-----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, Tmu7TwGcXj88K4i5dfm+JnIhp0i81w1K7sgUiD7a5C2wS3gWSnvX0Z8YYLq2S2dT tsDO3Tb+z8BcVWvgyI0LNQ== 0000912057-01-523806.txt : 20010716 0000912057-01-523806.hdr.sgml : 20010716 ACCESSION NUMBER: 0000912057-01-523806 CONFORMED SUBMISSION TYPE: SC 13G PUBLIC DOCUMENT COUNT: 2 FILED AS OF DATE: 20010713 GROUP MEMBERS: CEPHALOPOD CORPORATION GROUP MEMBERS: LAWRENCE INVESTMENTS, LLC GROUP MEMBERS: LAWRENCE J. ELLISON GROUP MEMBERS: TAKO VENTURES LLC SUBJECT COMPANY: COMPANY DATA: COMPANY CONFORMED NAME: SUPERGEN INC CENTRAL INDEX KEY: 0000919722 STANDARD INDUSTRIAL CLASSIFICATION: PHARMACEUTICAL PREPARATIONS [2834] IRS NUMBER: 911841574 STATE OF INCORPORATION: DE FISCAL YEAR END: 1231 FILING VALUES: FORM TYPE: SC 13G SEC ACT: SEC FILE NUMBER: 005-48769 FILM NUMBER: 1681132 BUSINESS ADDRESS: STREET 1: 4140 DUBLIN BLVD STREET 2: SUITE 200 CITY: DUBLIN STATE: CA ZIP: 94568 BUSINESS PHONE: 9255600100 MAIL ADDRESS: STREET 1: 4140 DUBLIN BLVD STREET 2: STE 200 CITY: DUBLIN STATE: CA ZIP: 94568 FILED BY: COMPANY DATA: COMPANY CONFORMED NAME: TAKO VENTURES LLC CENTRAL INDEX KEY: 0001041684 STANDARD INDUSTRIAL CLASSIFICATION: [] IRS NUMBER: 943240347 FILING VALUES: FORM TYPE: SC 13G BUSINESS ADDRESS: STREET 1: C/O HOUSICH & SHIRON STREET 2: 220 MONTGOMERY ST #1401 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 BUSINESS PHONE: 4153885772 MAIL ADDRESS: STREET 1: C/O HOUSICH & SHIRON STREET 2: 220 MONTGOMERY ST #1401 CITY: SAN FRANCISCO STATE: CA ZIP: 94104 SC 13G 1 a2054044zsc13g.htm SC 13G Prepared by MERRILL CORPORATION
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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
Washington, D.C. 20549

SCHEDULE 13G

Under the Securities Exchange Act of 1934

(Amendment No.     )*


SuperGen, Inc.

(Name of Issuer)

Common Stock, $.001 par value

(Title of Class of Securities)

 

 

868-059106

 

 
   
(CUSIP Number)
   

June 14, 2001

(Date of Event Which Requires Filing of this Statement)

Check the appropriate box to designate 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).

    Persons who respond to the collection of information contained in this form are not required to respond unless the form displays a currently valid OMB control number.


CUSIP No.      868-059106    

             

(1)   Names of Reporting Persons.
I.R.S. Identification Nos. of above person (entities only).

 

 

TAKO Ventures, LLC

 

 

 

 

(2)   Check the Appropriate Box if a Member   (a)   / /
    of a Group (See Instructions)   (b)   / /

 

 

 

 

 

 

 

(3)   Sec Use Only

 

 

 

 

 

 

 

(4)   Citizenship or Place of Organization

 

 

California

 

 

 

 

Number of Shares Beneficially Owned by Each Reporting Person With:   (5)   Sole Voting Power

 

 

 

 

 

 

2,506,413 (1)
       
        (6)   Shared Voting Power

 

 

 

 

 

 

 
       
        (7)   Sole Dispositive Power

 

 

 

 

 

 

2,506,413 (1)
       
        (8)   Shared Dispositive Power

 

 

 

 

 

 

 

(9)   Aggregate Amount Beneficially Owned by Each Reporting Person

 

 

2,506,413 (1)

 

 

 

 

(10)   Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)  / /

 

 

 

 

 

 

 

(11)   Percent of Class Represented by Amount in Row (11)

 

 

7.2% (2)

 

 

 

 

(12)   Type of Reporting Person (See Instructions)

 

 

OO (Limited Liability Company)

 

 

 

 


CUSIP No.      868-059106    

             

(1)   Names of Reporting Persons.
I.R.S. Identification Nos. of above person (entities only).

