-----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, HsmTIE5hnZh+Bc9D3vL4PZVKCtDJ4eCW88J6C1f9hUtbQsyN5+YMGihO577TJJGN DC+ARcTOESW0Sby5y316IA== 0000912057-97-003834.txt : 19970221 0000912057-97-003834.hdr.sgml : 19970221 ACCESSION NUMBER: 0000912057-97-003834 CONFORMED SUBMISSION TYPE: SC 13D PUBLIC DOCUMENT COUNT: 1 FILED AS OF DATE: 19970210 SROS: NASD SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SUPERGEN INC CENTRAL INDEX KEY: 0000919722 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 943132190 STATE OF INCORPORATION: CA FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13D SEC ACT: 1934 Act SEC FILE NUMBER: 005-48769 FILM NUMBER: 97522098 BUSINESS ADDRESS: STREET 1: 6400 HOLLIS ST STE 8 CITY: EMERYVILLE STATE: CA ZIP: 94608 MAIL ADDRESS: STREET 2: 6450 HOLLIS ST CITY: EMERYVILLE STATE: CA ZIP: 94608 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: BELL SUSAN H CENTRAL INDEX KEY: 0001032686 STANDARD INDUSTRIAL CLASSIFICATION: [] FILING VALUES: FORM TYPE: SC 13D BUSINESS ADDRESS: STREET 1: 703 MARKET ST STREET 2: STE 906 CITY: SAN FRANCISCO STATE: CA ZIP: 94103 BUSINESS PHONE: 4157772002 MAIL ADDRESS: STREET 1: 703 MARKET ST STREET 2: STE 906 CITY: SAN FRANCISCO STATE: CA ZIP: 94103 SC 13D 1 SC 13D UNITED STATES SECURITIES AND EXCHANGE COMMISSION Washington, D.C. 20549 SCHEDULE 13D Under the Securities Exchange Act of 1934 (Amendment No. __)* SuperGen, Inc. -------------------------------------------------------- (Name of Issuer) Common Stock -------------------------------------------------------- (Title of Class of Securities) 868 059 106 -------------------------------------------------------- (CUSIP Number) J. Gregory Swendsen, 703 Market Street #906 San Francisco, CA 94103 (415) 777-2002 -------------------------------------------------------- (Name, Address and Telephone Number of Person Authorized to Receive Notices and Communications) January 14, 1997 -------------------------------------------------------- (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 / /. Check the following box if a fee is being paid with this statement / /. (A fee is not required only if the reporting person: (1) has a previous statement on file reporting beneficial ownership of more than five percent of the class of securities described in Item 1; and (2) has filed no amendment subsequent thereto reporting beneficial ownership of five percent or less of such class. (See Rule 13d-7.) NOTE: Six copies of this statement, including all exhibits, should be filed with the Commission. See Rule 13d-1(a) for other parties to whom copies are to be sent. *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 disclosures provided in a prior cover page. 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). (Continued on following page(s)) Page 1 of 5 Pages --- CUSIP No. 868 059 106 13D Page 2 of 5 Pages ----------- --- --- - ------------------------------------------------------------------------------- (1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above Persons Susan H. Bell - ------------------------------------------------------------------------------- (2) Check the Appropriate Box if a Member (a) / / of a Group (See Instruction) (b) / / - ------------------------------------------------------------------------------- (3) SEC Use Only - ------------------------------------------------------------------------------- (4) Source of Funds (See Instructions) 00 - ------------------------------------------------------------------------------- (5) Check if Disclosure of Legal Proceedings is Required Pursuant to Items 2(d) or 2(e) - ------------------------------------------------------------------------------- (6) Citizenship or Place of Organization United States - ------------------------------------------------------------------------------- Number of Shares (7) Sole Voting Power Beneficially Owned 0 by Each Reporting -------------------------------------------------- Person With (8) Shared Voting Power 1,526,250 -------------------------------------------------- (9) Sole Dispositive Power 0 -------------------------------------------------- (10) Shared Dispositive Power 1,526,250 - ------------------------------------------------------------------------------- (11) Aggregate Amount Beneficially Owned by Each Reporting Person 1,526,250 - ------------------------------------------------------------------------------- (12) Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions) / / - ------------------------------------------------------------------------------- (13) Percent of Class Represented by Amount in Row (11) 9.02% - ------------------------------------------------------------------------------- (14) Type of Reporting Person (See Instructions) IN - ------------------------------------------------------------------------------- *SEE INSTRUCTION BEFORE FILLING OUT! Page 3 of 5 Pages --- --- ITEM 1. SECURITY AND ISSUER Common Stock of SuperGen, Inc. (the "Company"), 6450 Hollis Street, Suite 8, Emeryville, California 94608 ITEM 2. IDENTITY AND BACKGROUND Set forth below is the following information with respect to the individual on behalf of whom this Schedule 13D is being signed: (a) name; (b) address; (c) information concerning principal occupation or employment; (d) information concerning criminal convictions during the past five years; (e) information concerning civil or administrative proceedings during the past five years; and (f) information with respect to citizenship. (a) Susan H. Bell (b) 703 Market Street #906 San Francisco, CA 94103 (c) Artist (d) No convictions in criminal proceedings. (e) No civil or administrative proceedings. (f) United States. ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION Susan H. Bell indirectly owns the 1,526,250 shares of the Company's Common Stock held by the J. Gregory Swendsen and Susan H. Bell Revocable Inter Vivos Trust (the "Trust"), of which she is co-trustee and holds a vested beneficiary interest. The Trust acquired 1,526,250 shares as a gift from J. Gregory Swendsen on January 14, 1997. ITEM 4. PURPOSE OF TRANSACTION Susan H. Bell beneficially acquired the shares of the Company's Common Stock through a gift from her husband to the Trust. She holds no shares other than as a co-trustee of the Trust and has no current or future plans to acquire additional shares of the issuer. ITEM 5. INTEREST IN SECURITIES OF THE ISSUER (a) The aggregate number and percentage of the class of securities identified pursuant to Item 1 of this Schedule 13D that are beneficially owned by Susan H. Bell are as follows: Page 4 of 5 Pages --- --- Name Shares Beneficially Owned Percent of Class(1) - ------------------- ------------------------- ------------------------ Susan H. Bell 1,526,250 9.02% ____________________ (1) Based on 16,924,042 shares of the Company's Common Stock outstanding as of November 7, 1996, according to the Company's quarterly report on Form 10-Q for the quarter ended September 30, 1996, filed November 14, 1996. (b) With respect to the 1,526,250 shares of the Company's Common Stock owned by the Trust, Susan H. Bell shares voting and dispositive power with her husband, J. Gregory Swendsen, as co-trustee. (c) The following is a list of transactions within the past sixty days by Susan Bell: None. (d) N/A. (e) N/A. ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT TO SECURITIES OF THE ISSUER. None. ITEM 7. MATERIAL TO BE FILED AS EXHIBITS None. Page 5 of 5 Pages --- --- ITEM 8. SIGNATURE PAGE: 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. /s/ Susan H. Bell Dated: February 7, 1997 ---------------------------------------- Susan H. Bell -----END PRIVACY-ENHANCED MESSAGE-----