-----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, KfGlxd/uSEAWaz364/E7kDq35P/b3BgQX1FCkfM34HMafUrxKnl78lvtTQBGsgfF 6Z3ZU+iZlZOW7LxvYQhkXg== 0000943663-07-000355.txt : 20070703 0000943663-07-000355.hdr.sgml : 20070703 20070702190906 ACCESSION NUMBER: 0000943663-07-000355 CONFORMED SUBMISSION TYPE: SC 13D/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 20070703 DATE AS OF CHANGE: 20070702 SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NOVOGEN LTD CENTRAL INDEX KEY: 0001075880 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 000000000 FISCAL YEAR END: 0630 FILING VALUES: FORM TYPE: SC 13D/A SEC ACT: 1934 Act SEC FILE NUMBER: 005-50612 FILM NUMBER: 07957005 BUSINESS ADDRESS: STREET 1: 140 WICKS RD STREET 2: NORTH RYDE CITY: NEW SOUTH WALES 2113 STATE: C3 ZIP: 2113 BUSINESS PHONE: 01161298780088 MAIL ADDRESS: STREET 1: 107 NORTH RYDE CITY: SYDNEY STATE: C3 ZIP: 1670 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: AUSTIN JOSIAH T CENTRAL INDEX KEY: 0000932267 FILING VALUES: FORM TYPE: SC 13D/A BUSINESS ADDRESS: STREET 1: EL CORANADO RANCH STREET 2: STAR ROUTE BOX 395 CITY: PEARCE STATE: AZ ZIP: 85625 BUSINESS PHONE: 214-520-1684 MAIL ADDRESS: STREET 1: 4673 CHRISTOPHER PLACE CITY: DALLAS STATE: TX ZIP: 75204 SC 13D/A 1 austin13da6nvgn.htm 6TH AMENDMENT TO SCHEDULE 13D SECURITIES AND EXCHANGE COMMISSION

SECURITIES AND EXCHANGE COMMISSION

Washington, D.C. 20549

 

SCHEDULE 13D

 

Under the Securities Exchange Act of 1934

(Amendment No. 6)

 

 

NOVOGEN LIMITED

_____________________________________________________________________________________

(Name of Issuer)

 

 

Sponsored ADR (each convertible into 5 Ordinary Shares)

_____________________________________________________________________________________

(Title of Class of Securities)

 

 

67010F103

_____________________________________________________________________________________

(CUSIP Number)

 

 

David J. Harris, Esq., 1775 I Street, N.W. Washington, D.C. 20006 (202) 261-3385

_____________________________________________________________________________________

(Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications)

 

 

June 21, 2007

_____________________________________________________________________________________

(Date of Event which Requires Filing of this Statement)

 

 

 

 

If the filing person has previously filed a statement on Schedule 13G to report the acquisition which is the subject of this Schedule 13D, and is filing this schedule because of Rule 13d-1(b)(3) or (4), check the following box  [   ].

 

The information required on 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).


1

NAME OF REPORTING PERSON

SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

Josiah T. Austin

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X]

3

SEC USE ONLY

 

4

SOURCE OF FUNDS

OO and WC

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]

6

CITIZENSHIP OR PLACE OF ORGANIZATION

United States

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

38,400 Sponsored ADRs (representing 192,000 ordinary shares)

8

SHARED VOTING POWER

 

2,477,845 Sponsored ADRs (representing 12,389,225 ordinary shares)

9

SOLE DISPOSITIVE POWER

 

38,400 Sponsored ADRs (representing 192,000 ordinary shares)

10

SHARED DISPOSITIVE POWER

 

2,477,845 Sponsored ADRs (representing 12,389,225 ordinary shares)

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,516,245 Sponsored ADRs (representing 12,581,225 ordinary shares)

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

12.93%

14

TYPE OF REPORTING PERSON

 

IN


 

1

NAME OF REPORTING PERSON

SS. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON

El Coronado Holdings, L.L.C.

2

CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (a) [ ] (b) [X]

3

SEC USE ONLY

 

4

SOURCE OF FUNDS

OO and WC

5

CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDING IS REQUIRED PURSUANT TO ITEMS 2(d) or 2(e) [ ]

6

CITIZENSHIP OR PLACE OF ORGANIZATION

Arizona

NUMBER OF

SHARES

BENEFICIALLY

OWNED BY

EACH

REPORTING

PERSON

WITH

7

SOLE VOTING POWER

 

0

8

SHARED VOTING POWER

 

2,477,845 Sponsored ADRs (representing 12,389,225 ordinary shares)

9

SOLE DISPOSITIVE POWER

 

0

10

SHARED DISPOSITIVE POWER

 

2,477,845 Sponsored ADRs (representing 12,389,225 ordinary shares)

11

AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON

 

2,477,845 Sponsored ADRs (representing 12,389,225 ordinary shares)

12

CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES [ ]

13

PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)

 

12.73%

14

TYPE OF REPORTING PERSON

 

HC


ITEM 1. Security and Issuer.

