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UNITED STATES ---------------------------------------------
SECURITIES AND EXCHANGE COMMISSION OMB APPROVAL
WASHINGTON, D.C. 20549 ---------------------------------------------
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OMB Number: 3235-0145
Expires: December 31, 1997
Estimated average burden
hours per response......................14.90
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SCHEDULE 13G
UNDER THE SECURITIES EXCHANGE ACT OF 1934
(AMENDMENT NO. 2 )*
----------------
SuperGen, Inc.
- -------------------------------------------------------------------------------
(NAME OF ISSUER)
Common Stock
- -------------------------------------------------------------------------------
(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 of 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).
SEC 1745 (2-95)
Page 1 of 7 Pages
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CUSIP NO. 868 059 106 13G PAGE 2 OF 7 PAGES
- ----------------------- -------------------
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Joseph Rubinfeld
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
- -------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 55,000**(BENEFICIAL OWNERSHIP OF 35,000 OF THESE
SHARES SHARES IS DISCLAIMED)
BENEFICIALLY -----------------------------------------------------
OWNED BY 6 SHARED VOTING POWER
EACH
REPORTING 1,677,500
PERSON WITH -----------------------------------------------------
7 SOLE DISPOSITIVE POWER
55,000**(BENEFICIAL OWNERSHIP OF 35,000 OF THESE
SHARES IS DISCLAIMED)
-----------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,677,500
-----------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
2,222,083**(BENEFICIAL OWNERSHIP OF 35,000 OF THESE SHARES IS
DISCLAIMED)
- -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
11.3%**
- -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
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CUSIP NO. 868 059 106 13G PAGE 3 OF 7 PAGES
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1 NAME OF REPORTING PERSON
S.S. OR I.R.S. IDENTIFICATION NO. OF ABOVE PERSON
Loretta Rubinfeld
- -------------------------------------------------------------------------
2 CHECK THE APPROPRIATE BOX IF A MEMBER OF A GROUP*
(a) / /
(b) /X/
- -------------------------------------------------------------------------
3 SEC USE ONLY
- -------------------------------------------------------------------------
4 CITIZENSHIP OR PLACE OF ORGANIZATION
United States of America
- -------------------------------------------------------------------------
5 SOLE VOTING POWER
NUMBER OF 0
SHARES -----------------------------------------------------
BENEFICIALLY 6 SHARED VOTING POWER
OWNED BY
EACH 1,677,500
REPORTING -----------------------------------------------------
PERSON WITH 7 SOLE DISPOSITIVE POWER
0
-----------------------------------------------------
8 SHARED DISPOSITIVE POWER
1,677,500
- -------------------------------------------------------------------------
9 AGGREGATE AMOUNT BENEFICIALLY OWNED BY EACH REPORTING PERSON
1,712,500**(BENEFICIAL OWNERSHIP OF 35,000 OF THESE SHARES IS
DISCLAIMED)
- -------------------------------------------------------------------------
10 CHECK BOX IF THE AGGREGATE AMOUNT IN ROW (9) EXCLUDES CERTAIN
SHARES*
- -------------------------------------------------------------------------
11 PERCENT OF CLASS REPRESENTED BY AMOUNT IN ROW 9
8.9%**
- -------------------------------------------------------------------------
12 TYPE OF REPORTING PERSON*
IN
- -------------------------------------------------------------------------
*SEE INSTRUCTION BEFORE FILLING OUT
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CUSIP No. 868 059 106 Page 4 of 7 Pages
ITEM 1.
(a) Name of Issuer
SuperGen, Inc.
(b) Address of Issuer's Principal Executive Offices
Two Annabel Lane, Suite 220
San Ramon, CA 94583
ITEM 2.
(a) Name of Person Filing
Joseph Rubinfeld and Loretta Rubinfeld, husband and wife
(b) Address of Principal Business Office or, if none, Residence
SuperGen, Inc.
Two Annabel Lane, Suite 220
San Ramon, CA 94583
(c) Citizenship
United States of America
(d) Title of Class of Securities
Common Stock
(e) CUSIP Number
868 059 106
ITEM 3. IF THIS STATEMENT IS FILED PURSUANT TO RULE 13d-1(b), OR 13d-2(b),
CHECK WHETHER THE PERSON 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 Section 240.13d-1(b)(1)(ii)(F)
(g) / / Parent Holding Company, in accordance with Section
240.13d-1(b)(ii)(G) (Note: See Item 7)
(h) / / Group, in accordance with Section 240.13d-1(b)(1)(ii)(H)
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CUSIP No. 868 059 106 Page 5 of 7 Pages
ITEM 4. OWNERSHIP
(a) Amount Beneficially Owned
Joseph Rubinfeld--2,222,083 shares**
Loretta Rubinfeld--1,712,500 shares**
(b) Percent of Class
Joseph Rubinfeld--11.3%** of the outstanding shares of Common Stock of
Issuer, based on 19,216,371 shares of Issuer's Common Stock
outstanding as of October 30, 1997, according to Issuer's quarterly
report on Form 10-Q for the quarter ended September 30, 1997, filed
November 14, 1997 (the "Third Quarter 10-Q").
Loretta Rubinfeld--8.9%** of the outstanding shares of Common Stock of
Issuer, based on 19,216,371 shares of Issuer's Common Stock
outstanding as of October 30, 1997, according to the Third Quarter
10-Q.
(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
(ii) shared power to vote or to direct the vote
Joseph Rubinfeld 1,677,500 SHARES
Loretta Rubinfeld 1,677,500 SHARES
(iii) sole power to dispose or direct the disposition of
Joseph Rubinfeld 55,000 SHARES**
Loretta Rubinfeld 0 SHARES
(iv) shared power to dispose or direct the disposition of
Joseph Rubinfeld 1,677,500 SHARES
Loretta Rubinfeld 1,677,500 SHARES
** 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
SCHEDULE. 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 ARE 364,583 SHARES WHICH MAY BE ACQUIRED WITHIN 60 DAYS OF
DECEMBER 31, 1997 UPON EXERCISE OF A STOCK OPTION (PROVIDED, HOWEVER, THAT THE
REMAINING 135,417 SHARES OF SUCH OPTION 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) AND 125,000 SHARES WHICH MAY BE ACQUIRED WITHIN 60
DAYS OF DECEMBER 31, 1997 UPON EXERCISE OF A STOCK OPTION.
<PAGE>
CUSIP No. 868 059 106 Page 6 of 7 Pages
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.
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
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CUSIP No. 868 059 106 Page 7 of 7 Pages
ITEM 10.
Not applicable
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 9, 1998 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 9, 1998
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Date
/s/ Joseph Rubinfeld
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Signature
Joseph Rubinfeld, Chief Executive Officer,
President and Chairman of the Board
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Name/Title
February 9, 1998
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Date
/s/ Loretta Rubinfeld
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Signature
Loretta Rubinfeld
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Name/Title
