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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. )*
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SuperGen, Inc.
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(Name of Issuer)
Common Stock
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(Title of Class of Securities)
868 059 106
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(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).
Page 1 of 5 Pages
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CUSIP No. 868 059 106 13G Page 2 of 5 Pages
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(1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above
Persons
J. Gregory Swendsen
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(2) Check the Appropriate Box if a Member (a) / /
of a Group* (b) /X/
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(3) SEC Use Only
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(4) Citizenship or Place of Organization
United States of America
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Number of Shares (5) Sole Voting
Beneficially Power 0**
Owned by --------------------------------------------------
Each Reporting (6) Shared Voting
Person With Power 1,526,250**
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(7) Sole Dispositive
Power 0**
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(8) Shared Dispositive
Power 1,526,250**
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(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,526,250
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(10) Check Box if the Aggregate Amount in Row (9) Excludes Certain Shares*
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(11) Percent of Class Represented by Amount in Row (9)
9.0%
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(12) Type of Reporting Person*
IN
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*SEE INSTRUCTION BEFORE FILLING OUT!
**See Item 4(c)
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CUSIP No. 868 059 106 Page 3 of 5 Pages
ITEM 1(A). NAME OF ISSUER
SuperGen, Inc.
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ITEM 1(B). ADDRESS OF ISSUER'S PRINCIPAL EXECUTIVE OFFICES
6450 Hollis Street, Emeryville, CA 94608
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ITEM 2(A). NAME OF PERSON(S) FILING
J. Gregory Swendsen
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ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE
703 Market Street #906, San Francisco, CA 94103
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ITEM 2(C). CITIZENSHIP
United States of America
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ITEM 2(D). TITLE OF CLASS OF SECURITIES
Common Stock
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ITEM 2(E). CUSIP NUMBER
868 059 106
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ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULES 13d-1(b), OR 13d-2(b),
CHECK WHETHER THE PERSON FILING IS 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 Adviser registered under section 203 of the Investment
Advisers 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)
ITEM 4. OWNERSHIP
(a) Amount Beneficially Owned:
1,526,250 Shares of Common Stock
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(b) Percent of Class:
J. Gregory Swendsen, co-founder and a director of Issuer, acquired
1,526,250 shares of Common Stock of Issuer prior to Issuer's initial
public offering in March of 1996. On January 14, 1997, J. Gregory
Swendsen transferred all 1,526,250 of his shares of Common Stock to the
J. Gregory Swendsen and Susan H. Bell Revocable Inter Vivos Trust (the
"Trust"). As of January 14, 1997, J. Gregory Swendsen, as co-trustee of
the Trust, beneficially owns 1,526,250 shares of Common Stock
representing 9.0% of the outstanding shares of Common Stock of the
Issuer based on 16,924,042 shares of the Issuer's Common Stock
outstanding as of November 7, 1996, according to the Issuer's quarterly
report on Form 10-Q for the quarter ended September 30, 1996, filed
November 14, 1996.
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CUSIP No. 868 059 106 Page 4 of 5 Pages
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
0
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(ii) shared power to vote or to direct the vote
1,526,250
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(iii) sole power to dispose or to direct the disposition of
0
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(iv) shared power to dispose or to direct the disposition of
1,526,250
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**J. Gregory Swendsen and his wife, Susan H. Bell, as co-trustees of the Trust,
share voting and dispositive power of the 1,526,250 shares held in the Trust
name; PROVIDED, HOWEVER, that upon joint written instructions to a third
party, the co-trustees may designate a single co-trustee to act on behalf of
the trust.
ITEM 5. OWNERSHIP OF FIVE PERCENT OR LESS OF A CLASS
If this statement is being filed to report the fact that as of the date hereof
the reporting person has ceased to be the beneficial owner of more than five
percent of the class of securities, check the following. / /
ITEM 6. OWNERSHIP OF MORE THAN FIVE PERCENT ON BEHALF OF ANOTHER PERSON
See response to Item 4 above.
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ITEM 7. IDENTIFICATION AND CLASSIFICATION OF THE SUBSIDIARY WHICH ACQUIRED
THE SECURITY BEING REPORTED ON BY THE PARENT HOLDING COMPANY
N/A.
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ITEM 8. IDENTIFICATION AND CLASSIFICATION OF MEMBERS OF THE GROUP
N/A.
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ITEM 9. NOTICE OF DISSOLUTION OF GROUP
N/A.
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CUSIP No. 868 059 106 Page 5 of 5 Pages
ITEM 10. CERTIFICATION
N/A
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.
February 11, 1997
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Date
/s/ J. Gregory Swendsen
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Signature
J. Gregory Swendsen, Director
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Name/Title