 

 

Lawrence J. Ellison

 

 

 

 

(2)   Check the Appropriate Box if a Member   (a)   / /
    of a Group (See Instructions)   (b)   / /

 

 

 

 

 

 

 

(3)   Sec Use Only

 

 

 

 

 

 

 

(4)   Citizenship or Place of Organization

 

 

California

 

 

 

 

Number of Shares Beneficially Owned by Each Reporting Person With:   (5)   Sole Voting Power

 

 

 

 

 

 

2,506,413 (1)
       
        (6)   Shared Voting Power

 

 

 

 

 

 

 
       
        (7)   Sole Dispositive Power

 

 

 

 

 

 

2,506,413 (1)
       
        (8)   Shared Dispositive Power

 

 

 

 

 

 

 

(9)   Aggregate Amount Beneficially Owned by Each Reporting Person

 

 

2,506,413 (1)

 

 

 

 

(10)   Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)  / /

 

 

 

 

 

 

 

(11)   Percent of Class Represented by Amount in Row (11)

 

 

7.2% (2)

 

 

 

 

(12)   Type of Reporting Person (See Instructions)

 

 

IN

 

 

 

 


CUSIP No.      868-059106    

             

(1)   Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

 

Cephalopod Corporation

 

 

 

 

(2)   Check the Appropriate Box if a Member   (a)   / /
    of a Group (See Instructions)   (b)   / /

 

 

 

 

 

 

 

(3)   Sec Use Only

 

 

 

 

 

 

 

(4)   Citizenship or Place of Organization

 

 

California

 

 

 

 

Number of Shares Beneficially Owned by Each Reporting Person With:   (5)   Sole Voting Power

 

 

 

 

 

 

2,506,413 (1)
       
        (6)   Shared Voting Power

 

 

 

 

 

 

 
       
        (7)   Sole Dispositive Power

 

 

 

 

 

 

2,506,413 (1)
       
        (8)   Shared Dispositive Power

 

 

 

 

 

 

 

(9)   Aggregate Amount Beneficially Owned by Each Reporting Person

 

 

2,506,413 (1)

 

 

 

 

(10)   Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)  / /

 

 

 

 

 

 

 

(11)   Percent of Class Represented by Amount in Row (11)

 

 

7.2% (2)

 

 

 

 

(12)   Type of Reporting Person (See Instructions)

 

 

CO

 

 

 

 


CUSIP No.      868-059106    

             

(1)   Names of Reporting Persons.
I.R.S. Identification Nos. of above persons (entities only).

 

 

Lawrence Investments, LLC

 

 

 

 

(2)   Check the Appropriate Box if a Member   (a)   / /
    of a Group (See Instructions)   (b)   / /

 

 

 

 

 

 

 

(3)   Sec Use Only

 

 

 

 

 

 

 

(4)   Citizenship or Place of Organization

 

 

 

 

 

 

California

Number of Shares Beneficially Owned by Each Reporting Person With:   (5)   Sole Voting Power

 

 

 

 

 

 

2,506,413 (1)
       
        (6)   Shared Voting Power

 

 

 

 

 

 

 
       
        (7)   Sole Dispositive Power

 

 

 

 

 

 

2,506,413 (1)
       
        (8)   Shared Dispositive Power

 

 

 

 

 

 

 

(9)   Aggregate Amount Beneficially Owned by Each Reporting Person

 

 

2,506,413 (1)

 

 

 

 

(10)   Check if the Aggregate Amount in Row (11) Excludes Certain Shares (See Instructions)  / /

 

 

 

 

 

 

 

(11)   Percent of Class Represented by Amount in Row (11)

 

 

7.2% (2)

 

 

 

 

(12)   Type of Reporting Person (See Instructions)

 

 

OO (Limited Liability Company)

 

 

 

 

(1)
See discussion in footnote 1 to Item 4 below.
(2)
See discussion in footnote 2 to Item 4 below.

Item 1

(a)   Name of Issuer

 

 

SuperGen, Inc.
   
