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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 6 Pages
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CUSIP No. 868 059 106 13G Page 2 of 6 Pages
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(1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above
Persons
Joseph Rubinfeld
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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 55,000**(BENEFICIAL OWNERSHIP OF
Owned by 35,000 OF THESE SHARES IS
Each Reporting DISCLAIMED)
Person With --------------------------------------------------
(6) Shared Voting
Power 1,677,500
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(7) Sole Dispositive
Power 55,000**(BENEFICIAL
OWNERSHIP OF 35,000 OF
THESE SHARES IS DISCLAIMED)
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(8) Shared Dispositive
Power 1,677,500
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(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,982,500**(BENEFICIAL OWNERSHIP OF 35,000 OF THESE SHARES IS DISCLAIMED)
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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)
11.7%
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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 13G Page 3 of 6 Pages
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(1) Names of Reporting Persons. S.S. or I.R.S. Identification Nos. of Above
Persons
Loretta Rubinfeld
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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 1,677,500
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(7) Sole Dispositive
Power 0
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(8) Shared Dispositive
Power 1,677,500
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(9) Aggregate Amount Beneficially Owned by Each Reporting Person
1,712,500**(BENEFICIAL OWNERSHIP OF 35,000 OF THESE SHARES IS DISCLAIMED)
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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)
10.1%
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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 4 of 6 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
Joseph Rubinfeld and Loretta Rubinfeld, husband and wife
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ITEM 2(B). ADDRESS OF PRINCIPAL BUSINESS OFFICE OR, IF NONE, RESIDENCE
6450 Hollis Street, Emeryville, CA 94608
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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:
(i) Joseph Rubinfeld--1,982,500 shares**
(ii) Loretta Rubinfeld--1,712,500 shares**
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(b) Percent of Class:
(i) Joseph Rubinfeld--11.7%** of the outstanding shares of Common Stock
of Issuer, based on 16,924,042 shares of Issuer's Common Stock
outstanding as of November 7, 1996, according to Issuer's
quarterly report on Form 10-Q for the quarter ended September
30, 1996, filed November 14, 1996.
(ii) Loretta Rubinfeld--10.1%** of the outstanding shares of Common
Stock of Issuer, based on 16,924,042 shares of Issuer's Common
Stock outstanding as of November 7, 1996, according to 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 5 of 6 Pages
(c) Number of shares as to which such person has:
(i) sole power to vote or to direct the vote
Joseph Rubinfeld 55,000 shares**
Loretta Rubinfeld 0 shares
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(ii) shared power to vote or to direct the vote
Joseph Rubinfeld 1,677,500 shares
Loretta Rubinfeld 1,677,500 shares
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(iii) sole power to dispose or to direct the disposition of
Joseph Rubinfeld 55,000 shares**
Loretta Rubinfeld 0 shares
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(iv) shared power to dispose or to direct the disposition of
Joseph Rubinfeld 1,677,500 shares
Loretta Rubinfeld 1,677,500 shares
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**BENEFICIAL OWNERSHIP OF 35,000 OF THESE SHARES REGISTERED IN THE NAME OF
JOSEPH AND LORETTA RUBINFELD AS CUSTODIANS UNDER THE CALIFORNIA UNIFORM
TRANSFERS TO MINORS ACT IS DISCLAIMED AS SET FORTH ON PAGES 2 AND 3 OF THIS
STATEMENT. 20,000 SHARES ARE REGISTERED TO JOSEPH RUBINFELD, INDIVIDUALLY,
AND THESE SHARES ARE NOT INCLUDED IN THE AGGREGATE NUMBER OF SHARES
BENEFICIALLY OWNED BY LORETTA RUBINFELD, HIS WIFE, NOTWITHSTANDING THE
COMMUNITY PROPERTY LAWS OF THE STATE OF CALIFORNIA. 1,677,500 SHARES OWNED
JOINTLY BY REPORTING PERSONS ARE REGISTERED TO JOSEPH AND LORETTA RUBINFELD.
ALSO REPORTED IN THE AGGREGATE NUMBER OF SHARES BENEFICIALLY OWNED BY JOSEPH
RUBINFELD BUT NOT BY LORETTA RUBINFELD IS AN OPTION TO PURCHASE 250,000
SHARES OF COMMON STOCK, FULLY VESTED AND EXERCISABLE WITHIN 60 DAYS AFTER
DECEMBER 31, 1996 (PROVIDED, HOWEVER, THAT ALL OF SUCH OPTIONS (500,000)
BECOME IMMEDIATELY FULLY VESTED AND EXERCISABLE IN THE EVENT OF THE EXERCISE
OF ALL OF THE OUTSTANDING WARRANTS ISSUED IN CONNECTION WITH ISSUER'S INITIAL
PUBLIC OFFERING OR IF A CHANGE OF CONTROL OF ISSUER OCCURS).
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
N/A.
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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 6 of 6 Pages
ITEM 10. CERTIFICATION
N/A
SIGNATURE
Each of the undersigned hereby agrees that they are filing jointly
pursuant to Rule 13d-1(f)(1) of the Securities Exchange Act of 1934, as
amended, the Statement dated February 12, 1996 containing the information
required by Schedule 13G for the Shares of Common Stock of SuperGen, Inc.
which they beneficially hold.
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 12, 1997
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Date
/s/ Joseph Rubinfeld
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Signature
Joseph Rubinfeld, Chief Executive
Officer, President, Chief Scientific
Officer and Chairman of the Board
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Name/Title
February 12, 1997
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Date
/s/ Loretta Rubinfeld
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Signature
Loretta Rubinfeld
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Name/Title
