-----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, KS3dF2JRLuO3fnQoWCMATPl+Nst8emqSt6cb25ssFtPsh/i0jAIB7TwEXI9hkY7j s7FZLoX1T8Oyms1RUE+bWA== 0000910643-99-000168.txt : 19991224 0000910643-99-000168.hdr.sgml : 19991224 ACCESSION NUMBER: 0000910643-99-000168 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19991223 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 SEC ACT: SEC FILE NUMBER: 005-49329 FILM NUMBER: 99779841 BUSINESS ADDRESS: STREET 1: 157 TECHNOLOGY DR STREET 2: STE J-821 CITY: IRVINE STATE: CA ZIP: 92618 BUSINESS PHONE: 9497886700 MAIL ADDRESS: STREET 1: 157 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: STRONG RIVER INVESTMENTS INC CENTRAL INDEX KEY: 0001101751 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: GONZALEZ-RUIZ ALEMAN LTD WICKHAMS CAY I STREET 2: VANTERPOOL PLZ PO BOX 873 ROAD TOWN CITY: TORTOLLA BVI MAIL ADDRESS: STREET 1: GONZALES-RUIZ ALEMAN LTD WICKHAMS CAY I STREET 2: VANTERPOOL PLZ PO BOX 873 ROAD TOWN CITY: TORTOLLA BVI SC 13G 1 SECURITIES AND EXCHANGE COMMISSION WASHINGTON, D.C. 20549 SCHEDULE 13G (Rule 13d-102) INFORMATION TO BE INCLUDED IN THE STATEMENTS FILED PURSUANT TO RULES 13d-1(b)(c), AND (d) AND AMENDMENTS THERETO FILED PURSUANT TO RULE 13d-2(b) (Amendment No. __)* NeoTherapeutics, Inc. - ---------------------------------------------------------------------------- (Name of Issuer) Common Stock, $.001 par value per share - ---------------------------------------------------------------------------- (Title of Class of Securities) 640656-10-4 ------------------------- (CUSIP Number) November 22, 1998 - ----------------------------------------------------------------------------- (Date of Event Which Requires Filing of this Statement) Check the appropriate box to designate the rule pursuant to which this Schedule is filed: [ ] Rule 13d-1(b) [X] Rule 13d-1(c) [ ] 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). Page 1 of 6 _____________________________________________________________________________ 1 NAMES OF REPORTING PERSONS I.R.S. IDENTIFICATION NOS. OF ABOVE PERSONS (Entities Only) Strong River Investments, Inc. _____________________________________________________________________________ 2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP* (a) [X] (b) [ ] (See Item 6) _____________________________________________________________________________ 3 SEC USE ONLY _____________________________________________________________________________ 4 CITIZENSHIP OR PLACE OF ORGANIZATION British Virgin Islands _____________________________________________________________________________ 5 SOLE VOTING POWER NUMBER OF -0- SHARES ______________________________________________________________ BENEFICIALLY 6 SHARED VOTING POWER OWNED BY 496,916 (See Item 4) ______________________________________________________________ EACH 7 SOLE DISPOSITIVE POWER REPORTING -0- ______________________________________________________________ PERSON 8 SHARED DISPOSITIVE POWER WITH 496,916 (See Item 4) _____________________________________________________________________________ 9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON 496,916 (See Item 4) _____________________________________________________________________________ 10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN SHARES* [X] _____________________________________________________________________________ 11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (9) 5.41% (See Item 4) _____________________________________________________________________________ 12 TYPE OF REPORTING PERSON* Company _____________________________________________________________________________ * SEE INSTRUCTIONS BEFORE FILLING OUT! Page 2 of 6 Item 1(a). Name of Issuer: NeoTherapeutics, Inc. Item 1(b). Address of Issuer's Principal Executive Offices: 157 Technology Drive, Irvine, CA 92618 Item 2(a). Name of Person Filing: Strong River Investments, Inc. Item 2(b). Address of Principal Business Office or, if None, Residence: Gonzalez-Ruiz & Aleman (BVI) Limited, Wickhams Cay I, Vanterpool Plaza, P.O. Box 873, Road Town, Tortolla, BVI Item 2(c). Citizenship: British Virgin Islands. Item 2(d). Title of Class of Securities: Common Stock, par value $.001 per share Item 2(e). CUSIP Number: 640656104 Item 3. If this Statement Is Filed Pursuant to Rules 13d-1(b), or 13d- 2(b) or (c), Check Whether the Person Filing is a: (a) [ ] Broker or dealer registered under Section 15 of the Exchange Act; (b) [ ] Bank as defined in Section 3(a)(6) of the Exchange Act; (c) [ ] Insurance company as defined in Section 3(a)(19) of the Exchange Act; (d) [ ] Investment company registered under Section 8 of the Investment Company Act; (e) [ ] An investment advisor in accordance with Rule 13d- 1(b)(1)(ii)(E); (f) [ ] An employee benefit plan or endowment fund in accordance with Rule 13d-1(b)(1)(ii)(F); (g) [ ] A parent holding company or control person in accordance with Rule 13d-1(b)(1)(ii)(G); (h) [ ] A savings association as defined in Section 3(b) of the Federal Deposit Insurance Act; (i) [ ] A church plan that is excluded from the definition of an investment company under Section 3(c)(14) of the Investment Company Act; (j) [ ] Group, in accordance with Rule 13d-1(b)(1)(ii)(J). If this statement is filed pursuant to Rule 13d-1(c), check this box. [X] Item 4. Ownership. Provide the following information regarding the aggregate number and percentages of securities of the issuer identified in Item 1. Page 3 of 6 (a) Amount beneficially owned: 496,916 shares of Common Stock(1) ------------------------- (b) Percent of class: 5.41% (based on 9,124,576 shares of the issuer's Common Stock outstanding as December 13, 1999). (c) Number of shares to which such person has: (i) Sole power to vote or direct the vote: -0- (ii) Shared power to vote or direct the vote: 496,916(1) (iii) Sole power to dispose or to direct the disposition of: -0- (iv) Shared power to dispose of or direct the disposition of: 496,916(1) Item 5. Ownership of Five Percent or Less of a Class: Not applicable. Item 6. Ownership of More than Five Percent on Behalf of Another Person: Pursuant to an investment management agreement between Strong River Investment, Inc. and Enright Holding Corp. ("Enright"), Enright has the power to sell or vote on behalf of Strong River Investments, some or all of the shares of Common Stock to which this report relates. As such, under Rule 13d-3(a), Enright may be deemed to be the beneficial owner of the shares. Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported By the Parent Holding Company. Not applicable. - -------------------- (1) Does not include the number of shares issuable upon exercise of Adjustable Warrants issued to Strong River Investments on November 19, 1999. the actual number of shares issuable upon exercise of the Adjustable Warrants will be determined at each of two vesting dates, March 18, 2000 and May 17, 2000, based on certain assumptions as to the price of the issuer's Common Stock. Page 4 of 6 Item 8. Identification and Classification of Members of the Group. Not applicable. Item 9. Notice of Dissolution of a Group. Not applicable. Item 10. Certification. By signing below, the undersigned certify that, to the best of its knowledge and belief, the securities referred to above 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 such purpose or effect. Page 5 of 6 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. STRONG RIVER INVESTMENTS, INC. By: ENRIGHT HOLDING CORP., Investment Manager By:/s/ Avi Vigder ---------------------------- Name: Avi Vigder Title: Managing Director Page 6 of 6 -----END PRIVACY-ENHANCED MESSAGE-----