-----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, D7evFiEZq6hBACdEvEYJC9yUQGAJOJ8CjL+hCqHFajLFu89wf6V7+twtJaUwviA3 nyesl0UCoajH7DbyjlKvJQ== 0000892569-98-000299.txt : 19980212 0000892569-98-000299.hdr.sgml : 19980212 ACCESSION NUMBER: 0000892569-98-000299 CONFORMED SUBMISSION TYPE: SC 13G/A PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19980211 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: NEOTHERAPEUTICS INC CENTRAL INDEX KEY: 0000831547 STANDARD INDUSTRIAL CLASSIFICATION: SERVICES-COMMERCIAL PHYSICAL & BIOLOGICAL RESEARCH [8731] IRS NUMBER: 930979187 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A SEC ACT: SEC FILE NUMBER: 005-49329 FILM NUMBER: 98532006 BUSINESS ADDRESS: STREET 1: 157 TECHNOLOGY DR CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 7148324902 MAIL ADDRESS: STREET 1: ONE TECHNOLOGY DR STREET 2: STE J-821 CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: AMERICUS FUNDING CORP DATE OF NAME CHANGE: 19920703 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: GLASKY ALVIN J PHD CENTRAL INDEX KEY: 0001033000 STANDARD INDUSTRIAL CLASSIFICATION: [] STATE OF INCORPORATION: CO FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G/A BUSINESS ADDRESS: STREET 1: ONE TECNOLOGY DRIVE STREET 2: SUITE I-821 CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 7147885700 MAIL ADDRESS: STREET 1: ONE TECHNOLOGY DRIVE STREET 2: SUITE I-821 CITY: IRVINE STATE: CA ZIP: 92618 FORMER COMPANY: FORMER CONFORMED NAME: GLASKY ALVIN J PH D DATE OF NAME CHANGE: 19970211 SC 13G/A 1 AMENDMENT #1 TO SCHEDULE 13G 1 UNITED STATES SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G UNDER THE SECURITIES EXCHANGE ACT OF 1934 (AMENDMENT NO. 1)* NEOTHERAPEUTICS, INC. --------------------- (Name of Issuer) COMMON STOCK, $.001 PAR VALUE ----------------------------- (Title of Class of Securities) 640-656104 ---------- (CUSIP Number) *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). 2 SCHEDULE 13G - --------------------- ----------------- CUSIP NO. 640-656104 PAGE 2 OF 5 PAGES - --------------------- ----------------- =============================================================================== 1 NAME OF REPORTING PERSONS/ I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (ENTITIES ONLY) Alvin J. Glasky, Ph.D. - ------------------------------------------------------------------------------- 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (SEE INSTRUCTIONS) (a) [ ] N/A (b) [ ] - ------------------------------------------------------------------------------- 3 SEC USE ONLY - ------------------------------------------------------------------------------- 4 CITIZENSHIP OR PLACE OF ORGANIZATION United States of America - ------------------------------------------------------------------------------- 5 SOLE VOTING POWER NUMBER OF SHARES 1, 307,911 ------------------------------------------------ 6 SHARED VOTING POWER REPORTING BENEFICIALLY -0- ------------------------------------------------ 7 SOLE DISPOSITIVE POWER OWNED BY EACH 1,307,911 ------------------------------------------------ 8 SHARED DISPOSITIVE POWER PERSON WITH -0- - ------------------------------------------------------------------------------- 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 1,307,911 - ------------------------------------------------------------------------------- 10 CHECK IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES |X| (SEE INSTRUCTIONS) - ------------------------------------------------------------------------------- 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 23.93% - ------------------------------------------------------------------------------- 12 TYPE OF REPORTING PERSON (SEE INSTRUCTIONS) IN =============================================================================== 3 ITEM 1. (a) NAME OF ISSUER: --------------- NeoTherapeutics, Inc. (b) ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES: ------------------------------------------------ 157 Technology Drive Irvine, CA 92618 ITEM 2. (a) NAME OF PERSON FILING: ---------------------- Alvin J. Glasky, Ph.D. (b) ADDRESS OF PRINCIPAL BUSINESS OFFICE: ------------------------------------- 157 Technology Drive Irvine, CA 92618 (c) CITIZENSHIP: United States of America ------------ (c) TITLE OF CLASS OF SECURITIES: ----------------------------- Common Stock, $.001 par value per share (d) CUSIP NUMBER: ------------- 640-656104 ITEM 3. If this statement is filed pursuant Rule 13d-1(b), or 13d-2(b), check whether the person filing is a: N/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 Advisors 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 Rule 13d-1(b)(1)(ii)(F). (g) [ ] Parent Holding Company, in accordance with Rule 13d-1(b)(ii)(G) (Note, See Item 7). (h) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(H). 4 ITEM 4. OWNERSHIP. If the percent of the class owned, as of December 31, 1997, or as of the last day of any month described in Rule 13d-1(b)(2), if applicable, exceeds five percent, provide the following information as of that date and identify those shares which there is a right to acquire. (a) Amount beneficially owned: 1,307,911* (b) Percent of Class: 23.93% (c) Number of shares as to such person has: (i) Sole power to vote or to direct the vote: 1,307,911* (ii) Shared power to vote or to direct to vote: -0- (iii) Sole power to dispose or to direct the disposition of: 1,307,911* (iv) Shared power to dispose or to direct the disposition of: -0- ------------ *Includes 88,173 shares currently issuable under the exercise of a warrant, as well as 25,000 shares of common stock which can be acquired upon the exercise of outstanding options within 60 days of December 31, 1997, held by Dr. Glasky. Excludes 49,462 shares owned by Dr. Glasky's wife, as to which he disclaims beneficial ownership. ITEM 5. OWNERSHIP OF 5% OR LESS OF CLASS. If this statement is being filed to report the fact that as of the date hereof the reported person has ceased to be the beneficial owner of more than 5% of the class of securities, check the following: [ ] ITEM 6. OWNERSHIP OF MORE THAN 5% ON BEHALF OF ANOTHER PERSON. N/A ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY. N/A ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP. N/A ITEM 9. NOTICE OF DISSOLUTION OF GROUP. N/A ITEM 10. CERTIFICATION. N/A 5 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. Dated: February 10, 1998 By: /s/ Alvin J. Glasky, Ph.D. ------------------------------- Alvin J. Glasky, Ph.D. -----END PRIVACY-ENHANCED MESSAGE-----