ROW 5 REPORTING ---------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 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 0.13% AS OF DECEMBER 31, 1997 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* OO - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 6 - ------------------------ ----------------------- CUSIP NO. 716933 10 6 13G Page 6 of 11 Pages - ------------------------ ----------------------- - -------------------------------------------------------------------------------- 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NO. OF ABOVE PERSON (ENTITIES ONLY) 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 0 SHARES OF COMMON STOCK OF ---------------------------------------------------------- SHARES 6 SHARED VOTING POWER BENEFICIALLY 279,008 SHARES HELD DIRECTLY BY THE OWNED BY MILLER-HORNING FAMILY TRUST OF WHICH SANDRA J. EACH HORNING IS ONE OF THE SOLE TRUSTEES REPORTING ---------------------------------------------------------- PERSON 7 SOLE DISPOSITIVE POWER WITH 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, 1997 - -------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON* IN - -------------------------------------------------------------------------------- *SEE INSTRUCTIONS BEFORE FILLING OUT! 7 CUSIP NO. 716933 10 6 13G Page 7 of 11 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 11 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: (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 Advisor 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 13d-1(b)(1)(ii)(F), (g) [ ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G); see Item 7, (h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). Not Applicable. 9 CUSIP NO. 716933 10 6 13G Page 9 of 11 Pages 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. 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. 10 CUSIP NO. 716933 10 6 13G Page 10 of 11 Pages 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. 11 CUSIP NO. 716933 10 6 13G Page 11 of 11 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 17, 1998 /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: Trustee ------------------------------------- JARED DAVID MILLER TRUST By: /s/ MICHAEL J. MILLER ------------------------------------- Title: Trustee ------------------------------------- -----END PRIVACY-ENHANCED MESSAGE-----