-----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, Nq/NITBEUuRIuaxd1ZmdI93qqxvEvYYroAWkmlAUq9UVCLeQs5VchZOIBZN9gRbe 1Ph6/GOMsST1FyUWt7J4Rg== 0001104659-09-009064.txt : 20090213 0001104659-09-009064.hdr.sgml : 20090213 20090213074252 ACCESSION NUMBER: 0001104659-09-009064 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20090213 DATE AS OF CHANGE: 20090213 GROUP MEMBERS: SUSQUEHANNA CAPITAL GROUP GROUP MEMBERS: SUSQUEHANNA SECURITIES SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: GENITOPE CORP CENTRAL INDEX KEY: 0001028358 STANDARD INDUSTRIAL CLASSIFICATION: BIOLOGICAL PRODUCTS (NO DIAGNOSTIC SUBSTANCES) [2836] IRS NUMBER: 770436313 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-79329 FILM NUMBER: 09598076 BUSINESS ADDRESS: STREET 1: 6900 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555-3651 BUSINESS PHONE: (510) 284-3000 MAIL ADDRESS: STREET 1: 6900 DUMBARTON CIRCLE CITY: FREMONT STATE: CA ZIP: 94555-3651 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: SUSQUEHANNA INVESTMENT GROUP / CENTRAL INDEX KEY: 0000918950 STANDARD INDUSTRIAL CLASSIFICATION: UNKNOWN SIC - 0000 [0000] IRS NUMBER: 232454154 STATE OF INCORPORATION: PA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: 401 CITY AVENUE STREET 2: SUITE 220 CITY: BALA CYNWYD STATE: PA ZIP: 19004 BUSINESS PHONE: 610-617-2600 MAIL ADDRESS: STREET 1: 401 CITY AVENUE STREET 2: SUITE 220 CITY: BALA CYNWYD STATE: PA ZIP: 19004 SC 13G/A 1 a09-4836_16sc13ga.htm SC 13G/A

 

 

UNITED STATES

 

 

SECURITIES AND EXCHANGE COMMISSION

 

 

Washington, D.C. 20549

 

 

 

 

SCHEDULE 13G

 

INFORMATION TO BE INCLUDED IN STATEMENTS FILED PURSUANT

TO RULES 13d-1(b), (c) AND (d) AND AMENDMENTS THERETO FILED

PURSUANT TO RULE 13d-2(b)

 

Under the Securities Exchange Act of 1934
(Amendment No.   1 )*

 

Genitope Corporation

(Name of Issuer)

Common Stock

(Title of Class of Securities)

37229P507

(CUSIP Number)

December 31, 2008

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate the rule pursuant to which this Schedule is filed:

x

Rule 13d-1(b)

o

Rule 13d-1(c)

o

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).

 



 

CUSIP No. 37229P507

 

 

1.

Names of Reporting Persons
Susquehanna Investment Group

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Pennsylvania

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0*

 

6.

Shared Voting Power
18,647*

 

7.

Sole Dispositive Power
0*

 

8.

Shared Dispositive Power
18,647*

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
18,647*

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
BD, PN

 


*The reporting persons are affiliated independent broker-dealers who may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons. Each of the reporting persons disclaims beneficial ownership of shares owned directly by  another reporting person.

 

2



 

CUSIP No. 37229P507

 

 

1.

Names of Reporting Persons
Susquehanna Capital Group

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
0*

 

6.

Shared Voting Power
18,647*

 

7.

Sole Dispositive Power
0*

 

8.

Shared Dispositive Power
18,647*

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
18,647*

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
BD, PN

 


*The reporting persons are affiliated independent broker-dealers who may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons. Each of the reporting persons disclaims beneficial ownership of shares owned directly by  another reporting person.

 

3



 

CUSIP No. 37229P507

 

 

1.

Names of Reporting Persons
Susquehanna Securities

 

 

2.

Check the Appropriate Box if a Member of a Group (See Instructions)

 

 

(a)

o

 

 

(b)

o

 

 

3.

SEC Use Only

 

 

4.

Citizenship or Place of Organization
Delaware

 

 

 

Number of
Shares
Beneficially
Owned by
Each
Reporting
Person With

5.

Sole Voting Power
18,647*

 

6.

Shared Voting Power
18,647*

 

7.

Sole Dispositive Power
18,647*

 

8.

Shared Dispositive Power
18,647*

 

 

9.

Aggregate Amount Beneficially Owned by Each Reporting Person
18,647*

 

 

10.

Check if the Aggregate Amount in Row (9) Excludes Certain Shares (See Instructions)  o

 

 

11.

Percent of Class Represented by Amount in Row (9)
0.0%

 

 

12.