(b)   Address of Issuer's Principal Executive Offices

 

 

4140 Dublin Blvd., Suite 200, Dublin, California 94568
   

Item 2

(a)   Name of Person Filing

 

 

This statement is being filed jointly by: (1) Tako Ventures, LLC, a California limited liability company ("Tako"), (2) Cephalopod Corporation, a California corporation ("Cephalopod"), (3) Lawrence Investments, LLC, a California limited liability company ("Lawrence Investments"), and (4) Lawrence J. Ellison, a natural person whose principal occupation is Chief Executive Officer of Oracle Corporation. Tako, Cephalopod, Lawrence Investments and Lawrence J. Ellison will be collectively identified hereinafter as the "Reporting Persons." This Schedule 13G relates solely to, and is being filed for, the investment by the Reporting Persons and does not relate to any investment by Oracle Corporation or by Lawrence J. Ellison in his capacity as Chief Executive Officer of Oracle Corporation. This Statement is based upon the Reporting Persons' direct and indirect beneficial ownership of shares of the Issuer.
   

(b)

 

Address of Principal Business Office or, if none, Residence

 

 

The business address of Tako, Cephalopod and Lawrence Investments is: c/o Howson & Simon CPAs, L.P., 101 Ygnacio Valley Road, Suite 310, Walnut Creek, CA 94596-4061. The business address of Lawrence J. Ellison is: c/o Oracle Corporation, 500 Oracle Parkway (M-S 5opCEO), Redwood Shores, CA 94065.
   

(c)

 

Citizenship

 

 

The citizenship of all Reporting Persons is California
   

(d)

 

Title of Class of Securities

 

 

Common Stock, par value $.001
   

(e)

 

CUSIP Number

 

 

868-059106
   
Item 3. If this statement is filed pursuant to Sections 240.13d-1(b) or 240.13d-2(b) or (c), check whether the person filing is a:

(1)

 

/ /

 

Broker or dealer registered under section 15 of the Act (15 U.S.C. 78o).

(2)

 

/ /

 

Bank as defined in section 3(a)(6) of the Act (15 U.S.C. 78c).

(3)

 

/ /

 

Insurance company as defined in section 3(a)(19) of the Act (15 U.S.C. 78c).

(4)

 

/ /

 

Investment company registered under section 8 of the Investment Company Act of 1940 (15 U.S.C. 80a-8).

(5)

 

/ /

 

An investment adviser in accordance with Section 240.13d-1(b)(1)(ii)(E);


(6)

 

/ /

 

An employee benefit plan or endowment fund in accordance with Section 240.13d-1(b)(1)(ii)(F);

(7)

 

/ /

 

A parent holding company or control person in accordance with Section 240.13d-1(b)(1)(ii)(G);

(8)

 

/ /

 

A savings associations as defined in Section 3(b) of the Federal Deposit Insurance Act (12 U.S.C. 1813);

(9)

 

/ /

 

A church plan that is excluded from the definition of an investment company under section 3(c)(14) of the Investment Company Act of 1940 (15 U.S.C. 80a-3);

(10)

 

/ /

 

Group, in accordance with Section 240.13d-1(b)(1)(ii)(J).

Item 4. Ownership.

(a)   Amount beneficially owned:

 

 

 

 

2,506,413 (1)
       
(b)   Percent of class:

 

 

 

 

 
        7.2% (2)
       
(c)   Number of shares as to which the person has:
         
    (i)   Sole power to vote or to direct the vote

 

 

 

 

2,506,413 (1)
       
    (ii)   Shared power to vote or to direct the vote

 

 

 

 

 
        n/a
       
    (iii)   Sole power to dispose or to direct the disposition of

 

 

 

 

2,506,413 (1)
       
    (iv)   Shared power to dispose or to direct the disposition of

 

 

 

 

n/a.
       
    (1)
    Tako holds the shares of the Issuer as follows:

           (i) 731,413 shares of the Issuer's Common Stock of are owned by Tako.

          (ii) 500,000 shares of the Issuer's Common Stock are issuable to Tako at a price of $13.50 per share pursuant to a non-redeemable warrant, which subject to certain exceptions is exercisable at any time prior to 5:00 p.m. (Pacific time) on June 17, 2007.

