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UNITED STATES
SECURITIES AND EXCHANGE COMMISSION
WASHINGTON, D.C. 20549
SCHEDULE 13D
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2)*
SuperGen, Inc.
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(Name of Issuer)
Common Stock, $.001 par value
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(Title of Class of Securities)
868-059106
-------------------------------------
(CUSIP Number)
Rod J. Howard
Gray Cary Ware & Freidenrich
A Professional Corporation
400 Hamilton Avenue
Palo Alto, CA 94301-3699
(650) 328-6561
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(Name, Address and Telephone Number of Person Authorized to Receive Notices and
Communications)
November 18, 1997
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(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 the 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).
SEC 1746 (12-91)
<PAGE>
CUSIP NO. 868-059106 SCHEDULE 13D PAGE 2 OF 9 PAGES
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1 NAME OF REPORTING PERSON
S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Tako Ventures, LLC
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) /X/
(b) / /
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
BK, WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
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NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 3,825,000 (1)
OWNED BY --------------------------------------------------------------
BY EACH 8 SHARED VOTING POWER
REPORTING
PERSON --------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
3,825,000 (1)
--------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
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11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,825,000 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions)
/ /
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
18%
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14 TYPE OF REPORTING PERSON (See Instructions)
OO (Limited Liability Company)
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
<PAGE>
CUSIP NO. 868-059106 SCHEDULE 13D PAGE 3 OF 9 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Lawrence J. Ellison
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) /X/
(b) / /
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3 SEC USE ONLY
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4 SOURCE OF FUNDS*
BK
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
U.S.A.
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NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 3,825,000 (1)
OWNED BY ------------------------------------------------------------
BY EACH 8 SHARED VOTING POWER
REPORTING
PERSON
WITH ------------------------------------------------------------
9 SOLE DISPOSITIVE POWER
3,825,000 (1)
------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,825,000 (1)
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions)
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
18%
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14 TYPE OF REPORTING PERSON (See Instructions)
IN
- --------------------------------------------------------------------------------
*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
<PAGE>
CUSIP NO. 868-059106 SCHEDULE 13D PAGE 4 OF 9 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Cephalopod Corporation
- --------------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) /X/
(b) / /
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3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
BK, WC
- --------------------------------------------------------------------------------
5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
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NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 3,825,000 (1)
OWNED BY -------------------------------------------------------------
BY EACH 8 SHARED VOTING POWER
REPORTING
PERSON -------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
3,825,000 (1)
-------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,825,000 (1)
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12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions)
/ /
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13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
18%
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14 TYPE OF REPORTING PERSON (See Instructions)
CO
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
<PAGE>
CUSIP NO. 868-059106 SCHEDULE 13D PAGE 5 OF 9 PAGES
- --------------------------------------------------------------------------------
1 NAME OF REPORTING PERSON
S. S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Lawrence Investments, LLC
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2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP (See Instructions)
(a) /X/
(b) / /
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3 SEC USE ONLY
- --------------------------------------------------------------------------------
4 SOURCE OF FUNDS*
BK, WC
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5 CHECK BOX IF DISCLOSURE OF LEGAL PROCEEDINGS IS REQUIRED PURSUANT TO
ITEMS 2(d) or 2(e)
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6 CITIZENSHIP OR PLACE OF ORGANIZATION
California
- --------------------------------------------------------------------------------
NUMBER OF 7 SOLE VOTING POWER
SHARES
BENEFICIALLY 3,825,000 (1)
OWNED BY -------------------------------------------------------------
BY EACH 8 SHARED VOTING POWER
REPORTING
PERSON -------------------------------------------------------------
WITH 9 SOLE DISPOSITIVE POWER
3,825,000 (1)
-------------------------------------------------------------
10 SHARED DISPOSITIVE POWER
- --------------------------------------------------------------------------------
11 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
3,825,000 (1)
- --------------------------------------------------------------------------------
12 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (11) EXCLUDES CERTAIN SHARES
(See Instructions)
/ /
- --------------------------------------------------------------------------------
13 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW (11)
18%
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14 TYPE OF REPORTING PERSON (See Instructions)
OO (Limited Liability Company)
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*SEE INSTRUCTIONS BEFORE FILLING OUT!
INCLUDE BOTH SIDES OF THE COVER PAGE, RESPONSES TO ITEMS 1-7
(INCLUDING EXHIBITS) OF THE SCHEDULE, AND THE SIGNATURE ATTESTATION
<PAGE>
CUSIP NO. 868-059106 SCHEDULE 13D PAGE 6 OF 9 PAGES
(1) Pursuant to a Convertible Secured Note, Option and Warrant Purchase
Agreement (the "Agreement") dated as of June 17, 1997, Tako Ventures, LLC
("Tako") has acquired 2,550,000 shares of Common Stock of SuperGen, Inc.
(the "Issuer") and has the right to acquire up to 1,275,000 additional
shares of the Issuer's Common Stock, representing in the aggregate
approximately 18% of the Common Stock of Issuer (based on the Issuer's
capitalization as of November 20, 1997 and giving effect to the acquisition
of all such shares). The Issuer's shares have been issued or are issuable
to Tako in the manner summarized below (which summary is qualified in all
respects by reference to the Agreement and the exhibits thereto):
(i) 2,550,000 shares of the Issuer's Common Stock 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
nonredeemable Warrant (the "Series 1 Warrant") which was
issued to Tako by the Issuer on June 17, 1997. Subject to
certain exceptions, the Series 1 Warrant is exercisable at any
time prior to 5:00 p.m. (Pacific time) on June 17, 2007.