This Amendment No. 6 to the Statement on Schedule 13D heretofore filed on November 18, 2004 is filed with respect to sponsored ADRs ("Sponsored ADRs"), each convertible into 5 ordinary shares ("Ordinary Shares") of Novogen Limited (the "Company"). The address of the Company is 140 Wicks Road, North Ryde, New South Wales 2113 C3 2113, 01161298780088. The Statement is being filed on behalf of Josiah T. Austin, a United States Citizen, and El Coronado Holdings, L.L.C. ("ECH"), an Arizona limited liability company whose principal place of business is 4673 Christopher Place, Dallas, Texas 75204 (collectively, the "Reporting Persons") to reflect the following amendments to Item 3 and Item 5.

ITEM 3. Source and Amount of Funds or Other Consideration.

Item 3 is amended to include the following:

The total consideration (exclusive of brokers' commissions) for all Ordinary Shares subject to this Amendment No. 6 is $2,057,370.03.

The Ordinary Shares herein reported as being beneficially owned by the Reporting Persons were acquired in the following manner:

 

(1)

Austin is the sole managing Member of ECH. Acting on behalf of ECH, Austin purchased from March 23, 2007 to June 28, 2007 a total of 222,829 Sponsored ADRs (representing 1,114,145 Ordinary Shares) in open market transactions for aggregate consideration (exclusive of brokers' commissions) of $2,043,665.39. All purchases were made through various brokerage firms, and the primary source of the funding for these purchases was available funds of ECH and margin obtained under standard terms and conditions margin agreements.

   

(2)

Acting on behalf of the Josiah Zane Sylvester 2006 Grandchild Gift Trust, in his capacity as Trustee, Austin purchased on June 14, 2007 a total of 250 Sponsored ADRs (representing 1,250 Ordinary Shares) in open market transactions for an aggregate consideration (exclusive of brokers' commissions) of $2,141.35. The primary source of funds for these purchases was existing funds of the Trust.

   

(3)

Acting on behalf of the Mary Kathleen Lowery 2006 Grandchild Gift Trust, in his capacity as Trustee, Austin purchased on June 14, 2007 a total of 250 Sponsored ADRs (representing 1,250 Ordinary Shares) in open market transactions for an aggregate consideration (exclusive of brokers' commissions) of $2,141.35. The primary source of funds for these purchases was existing funds of the Trust.

   

(4)

Acting on behalf of the Jackson Austin Lowery 2006 Grandchild Gift Trust, in his capacity as Trustee, Austin purchased on June 14, 2007 a total of 250 Sponsored ADRs (representing 1,250 Ordinary Shares) in open market transactions for an aggregate consideration (exclusive of brokers' commissions) of $2,141.35. The primary source of funds for these purchases was existing funds of the Trust.

   

(5)

Acting on behalf of the Anna Lake Elias Trust dated 4/6/06, in his capacity as Trustee, Austin purchased on June 14, 2007 a total of 100 Sponsored ADRs (representing 500 Ordinary Shares) in open market transactions for an aggregate consideration (exclusive of brokers' commissions) of $856.54. The primary source of funds for these purchases was existing funds of the Trust.

   

(6)

Acting on behalf of the Josiah Zane Sylvester Trust Under AZ Uniform TFRS to Minors Act, in his capacity as Trustee, Austin purchased on June 14, 2007 a total of 100 Sponsored ADRs (representing 500 Ordinary Shares) in open market transactions for an aggregate consideration (exclusive of brokers' commissions) of $856.54. The primary source of funds for these purchases was existing funds of the Trust.

   

(7)

Acting on behalf of the Anna Lake Elias Trust Under AZ Uniform TFRS to Minors Act, in his capacity as Trustee, Austin purchased on June 14, 2007 a total of 650 Sponsored ADRs (representing 3,250 Ordinary Shares) in open market transactions for an aggregate consideration (exclusive of brokers' commissions) of $5,567.51. The primary source of funds for these purchases was existing funds of the Trust.

   
 

All dollar amounts are in United States dollars.

ITEM 5. Interest in Securities of the Issuer.