Type of Reporting Person (See Instructions)
BD, PN

 


*The reporting persons are affiliated independent broker-dealers who may be deemed a group.  For purposes of this report, we have indicated that each reporting person has sole voting and dispositive power with respect to the shares beneficially owned by it and that the reporting persons have shared voting and dispositive power with respect to all shares beneficially owned by all of the reporting persons. Each of the reporting persons disclaims beneficial ownership of shares owned directly by  another reporting person.

 

4



 

Item 1.

 

(a)

Name of Issuer
Genitope Corporation  (the “Company”)

 

(b)

Address of Issuer’s Principal Executive Offices
6900 Dumbarton Cr.

Fremont, CA 94555-3651

 

Item 2.

 

(a)

Name of Person Filing (each, a “Reporting Person”)
(1) Susquehanna Investment Group

(2) Susquehanna Capital Group

(3) Susquehanna Securities

 

(b)

Address of Principal Business Office or, if none, Residence
For each Reporting Person:

401 City Avenue, Suite 220, Bala Cynwyd, PA 19004

 

(c)

Citizenship
Citizenship is set forth in Row 4 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each Reporting Person.

 

(d)

Title of Class of Securities
Common Stock, $.001 par value per share, of the Company ( the “Shares”)

 

(e)

CUSIP Number
37229P507

 

Item 3.

If this statement is filed pursuant to §§240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

 

(a)

x

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).
Susquehanna Investment Group
Susquehanna Capital Group
Susquehanna Securities

 

(b)

o

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

 

(c)

o

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

 

(d)

o

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

 

(e)

o

An investment adviser in accordance with §240.13d-1(b)(1)(ii)(E);

 

(f)

o

An employee benefit plan or endowment fund in accordance with §240.13d-1(b)(1)(ii)(F);

 

(g)

o

A parent holding company or control person in accordance with §240.13d-1(b)(1)(ii)(G);

 

(h)

o

A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

 

(i)

o

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

 

(j)

o

Group, in accordance with §240.13d-1(b)(1)(ii)(J).

 

5



 

Item 4.

Ownership

Provide the following information regarding the aggregate number and percentage of the class of securities of the issuer identified in Item 1.

The information required by Items 4(a) – (c) is set forth in Rows 5 – 11 of the cover page for each Reporting Person hereto and is incorporated herein by reference for each such Reporting Person.  The amount beneficially owned by Susquehanna Securities includes options to buy 9,600 Shares.  As of April 30, 2008, the Company had 42,984,226 Shares outstanding (based on the Company’s Quarterly Report on Form 10-Q for the quarterly period ended March 31, 2008).

 

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 x.

 

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 or Control Person

Not applicable

 

Item 8.

Identification and Classification of Members of the Group

Not applicable

 

Item 9.

Notice of Dissolution of Group

Not applicable

 

6



 

Item 10.

Certification

By signing below, I certify that, to the best of my knowledge and belief, the securities referred to above were acquired and are held in the ordinary course of business and were not acquired and  are  not held for the purpose of or with the effect of changing or influencing the control of the issuer of the securities and were not acquired and are not held in connection with or as a participant in any transaction having that purpose or effect.

 

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 13, 2009

 

 

 

Susquehanna Capital Group

 

By:

/s/ Todd Silverberg

 

Todd Silverberg, General Counsel

 

 

 

Susquehanna Investment Group

 

By:

/s/ Todd Silverberg

 

Todd Silverberg, General Counsel

 

 

 

Susquehanna Securities

 

By:

/s/ Todd Silverberg

 

Todd Silverberg, General Counsel

 

7



 

EXHIBIT INDEX

 

EXHIBIT

 

DESCRIPTION

 

 

 

A

 

Joint Filing Agreement, dated February 13, 2009, pursuant to Rule 13d-1(k) among Susquehanna Capital Group, Susquehanna Investment Group, and Susquehanna Securities.

 

8



 

EXHIBIT A

 

JOINT FILING AGREEMENT

 

The undersigned hereby agree that the statement on Schedule 13G with respect to the shares of Common Stock of the Issuer, dated February 13, 2009, and any amendments thereto signed by each of the undersigned shall be filed on behalf of each of them pursuant to and in accordance with the provisions of 13d-1(k) under the Securities Exchange Act of 1934.

 

Date:  February 13, 2009

Susquehanna Capital Group

 

By:

/s/ Todd Silverberg

 

Todd Silverberg, General Counsel

 

 

Date:  February 13, 2009

Susquehanna Investment Group

 

By:

/s/ Todd Silverberg

 

Todd Silverberg General Counsel

 

 

Date:  February 13, 2009

Susquehanna Securities

 

By:

/s/ Todd Silverberg

 

Todd Silverberg, General Counsel

 

9


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