(iii) 775,000 shares of the Issuer's Common Stock are issuable to
Tako at a price of $13.50 per share pursuant to the additional
redeemable Warrants (the "Series 2 Warrants"). The Series 2
Warrants are exercisable at any time prior to 5:00 p.m.
(Pacific time) on June 17, 2007.
<PAGE>
CUSIP NO. 868-059106 SCHEDULE 13D PAGE 7 OF 9 PAGES
This Statement constitutes Amendment No. 2 to the Schedule 13D (the
"Schedule 13D") 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,
with respect to Common Stock, par value $.001 per share, of SuperGen, Inc., a
California corporation (the "Issuer"). Only those items which are hereby
reported are amended. All other items remain unchanged. All capitalized items
shall have the meanings assigned to them in the Schedule 13D, as amended to
date, unless otherwise indicated herein.
ITEM 3. SOURCE AND AMOUNT OF FUNDS OR OTHER CONSIDERATION
Item 3 is hereby amended to delete the second paragraph thereof and to
substitute in place thereof the following:
Since the Reporting Persons' initial Schedule 13D filing dated June
17, 1997 and subsequent filing of Amendment No. 1 to the Schedule 13D dated
July 25, 1997, 850,000 shares of the Issuer's Common Stock were issued to
Tako, pursuant to exercise of the Option at an exercise price of $9.00 per
share, on November 18, 1997. Series 2 Warrants, which allow Tako to
acquire up to 425,000 additional shares of Issuer's Common Stock at a price
of $13.50 per share, were issued to Tako in accordance with the Agreement
upon Tako's exercise of the Option in full on November 18, 1997.
Tako has the right to acquire (i) 500,000 shares of Common Stock at
$13.50 per share upon the exercise of the Series 1 Warrants and (ii)
775,000 shares of Common Stock at $13.50 per share upon the exercise of the
Series 2 Warrants. It is presently anticipated that any purchases of the
Issuer's Common Stock resulting from the exercise of the Series 1 or Series
2 Warrants (collectively referred to as the "Warrants") under the
circumstances specified in the Agreement may be funded by one or more of
the following: working capital or borrowings of Tako, Cephalopod, Lawrence
Investments, or Lawrence J. Ellison.
ITEM 4. PURPOSE OF TRANSACTION
Item 4 is hereby amended to delete the second paragraph thereof in its entirety
and to substitute in place thereof the following:
The Issuer's outstanding Common Stock increased by 2,550,000 shares as
a result of conversion of the Convertible Secured Note and the exercise of
the Option and would increase by an additional 1,275,000 shares in the
event of the exercise of the Warrants.
ITEM 5. INTEREST IN SECURITIES OF THE ISSUER
Item 5 is hereby amended and restated in its entirety as follows:
The Reporting Persons are deemed to have beneficial ownership, as
defined in Rule 13d-3(a), of an aggregate of 3,825,000 shares of the
Issuer's Common Stock, which would represent approximately 18% of the
Common Stock that would be outstanding in the event of exercise in full of
the Warrants. The Reporting Persons have sole voting and dispositive power
over 2,550,000 shares of the Issuer's Common Stock acquired upon conversion
of the Convertible Secured Note and exercise of the Option. Upon exercise
of the Warrants, the Reporting Persons would have sole voting and
dispositive power over any shares of Common Stock acquired upon such
exercise.
<PAGE>
CUSIP NO. 868-059106 SCHEDULE 13D PAGE 8 OF 9 PAGES
ITEM 6. CONTRACTS, ARRANGEMENTS, UNDERSTANDINGS OR RELATIONSHIPS WITH RESPECT
TO SECURITIES OF THE ISSUER
Item 6 is hereby amended by the addition of the following:
Since the Reporting Persons' initial Schedule 13D filing and subsequent
filing of Amendment No. 1 to the Schedule 13D, 850,000 shares of the
Issuer's Common Stock were issued to Tako on November 18, 1997 at an
exercise price of $9.00 per share. Series 2 Warrants, which allow Tako to
acquire up to 425,000 additional shares of Issuer's Common Stock at a price
of $13.50 per share, were issued to Tako in accordance with the Agreement
upon Tako's exercise of the Option in full on November 18, 1997.
<PAGE>
CUSIP NO. 868-059106 SCHEDULE 13D PAGE 9 OF 9 PAGES
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.
Dated: November 25, 1997
-------------------------------
TAKO VENTURES, LLC CEPHALOPOD CORPORATION
/s/ Philip B. Simon
-----------------------------
By: Cephalopod Corporation, Member By: Philip B. Simon
Its: President
By: /s/ Philip B. Simon
------------------------------
Name: Philip B. Simon
Title: President
LAWRENCE INVESTMENTS, LLC
/s/ Philip B. Simon /s/ Lawrence J. Ellison
- -------------------------- --------------------------
By: Philip B. Simon Lawrence J. Ellison
