SEC Form 5
FORM 5 UNITED STATES SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

ANNUAL STATEMENT OF CHANGES IN BENEFICIAL OWNERSHIP

Filed pursuant to Section 16(a) of the Securities Exchange Act of 1934
or Section 30(h) of the Investment Company Act of 1940
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Check this box if no longer subject to Section 16. Form 4 or Form 5 obligations may continue. See Instruction 1(b).
  
Form 3 Holdings Reported.
  
Form 4 Transactions Reported.
1. Name and Address of Reporting Person*
DUGGAN ROBERT W

(Last) (First) (Middle)
C/O PHARMACYCLICS, INC.
995 EAST ARQUES AVENUE

(Street)
SUNNYVALE CA 94085

(City) (State) (Zip)
2. Issuer Name and Ticker or Trading Symbol
PHARMACYCLICS INC [ PCYC ]
5. Relationship of Reporting Person(s) to Issuer
(Check all applicable)
X Director X 10% Owner
X Officer (give title below) Other (specify below)
Chairman and CEO
3. Statement for Issuer's Fiscal Year Ended (Month/Day/Year)
12/31/2012
4. If Amendment, Date of Original Filed (Month/Day/Year)
02/13/2013
6. Individual or Joint/Group Filing (Check Applicable Line)
X Form filed by One Reporting Person
Form filed by More than One Reporting Person
Table I - Non-Derivative Securities Acquired, Disposed of, or Beneficially Owned
1. Title of Security (Instr. 3) 2. Transaction Date (Month/Day/Year) 2A. Deemed Execution Date, if any (Month/Day/Year) 3. Transaction Code (Instr. 8) 4. Securities Acquired (A) or Disposed Of (D) (Instr. 3, 4 and 5) 5. Amount of Securities Beneficially Owned at end of Issuer's Fiscal Year (Instr. 3 and 4) 6. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 7. Nature of Indirect Beneficial Ownership (Instr. 4)
Amount (A) or (D) Price
Common Stock 12/24/2012 G 150,066 D $0.00 13,300,292(1) D
Common Stock 12/24/2012 G 21,438 A $0.00 21,438 I By Trust(2)(3)
Common Stock 12/24/2012 G 21,438 A $0.00 21,438 I By Trust(3)(4)
Common Stock 12/24/2012 G 21,438 A $0.00 21,438 I By Trust(3)(5)
Common Stock 12/24/2012 G 21,438 A $0.00 21,438 I By Trust(3)(6)
Common Stock 12/24/2012 G 21,438 A $0.00 21,438 I By Trust(3)(7)
Common Stock 12/24/2013 G 21,438 A $0.00 21,438 I By Trust(3)(8)
Common Stock 12/24/2012 G 21,438 A $0.00 21,438 I By Trust(3)(9)
Common Stock 12/24/2012 J(10) 995 D $0.00 501,119 I Managed Accounts(11)
Common Stock 12/27/2012 J(10) 125,000 D $0.00 376,119 I Managed Accounts(11)
Common Stock 12/28/2012 G 8,404 D $0.00 13,291,888(1) D
Common Stock 12/28/2012 G 8,404 A $0.00 29,842 I By Trust(3)(9)
Common Stock 8,404 I By child(3)
Common Stock 8,404 I By child(3)
Common Stock 8,404 I By child(3)
Common Stock 8,404 I By child(3)
Common Stock 8,404 I By child(3)
Table II - Derivative Securities Acquired, Disposed of, or Beneficially Owned
(e.g., puts, calls, warrants, options, convertible securities)
1. Title of Derivative Security (Instr. 3) 2. Conversion or Exercise Price of Derivative Security 3. Transaction Date (Month/Day/Year) 3A. Deemed Execution Date, if any (Month/Day/Year) 4. Transaction Code (Instr. 8) 5. Number of Derivative Securities Acquired (A) or Disposed of (D) (Instr. 3, 4 and 5) 6. Date Exercisable and Expiration Date (Month/Day/Year) 7. Title and Amount of Securities Underlying Derivative Security (Instr. 3 and 4) 8. Price of Derivative Security (Instr. 5) 9. Number of derivative Securities Beneficially Owned Following Reported Transaction(s) (Instr. 4) 10. Ownership Form: Direct (D) or Indirect (I) (Instr. 4) 11. Nature of Indirect Beneficial Ownership (Instr. 4)
(A) (D) Date Exercisable Expiration Date Title Amount or Number of Shares
Explanation of Responses:
1. Includes (i) 1,024,046 shares owned by Mr. Duggan's spouse, of which Mr. Duggan disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein; (ii) 10,421 shares owned by Blazon Corp. ("Blazon"), as the sole stockholder of Blazon, Mr. Duggan may be deemed to beneficially own the shares owned by Blazon, Mr. Duggan disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein; and (iii) 334,647 shares owned by MultiAccess Computing Corp. ("MultiAccess"), as the sole stockholder of MultiAccess, Mr. Duggan may be deemed to beneficially own the shares owned by MultiAccess, Mr. Duggan disclaims beneficial ownership of such shares except to the extent of his pecuniary interest therein.
2. Shares directly owned by David Michael Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the David Michael Duggan Trust.
3. Mr. Duggan disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein.
4. Shares directly owned by Daniel Douglas Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Daniel Douglas Duggan Trust.
5. Shares directly owned by Dylan Duke Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Dylan Duke Duggan Trust.
6. Shares directly owned by Diamond Augustus Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Diamond Augustus Duggan Trust.
7. Shares directly owned by Dante Eon Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Dante Eon Duggan Trust.
8. Shares directly owned by Dsara Ann Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Dsara Ann Duggan Trust.
9. Shares directly owned by Diana Star Duggan Trust, an irrevocable trust. Neither Mr. Duggan nor any immediate family members of Mr. Duggan are trustees of the Diana Star Duggan Trust.
10. Shares previously held in managed accounts pursuant to agreements with Robert W. Duggan & Associates ("RWD&A"). Such shares have been returned to clients of RWD&A pursuant to terms of those agreements. Accordingly, the Reporting Person is no longer deemed to beneficially own such shares.
11. Shares held in managed accounts pursuant to agreements with Robert W. Duggan & Associates ("RWD&A"), of which Robert W. Duggan is a principal. Mr. Duggan disclaims beneficial ownership of such Shares except to the extent of his pecuniary interest therein.
Remarks:
/s/ Robert W. Duggan 02/25/2013
** Signature of Reporting Person Date
Reminder: Report on a separate line for each class of securities beneficially owned directly or indirectly.
* If the form is filed by more than one reporting person, see Instruction 4 (b)(v).
** Intentional misstatements or omissions of facts constitute Federal Criminal Violations See 18 U.S.C. 1001 and 15 U.S.C. 78ff(a).
Note: File three copies of this Form, one of which must be manually signed. If space is insufficient, see Instruction 6 for procedure.
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