(a)

Austin is the beneficial owner of 2,516,245 Sponsored ADRs (representing 12,581,225 Ordinary Shares, which is 12.93% based on the 97,294,054 Ordinary Shares outstanding as reported in the Company's Form 20-F, filed on November 29, 2006) as Trustee for certain family trusts and as sole Managing Member of ECH. ECH is the beneficial owner of 2,477,845 Sponsored ADRs (representing 12,389,225 Ordinary Shares, which is 12.73% based on the 97,294,054 Ordinary Shares outstanding as reported in the Company's Form 20-F, filed on November 29, 2006).

   

(b)

Austin has the sole power to vote or to direct the vote or to dispose or to direct the disposition of 38,400 Sponsored ADRs (representing 192,000 ordinary shares). As the sole Managing Member of ECH, Austin shares with ECH the power to vote or to direct the vote or to dispose or to direct the disposition of the 2,477,845 Sponsored ADRs (representing 12,389,225 ordinary shares) held by ECH.

   

(c)

No transactions in ADRs have been effected by the Reporting Persons during the last 60 days, except the following transactions, each of which was made in a broker's transaction in the open market. Prices do not include brokerage fees.

 

Date

Reporting Person

Transaction

No. of ADRs

Ordinary Shares

Price per ADR

5/16/2007

Austin, on behalf of ECH

Purchase

13,875

69,375

$9.5633

5/17/2007

Austin, on behalf of ECH

Purchase

5,000

25,000

$9.466

5/21/2007

Austin, on behalf of ECH

Purchase

8,000

40,000

$9.2722

5/23/2007

Austin, on behalf of ECH

Purchase

5,200

26,000

$9.1485

5/24/2007

Austin, on behalf of ECH

Purchase

10,000

50,000

$9.11

5/25/2007

Austin, on behalf of ECH

Purchase

7,200

36,000

$9.1081

5/29/2007

Austin, on behalf of ECH

Purchase

1,900

9,500

$9.02

5/30/2007

Austin, on behalf of ECH

Purchase

10,000

50,000

$9.2256

6/1/2007

Austin, on behalf of ECH

Purchase

7,700

38,500

$9.6258

6/6/2007

Austin, on behalf of ECH

Purchase

8,940

44,700

$9.1356

6/7/2007

Austin, on behalf of ECH

Purchase

1,005

5,025

$9.1955

6/8/2007

Austin, on behalf of ECH

Purchase

8,000

40,000

$9.3523

6/12/2007

Austin, on behalf of ECH

Purchase

2,573

12,865

$9.1

6/13/2007

Austin, on behalf of ECH

Purchase

10,000

50,000

$8.9324

6/14/2007

Austin, on behalf of ECH

Purchase

4,000

20,000

$8.5506

6/14/2007

Austin, on behalf of Josiah Zane Sylvester 2006 Grandchild Gift Trust

Purchase

250

1,250

$8.5654

6/14/2007

Austin, on behalf of Mary Kathleen Lowery 2006 Grandchild Gift Trust

Purchase

250

1,250

$8.5654

6/14/2007

Austin, on behalf of Jackson Austin Lowery 2006 Grandchild Gift Trust

Purchase

250

1,250

$8.5654

6/14/2007

Austin, on behalf of Anna Lake Elias Trust dtd 4/6/06

Purchase

100

500

$8.5654

6/14/2007

Austin, on behalf of Josiah Zane Sylvester Trust Under AZ Uniform TFRS to Minors Act

Purchase

100

500

$8.5654

6/14/2007

Austin, on behalf of Anna Lake Elias Trust Under AZ Uniform TFRS to Minors Act

Purchase

650

3,250

$8.5654

6/18/2007

Austin, on behalf of ECH

Purchase

1,685

8,425

$8.3

6/19/2007

Austin, on behalf of ECH

Purchase

10,800

54,000

$8.4678

6/20/2007

Austin, on behalf of ECH

Purchase

15,244

76,220

$8.2048

6/21/2007

Austin, on behalf of ECH

Purchase

4,183

20,915

$8.4768

6/22/2007

Austin, on behalf of ECH

Purchase

7,000

35,000

$8.5974

6/28/2007

Austin, on behalf of ECH

Purchase

24,100

120,500

$8.40

   

(d)

No person other than the Reporting Persons, has any right to receive, or the power to direct the receipt of dividends from, or proceeds from the sale of, such securities.

   

(e)

Not applicable.


Signature

After reasonable inquiry and to the best knowledge and belief, I certify that the information set forth in this Statement is true, complete and correct.

 

Date: July 2, 2007

/s/ Josiah T. Austin

 

Josiah T. Austin,

Individually and as Sole Managing Member of ECH

 

 

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