          (iii) 230,000 shares of the Issuer's Common Stock are issuable to Tako at a price of $10.35 per share pursuant to a non-redeemable warrant, which subject to certain exceptions is exercisable at any time prior to 5:00 p.m. (Pacific time) on June 17, 2007.

          (iv) 545,000 shares of the Issuer's Common Stock are issuable to Tako at a price of $13.50 per share pursuant to a non-redeemable warrant, which subject to certain exceptions is exercisable at any time prior to 5:00 p.m. (Pacific time) on June 17, 2007.

          (v) 500,000 shares of the Issuer's Common Stock are issuable to Tako at a price of $11.00 per share pursuant to a non-redeemable warrant, which subject to certain exceptions is exercisable at any time prior to 5:00 p.m. (Pacific time) on March 25, 2004.

    (2)
    All calculations are based on 34,516,568 shares of the Issuer's Common Stock outstanding, which is the sum of (i) 32,741,568 shares of the Issuer's Common Stock outstanding as of 5/9/2001, as reported on the Company's Quarterly Report on Form 10-Q filed on 5/15/2001, and (ii) the additional 1,775,000 shares of Common Stock by which the outstanding Common Stock of the Issuer would increase upon exercise of the warrants mentioned in footnote 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.

    Not applicable


Item 7. Identification and Classification of the Subsidiary Which Acquired the Security Being Reported on By the Parent Holding Company

    Not applicable

Item 8. Identification and Classification of Members of the Group

    Not applicable

Item 9. Notice of Dissolution of Group

    Not applicable

Item 10. Certification

    By signing below I certify that, to the best of my 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 that purpose or effect.



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.

TAKO VENTURES, LLC   CEPHALOPOD CORPORATION
By: Cephalopod Corporation, Member    

By:

/s/ 
PHILIP B. SIMON   

 

/s/ 
PHILIP B. SIMON   
Name: Philip B. Simon
Title: President
  Name: Philip B. Simon
Title: President

LAWRENCE INVESTMENTS, LLC

 

LAWRENCE J. ELLISON

/s/ 
PHILIP B. SIMON   

 

/s/ 
LAWRENCE J. ELLISON   
By: Philip B. Simon
Title: Member
   

EXHIBITS

99.1   Joint Filing Agreement among the Reporting Parties



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EX-99.1 2 a2054044zex-99_1.htm EXHIBIT 99.1 Prepared by MERRILL CORPORATION
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EXHIBIT 99.1


JOINT FILING AGREEMENT

    WHEREAS, the statement on Schedule 13G to which this agreement is an exhibit (the "Joint Statement") is being filed on behalf of two or more persons (collectively, the "Reporting Persons"); and

    WHEREAS, the Reporting Persons prefer to file the Joint Statement on behalf of all Reporting Persons rather than individual statements on Schedule 13G on behalf of each of the Reporting Persons;

    NOW, THEREFORE, the undersigned hereby agree as follows with each of the other Reporting Persons:

    1.  Each of the Reporting Persons is individually eligible to use the Joint Statement.

    2.  Each of the Reporting Persons is responsible for the timely filing of the Joint Statement and any amendments thereto.

    3.  Each of the Reporting Persons is responsible for the completeness and accuracy of the information concerning such person contained in the Joint Statement.

    4.  None of the Reporting Persons is responsible for the completeness or accuracy of the information concerning the other Reporting Persons contained in the Joint Statement, unless such person knows or has reason to believe that such information is inaccurate.

    5.  The undersigned agree that the Joint Statement is, and any amendment thereto will be, filed on behalf of each of the Reporting Persons.

Dated: July 9, 2001

TAKO VENTURES, LLC

 

CEPHALOPOD CORPORATION
By: Cephalopod Corporation, Member    

By:

/s/ 
PHILIP B. SIMON   

 

/s/ 
PHILIP B. SIMON   
Name: Philip B. Simon
Title: President
  Name: Philip B. Simon
Title: President

LAWRENCE INVESTMENTS, LLC

 

LAWRENCE J. ELLISON

/s/ 
PHILIP B. SIMON   

 

/s/ 
LAWRENCE J. ELLISON   
By: Philip B. Simon
Title: Member
   



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JOINT FILING AGREEMENT
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